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WTO_99/Q_WT_DAILYB_04_61.pdf
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WTO_99
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WTO
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WTO_99/Q_WT_PRESS_TPRB127.pdf
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Q_WT_PRESS_TPRB127
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00-0447 MOREPRESS RELEASE
PRESS/TPRB/127
7 February 2000
TRADE POLICY REVIEW BODY
REVIEW OF ICELAND
TPRB'S EVALUATION
The Trade Policy Review Body of the World Trade Organization (WTO) concluded its
second review of Iceland's trade policies on 2 and 4 February 2000. The text of the Chairperson's
concluding remarks is attached as a summary of the salient points which emerged during thediscussion.
The review enables the TPRB to conduct a collec tive examination of the full range of trade
policies and practices of each WTO member countries at regular periodic intervals to monitor
significant trends and developments which may have an impact on the global trading system.
The review is based on two reports which are prepared respectively by the WTO Secretariat
and the government under review and which cover all aspects of the country's trade policies, including
its domestic laws and regulations, the institutio nal framework, bilateral, regional and other
preferential agreements, the wider economic needs and the external environment. A record of thediscussion and the Chairperson's summing-up together with these two reports will be published in due
course at the complete trade policy review of Iceland and will be available from the WTO Secretariat,
Centre William Rappard, 154 rue de Lausanne, 1211 Geneva 21.
Since December 1989, the following reports have been completed: Argentina (1992 and
1999), Australia (1989, 1994 and 1998), Austria (19 92), Bangladesh (1992), Benin (1997), Bolivia
(1993 and 1999), Botswana (1998), Brazil (1992 an d 1996), Burkina Faso (1998), Cameroon (1995),
Canada (1990, 1992, 1994, 1996 and 1998), Chile (1991 and 1997), Colombia (1990 and 1996), Costa
Rica (1995), Côte d’Ivoire (1995), Cyprus (1 997), the Czech Republic (1996), the Dominican
Republic (1996), Egypt (1992 and 1999), El Salvador (1996), the European Communities (1991,1993, 1995 and 1997), Fiji (1997), Finland (1992), Ghana (1992), Guinea (1999), Hong Kong (1990,
1994 and 1998), Hungary (1991 and 1998), Icelan d (1994 and 2000), India (1993 and 1998),
Indonesia (1991, 1994 and 1998), Israel (1994 a nd 1999), Jamaica (1998), Japan (1990, 1992, 1995
and 1998), Kenya (1993 and 2000), Korea, Rep. of (1992 and 1996), Lesotho (1998), Macau (1994),
Malaysia (1993 and 1997), Mali (1998), Mauritius (1995), Mexico (1993 and 1997), Morocco (1989
and 1996), New Zealand (1990 and 1996), Namibia (1998), Nicaragua (1999), Nigeria (1991 andPRESS/TPRB/127
Page 2/3
MORE1998), Norway (1991 and 1996), Pakistan (1995), Pa pua New Guinea (1999), Paraguay (1997), Peru
(1994), the Philippines (1993 and 1999), Poland (1993), Romania (1992 and 1999), Senegal (1994),Singapore (1992 and 1996), Slovak Republic (1995), the Solomon Islands (1998), South Africa (1993
and 1998), Sri Lanka(1995), Swaziland (1998), Sweden (1990 and 1994), Switzerland (1991 and
1996), Thailand (1991, 1995 and 1999), Togo (1999), Trinidad and Tobago (1998), Tunisia (1994),
Turkey (1994 and 1998), the United States (1989, 1992, 1994, 1996 and 1999), Uganda (1995),
Uruguay (1992 and 1998), Venezuela (1996) , Zambia (1996) and Zimbabwe (1994).PRESS/TPRB/127
Page 4
MORETRADE POLICY REVIEW OF ICELAND
2 AND 4 FEBRUARY 2000
CONCLUDING REMARKS BY THE CHAIRPERSON
We have had positive and open discussions on Iceland's trade policies and measures.
Members of the TPRB were clearly impressed by Iceland's outstanding economic recovery since its
first Review in 1994, due in good part to Iceland's generally liberal trade regime, disciplined
macroeconomic management and continued structural reforms. Those policies and the deft
exploitation of its fish and energy resources have permitted Iceland to reap the benefits of
international specialization and freer trade, thus achieving one of the world's highest living standards.
In the current favourable conjuncture, Iceland major short-term challenge was preventing theeconomy form overheating.
Members commended Iceland's strong support for an open multilateral trading system and its
commitment to liberal trade policies, evidenced by its generally low tariffs. Iceland was also
commended for its leadership in the ongoing efforts to commence work in the WTO concerningsubsidies in fisheries. Noting Iceland's applications for accession to the WTO Plurilateral Agreement
on Government Procurement, Members expressed their hope that the negotiations be completed soon.
Members noted the important changes already implemented in the agricultural sector but
encouraged Iceland to introduce further trade-liberalization and restructuring measures to reduceprotection and assistance to that sector. Concern was expressed with respect to Iceland's over-reliance
on earnings from exports of fisheries to finance imports and Iceland was encouraged to seek
diversification of its export basket. The increasing complexity of Iceland's trade regime, resulting
from the increasing number of preferential agreements subscribed by EFTA, was noted. Members
also noted the existence of investment restrictions on strategic sectors and enquired whether Icelandintended to relax these restrictions.
While noting the effort undertaken to reform and liberalize its trade regime, Members
encouraged Iceland to examine areas were further liberalization could be implemented, to review and
simplify its system of indirect taxes, and to narrow the gap between applied and bound tariff rates.
Members also asked for details in a number of more specific areas including:- measures affecting the importation, distribution and retail sales of alcoholic
beverages;
- duty suspension schemes;
- legislation on government procurement and market access and national treatment for
foreign enterprises;
- some aspects of trade-related intellectual property rights, particularly regarding
patents and geographical indications;
- certain aspects of competition policy, including the non-application of national
legislation to export cartels;
- MFN exemptions in audio visual and air transport services;
- national treatment limitations to non-EEA enterprises under the GATS;PRESS/TPRB/127
Page 5
END- integration of textiles under the ATC;
- customs tariff bindings;- the allocation and effects of tariff quotas in agriculture;
- the allocation of fish quotas;
- the import licensing regime; and
- support programmes and measures taken to achieve self-sufficiency in agriculture.
Members appreciated the comprehensive oral and written responses provided by the Icelandic
delegation in the context of this meeting, as well as Iceland's undertaking to respond in writing to
some additional specific questions as soon as possible.
In conclusion, it is my sense that Members fully acknowledged Iceland's recent success in
managing a specialized, resource-based economy, and trusted that current efforts to bring it to a "soft
landing" would do well. They recognized Iceland's structural reforms over the past few years and
encouraged it to continue in this path as to secure the flexibility necessary to ride out future external
shocks. Members welcomed Iceland commitment to trade liberalization; they pointed out the
arguments in favour of non-discriminatory liberal policies to secure Iceland's past gains.
| 1,056 | 7,210 |
WTO_99
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WTO
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WTO_99/R_G_Tbtnot00_00-461.pdf
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R_G_Tbtnot00_00-461
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. /.ORGANISATION MONDIALE
DU COMMERCEG/TBT/Notif.00/461
26 septembre 2000
(00-3864)
Comité des obstacles techniques au commerce
NOTIFICATION
La notification suivante est communiquée conformément à l’article 10.6.
1. Membre de l’Accord adressant la notification: JAPON
Le cas échéant, pouvoirs publics locaux concernés (articles 3.2 et 7.2):
2. Organisme responsable: Ministère du commerce extérieur et de l'industrie
L'organisme ou l'autorité désigné pour s'occuper des observations concernant la
notification doit être indiqué s'il est différent de l'organisme susmentionné:
3. Notification au titre de l’article 2.9.2 [ X], 2.10.1 [ ], 5.6.2 [ X], 5.7.1 [ ], autres:
4. Produits visés (le cas échéant, position du SH ou de la NCCD, sinon position du tarif
douanier national. Les numéros de l’ICS peuvent aussi être indiqués, le cas échéant):
Équipements et appareils à gaz de pétrole liquéfié (chapitres 73, 83, 84 et autres du SH)
5. Intitulé, nombre de pages et langue(s) du texte notifié: Révision du Décret ministériel
relatif à l'inspection des équipements et appareils à gaz de pétrole liquéfié
6. Teneur: Conformément aux dispositions de la Loi relative à la sûreté et à l'optimisation
des opérations en rapport avec le gaz de pétrole liquéfié, qui a été promulguée en août 1999
(voir G/TBT/Notif.99.113, G/TBT/Notif.00/138 et G/TBT/Notif.00/159) et doit entrer en
vigueur en octobre 2000, les points suivants sont couverts:
- détails de la procédure d'évaluation de la conformité des produits spécifiés;
- procédures d'évaluation de la conformité et procédures pour la création et la
conservation d'archives concernant les fournisseurs déclarants;
- exigences techniques;
- méthode d'apposition des marques d'inspection;
- détails des critères qui seront imposés au demandeur par l'organisme agréé
d'évaluation de la conformité, etc.
7. Objectif et justification, y compris la nature des problèmes urgents, le cas échéant: En
application de la Loi relative à la sûreté et à l'optimisation des opérations en rapport avec le
gaz de pétrole liquéfié, des changements importants vont avoir lieu, notamment le passage
d'un système de certification par des organismes gouvernementaux à un système
d'autodéclaration/évaluation de la conformité par des organismes tiers, et à la participation
d'organismes privés lors de l'évaluation de la conformité par des organismes tiers. Ilconvient aussi d'assurer une application sans heurts de la loi.G/TBT/Notif.00/461
Page 2
8. Documents pertinents:
Loi relative à la sûreté et à l'optimisation des opérations en rapport avec le gaz de pétrole
liquéfié;
Règlement d'application de la Loi relative à la sûreté et à l'optimisation des opérations en
rapport avec le gaz de pétrole liquéfié;
Décret ministériel relatif à l'inspection des équipements et appareils à gaz de pétrole
liquéfié.
9. Date projetée pour l'adoption: 26 septembre 2000
Date projetée pour l'entrée en vigueur: 1er octobre 2000
10. Date limite pour la présentation des observations: 25 septembre 2000
11. Entité auprès de laquelle le texte peut être obtenu: point national d'information [ X]
ou adresse, courrier électronique et numéro de téléfax d'un autre organisme:
| 475 | 3,248 |
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WTO
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WTO_99/S_S_C_w72.pdf
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S_S_C_w72
|
RESTRICTEDORGANIZACIÓN MUNDIAL
DEL COMERCIOS/C/W/72
2 de diciembre de 1998
(98-4837)
Consejo del Comercio de Servicios
SERVICIOS FINANCIEROS
Nota documental de la Secretaría
I. INTRODUCCIÓN
1. La presente nota se ha elaborado a petición del Consejo del Comercio de Servicios, en el
marco del programa de intercambio de información. Su finalidad es facilitar información documental
para los exámenes sectoriales que celebrará el Consejo. Al igual que en el caso de las anteriores notas
sectoriales elaboradas por la Secretaría, el objetivo de la presente nota es facilitar información básicay general con el fin de estimular el debate de las cuestiones pertinentes entre los Miembros.
2. Existen múltiples trabajos relacionados con el comercio de servicios financieros. En el
documento S/C/W/26/Add.1 de la OMC, de fecha 29 de mayo de 1998, se examina un gran número
de estudios empíricos sobre los efectos económicos de la liberalización de los servicios,
especialmente en la esfera de los servicios bancarios. Ha habido también notas anteriores de laSecretaría sobre el sector de los servicios financieros, sobre su clasificación y sobre otras cuestiones
técnicas.
1 Los lectores de la presente nota deberán remitirse a esos documentos en la medida
necesaria.
3. Son también especialmente pertinentes en el caso de este sector los trabajos de otras
organizaciones internacionales, principalmente, entr e otros, los del FMI, el Banco Mundial, la OCDE,
el Banco de Pagos Internacionales (BPI), la Organización Internacional de Comisiones de Valores
(IOSCO), la Asociación Internacional de Supervis ores de Seguros (IAIS) y el G-30. Aunque en la
exposición que se hace a continuación se introduce una serie de documentos y publicaciones de esas
organizaciones, no es sino una fracción del total. En un estudio reciente de Wendy Dobson y
Pierre Jacquet, titulado "Financial Services Liberalization in the WTO" (Dobson, Wendy y
Pierre Jacquet (1998)), no sólo se analizan los compromisos en materia de servicios financieros
contraídos en el marco del AGCS, sino que se examinan casos prácticos de determinados países. Esasimismo útil la lista de referencias que figura en esta publicación.
4. Con respecto al sector de los servicios financieros, algunos miembros de la Secretaría de la
OMC elaboraron en septiembre de 1997 un estudio especial titulado "Mercados abiertos de servicios
financieros: la función del AGCS" (OMC (1998)).
2 En este estudio se examinan, entre otras cosas, la
función del AGCS en la liberalización de los servicios financieros, la creciente importancia delcomercio de servicios financieros, y los beneficios y los problemas de la liberalización del comercio
de servicios financieros. La presente nota, en la que se actualizan algunas de las observaciones
formuladas en dicho estudio, tiene por objeto ampliar los debates a la luz de la reciente evolución de
los mercados financieros mundiales. El estudio contiene también una extensa bibliografía.
1 En el documento MTN.GNS/W/68, de 4 de septie mbre de 1989, se traza un panorama general del
comercio de servicios financieros y de las reglamen taciones que afectan al comercio y en el documento
S/FIN/W/9, de 29 de julio de 1996, se enumeran algunas cuestiones técnicas relativas a las listas sobre los
servicios financieros.
2 Las opiniones expresadas en ese estudio son las opiniones personales de sus autores, no constituyen
opiniones oficiales de la Secretaría.S/C/W/72
Página 2
5. Con el fin de facilitar la preparación de los Miembros para las deliberaciones del Consejo, al
final de cada sección de la nota se añade una lista de cuestiones que podrían examinarse. Esas listas
no son en modo alguno exhaustivas y no deben considerarse (como tampoco ninguna otra parte de la
presente nota) indicativas de una interpretación part icular del AGCS ni de opiniones particulares de la
Secretaría.
6. La nota se divide en cinco secciones y un Anexo con cuadros. La sección I está constituida
por la presente introducción. La sección II trata de la clasificación de los servicios financieros en el
marco del AGCS. En la sección III se facilita una actualización de la importancia económica y los
cambios recientes de la estructura de las industria s y los mercados de servicios financieros. En la
sección IV se exponen algunas características básicas de la reglamentación del sector. La sección V
ofrece un breve resumen de los compromisos existentes en el marco del AGCS y en la sección VI se
citan algunas posibles fuentes de información adicional sobre el sector.
7. En la futura liberalización de este sector habrá que tener en cuenta las causas y los efectos de
la crisis económica y financiera mundial aún reinante. Aunque en las secciones III y IV se trata de
examinar las consecuencias de la crisis para la liberalización del comercio de servicios financieros y
la reforma de la reglamentación en los países Miembros, así como a nivel internacional, se reconoce
que es un momento especialmente difícil para hacer observaciones firmes. No obstante, como losintereses de los Miembros en la liberalización del comercio de servicios financieros en el marco del
AGCS son a largo plazo, el análisis que se hace a continuación se centra en las tendencias y los
cambios estructurales a más largo plazo, sin examinar las fluctuaciones diarias y la volatilidad de los
mercados financieros. A este respecto, las preocupaciones a corto plazo no deben prevalecer
indebidamente sobre los beneficios a más largo plazo de la liberalización.
II. CLASIFICACIÓN SECTORIAL DE LOS SERVICIOS FINANCIEROS
8. Como se dice en el documento "Un breve análisis de los casos de "consignación ad hoc en
listas" en anteriores negociaciones sobre servicios" (S/CSC/W/11, de 9 de octubre de 1997),
presentado al Comité de Compromisos Específicos, la clasificación sectorial que figura en la "Lista de
clasificación sectorial de los servicios" (MTN.GNS/W/120, de 10 de julio de 1991) no correspondeexactamente a la Clasificación Central Provisional de Productos (CCP) de las Naciones Unidas
(Informes Estadísticos, Serie M, Nº 77, 1991). El Anexo sobre servicios financieros (el Anexo)
contiene una lista no exhaustiva de servicios financieros que constituye una versión ligeramente
modificada de la clasificación que figura en el documento W/120.
9. Las principales diferencias entre el documento W/120 y la CCP en lo que respecta a los
seguros son las siguientes:
a) los seguros contra accidentes y de salud están incluidos en los "seguros de vida" y no
en los "seguros distintos de los seguros de vida" como en la CCP
3;
b) se indican por separado los servicios de reaseguro y retrocesión, que no se mencionan
de manera específica en la CCP sino que forman parte de una categoría residual
denominada "otros servicios de seguros n.c.p.";
3 El número correspondiente de la CCP indicado en el documento W/120 para los servicios de seguros
de vida, contra accidentes y de salud (8121) no abarca los seguros contra accidentes y de salud (a los que
corresponde en la CCP el número 81291, subdivisión de los servicios de seguros distintos de los de vida), lo queparece estar en contradicción con el título de esa partida.S/C/W/72
Página 3
c) los servicios de administración de fondos de pensiones se separan de los servicios de
seguros de vida y se incluyen en los servicios de administración de activos,
subdivisión de "servicios bancarios y otros servicios financieros"4; y
d) los "servicios de corredores y agencias de seguros" y otros servicios auxiliares de los
seguros se han agrupado en una subdivisión de los servicios de seguros.
10. En el Anexo sobre servicios financieros del AGCS se llega a un mayor grado de
desagregación de los "servicios auxiliares de los seguros" que en el documento W/120, ya que se
separan las "actividades de intermediación de seguros, por ejemplo las de los corredores y agentes de
seguros" de los servicios auxiliares y se mencionan expresamente algunos de esos servicios auxiliares:
los de consultores, actuarios, evaluación de riesgos e indemnización de siniestros.
11. En lo que se refiere a los servicios bancarios y otros servicios financieros, en el documento
W/120 se hace un desglose más detallado que en la CCP. Por ejemplo, se establece unacorrespondencia entre la subclase 81339 de la CCP ("otros servicios auxiliares de la intermediación
financiera n.c.p.") y siete diferentes partidas o subpartidas indicadas en el documento W/120. En este
último se especifican las actividades de los asesores financieros, incluidas las agencias de calificación
de riesgos.
5 Aunque el Anexo sigue en gran parte al documento W/120 en lo que se refiere a los
servicios bancarios y otros servicios financieros, hay algunas mejoras, por ejemplo la inclusiónexplícita de los "servicios de tarjetas de crédito" en "todos los servicios de pago y transferencia
monetaria".
12. Lo expuesto anteriormente parece indicar que en el Anexo se hace una clasificación más
desagregada y, por ende, más apropiada a efectos de la consignación en las listas que en la CCP
provisional. La nueva versión de la CCP (versión 1.0) aborda este problema y contiene además un
anexo en el que se indica una clasificación alternativa (más detallada) de los servicios financieros.
6
Se han creado algunas categorías enteramente nuevas, como las de "servicios de reaseguros","servicios bancarios de inversión" y "servicios de fondos de pensiones colectivos". Sin embargo, la
correspondencia entre esta clasificación y la clasificación del Anexo o la del documento W/120 no es
del todo directa. Por ejemplo, no está claro el alcance exacto de los servicios bancarios de inversión;y el intercambio comercial de instrumentos derivados -por ejemplo, futuros y opciones- se divide en
"servicios de corretaje de valores" (corretaje de opciones) y "servicios de corretaje de productos"
(corretaje de otros productos financieros distintos de las opciones), lo que puede constituir una
distinción innecesaria salvo en jurisdicciones en las que se dividan de esa manera las funciones de
supervisión.
4 Tampoco en este caso se tiene en cuenta al indicar en el documento W/120 el número correspondiente
de la CCP que se han separado los servicios de administración de fondos de pensiones (incluidos en la CCP en
la subclase 81212) y se han incluido en los servicios de administración de activos.
5 En algunos casos no está clara la correspondencia entre el número de la CCP indicado y la partida que
figura en el documento W/120. Además de las discrepancias mencionadas en las notas de pie de páginaanteriores, el intercambio comercial de valores transfer ibles mencionado en la clasificación que figura en el
documento W/120 incluye el comercio realizado por cuenta propia por los intermediarios financieros, que no
queda abarcado por el número 81321 de la CCP (subclase de servicios de corredores de valores) que se indica en
dicho documento.
6 Naciones Unidas (1998).S/C/W/72
Página 4
13. La gran mayoría de los Miembros han basado sus Listas en la clasificación que figura en el
Anexo sobre servicios financieros o en la clasificación del documento W/120.7 No obstante, hay otras
variaciones: si bien en algunas listas se complementa la clasificación del Anexo con los números de
la CCP, en otras los países han utilizado clasificaciones nacionales propias. Como se señalaba en el
documento S/FIN/W/9, en algunos casos esto ha dificultado la comparación de las listas de losdistintos países. Por ejemplo: partidas como "aceptación de depósitos" y "préstamos" incluyen o
excluyen determinadas actividades; servicios de intermediación de seguros como los de los
corredores y agentes se consideran partidas independientes o forman parte de los "servicios auxiliares
de los seguros"; los servicios de tarjetas de crédito forman parte de "todos los servicios de pago y
transferencia monetaria" o constituyen una partida independiente; hay casos en los que en la columna
titulada "sector o subsector" se indica un sector o subsector de servicios más restringido que el que se
recoge en el número de la CCP indicado bajo el encabezamiento y casos en los que el número de laCCP indica una categoría más restringida que la del sector consignado; en fin, servicios como los de
"capital de riesgo" y los "servicios relacionados con el mercado de valores" se enumeran a veces sin
añadir definiciones detalladas.
14. Dado el ritmo de cambio del sector, que tiende a difuminar la distinción entre los diversos
servicios financieros, las cuestiones de clasificación pueden resultar importantes en las negociacionesque puedan celebrarse sobre la mejora de los compromisos en esta esfera. Tal vez sea preciso aclarar
la clasificación de productos híbridos, como la "swapción" (opciones sobre permutas financieras o
"swaps"), de nuevos instrumentos como las "tarjetas inteligentes" o de productos distribuidos por
nuevos conductos como la "bancassurance".
8 Quizás tampoco esté clara la clasificación de los pactos
de recompra (repos) o de los préstamos de valores. Otro punto que tal vez haya también que aclarares cómo trazar la línea divisoria entre el suministro y la transferencia de información financiera como
servicio financiero y la prestación de esos servicios como parte de otros servicios de información:
por ejemplo, los servicios de telecomunicaciones con valor añadido, los servicios audiovisuales o los
servicios editoriales.
15. Actualmente sólo existe una definición de "servicio financiero nuevo" en el Entendimiento
relativo a los compromisos en materia de servicios financieros (el Entendimiento).
9 E l C o m i t é d e
Compromisos Específicos ha examinado la cuestión de los "nuevos servicios" más generalmente, pero
quizás sea necesario analizar la cuestión de los "servicios financieros nuevos" examinando ejemplos
prácticos en el contexto de la clasificación.10
16. Aunque la clasificación de los servicios del AGC S, basada en el contenido de los servicios
prestados, parece adaptarse bien a los cambios en curso en las industrias y los mercados de servicios
financieros de los que se trata en la sección III infra , se tienen noticias de que algunos países han
tropezado con dificultades para plasmar sus leyes nacionales, formuladas sobre la base de las
instituciones financieras a las que se aplican, en los compromisos consignados en sus Listas. Aunque
7 Los países que se han adherido recientemente a la OMC y los cinco Miembros que han presentado por
primera vez listas de compromisos en materia de servicios financieros en el marco del Quinto Protocolo delAGCS han adoptado por lo general la clasificación del documento W/120 o la del Anexo, con algunas
variaciones.
8 Véase, por ejemplo, Keren, Vered (1997).
9 El Entendimiento ha sido adoptado por 31 Miembros a efectos de la consignación en listas de los
compromisos específicos, incluidos cinco Miembros que decidieron adoptarlo como consecuencia de las últimasnegociaciones.
10 Documento S/CSC/M/6, Informe de la reunión celebrada el 16 de octubre de 1998. Algunos
Miembros han indicado en sus Listas la necesidad de establecer un marco normativo antes de admitir nuevosservicios financieros (Estados Unidos y el Japón) o que los productos o servicios financieros nuevos estánsujetos a determinadas prescripciones o a autorización (Malasia y los Estados Unidos).S/C/W/72
Página 5
esos problemas no deben dar lugar a cambios de la clasificación de los servicios financieros en el
marco del AGCS, tal vez sea necesaria cierta orientación para que los países en proceso de adhesión o
los Miembros que contraen por primera vez compromisos en materia de servicios financieros redacten
sus ofertas con arreglo a una clasificación por servicios.
Cuestiones que podrían examinarse
a) Como se indica en el documento S/FIN/W/ 9, ¿es necesario armonizar la clasificación
sectorial de los servicios financieros, o por lo menos hacer que su comparación entre
los países resulte más fácil, con objeto de facilitar también la interpretación de las
Listas y su comparación entre los distintos países? ¿Podrían llegar los Miembros a un
entendimiento en el sentido de seguir en la mayor medida posible la clasificación que
figura en el Anexo sobre servicios financieros e indicar las desviaciones que puedan
ser necesarias en términos textuales claros y comprensibles?
b) Aunque la Secretaría no ha detectado ningún problema importante con respecto a la
clasificación que figura en el Anexo, tal vez las delegaciones deseen examinar si la
clasificación actual es suficientemente detallada o sólida a efectos de la consignación
de los compromisos en las Listas y si es adecuada para utilizarla en futuras
negociaciones. ¿Consideran las delegaciones que puede haber margen para unamayor desagregación de la clasificación que figura en el Anexo, puesto que a veces
agrupa un número bastante grande de servicios similares en una categoría?
11 ¿Es
también necesario aclarar la clasificación de algunas transacciones de servicios?
c) ¿Es la definición de los servicios financieros nuevos y su apropiada clasificación un
tema que podría examinarse, teniendo presentes ejemplos específicos de esosservicios? En este contexto, ¿desearían las delegaciones intercambiar información
sobre productos o servicios financieros nuevos desarrollados o que son objeto de
comercio en sus mercados?
d) ¿Desearían las delegaciones de los países en desarrollo exponer alguna dificultad
especial con que hayan tropezado al consignar en las Listas sus compromisos enmateria de servicios financieros debido a la actual clasificación de dichos servicios?
¿Han tropezado los Miembros con dificultades al consignar en las Listas sus
compromisos en función del servicio prestado cuando las leyes nacionales están
basadas en los tipos de instituciones financieras a los que se aplican dichas leyes?
¿Es necesario abordar esas dificultades de manera sistemática?
III. IMPORTANCIA ECONÓMICA DEL SECTOR
Importancia del sector en la economía nacional
17. En OMC (1997) se da cuenta detallada de la creciente importancia del sector de los servicios
financieros en las economías de los países, así como del potencial de crecimiento del comercio de
servicios financieros. En los cuadros 1 y 2 se actualizan o revisan los cuadros contenidos en OMC
(1997) sobre la parte correspondiente al sector de los servicios financieros en el empleo y el valorañadido totales. Siguen indicando que en los 20-25 últimos años la importancia del sector ha crecidoen gran número de países, aunque a partir de 1990 parece haberse producido una estabilización de la
11 Por ejemplo, los "valores transferibles" podrían cl asificarse por tipos (acciones, obligaciones, valores
respaldados por activos, etc.) o por entidades emisoras (empre sas, gobiernos, instituciones financieras, etc.); los
productos derivados podrían desglosarse en función del instrumento pertinente (valores, indicadores delmercado financiero, productos básicos, etc.); y servicio s como los de las tarjetas de crédito o los sistemas de
pago electrónico (servicios de "tarjetas inteligentes") y los servicios de administración de fondos de pensionespodrían convertirse en partidas independientes.S/C/W/72
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tendencia al crecimiento en muchos mercados financieros maduros. Cabe también señalar que están
aún por ver los efectos en esas estadísticas de la reciente crisis económica y financiera mundial. Se
espera que los efectos negativos de la crisis en los activos y los beneficios de los bancos y las
empresas de seguros aparezcan en las estadísticas, aunque las perspectivas quizás no sean sombrías
para todos los países. En la esfera de los seguros, las primas, expresadas en porcentaje del PIB, hanvenido aumentando en muchos países, como se indica en el gráfico 1b. de OMC (1997), pero parece
que en 1995-96 se produjo una estabilización de esa tendencia en muchos países de la OCDE no
europeos. (cuadro 3)
18. El proceso en curso de consolidación y reestructuración de las industrias de servicios
financieros de los países industrializados que se examina a continuación está también surtiendo efecto
durante el presente año. En los sectores financieros de los países de mercados emergentes se está
produciendo una importante contracción y también en los países industrializados empiezan a dejarsesentir los efectos de la crisis financiera mundial. En particular, las grandes pérdidas ocasionadas
recientemente por la agitación reinante en los mercados parecen estar dando lugar a reducciones del
empleo en el sector financiero, especialmente en los bancos de negocios mundiales, aunque hay
también esferas de crecimiento potencial, como las de la administración de activos y el comercio
extrabursátil de valores y productos derivados.
12 Un reciente informe de la Oficina Regional de la
OIT para Asia y el Pacífico revela un elevado nivel de pérdidas de puestos de trabajo en esa región,
especialmente en los sectores de la construcción y los servicios financieros y en el sector
manufacturero.13 Aparte de los efectos de la crisis, se tienen noticias de que en los sectores de los
servicios financieros y el transporte la introducción de tecnología de la información ha aumentado
considerablemente la demanda de personal administrativo muy cualificado, en tanto que en algunossectores, como en el de los seguros, ha disminuido la demanda de personal administrativo poco
cualificado.
14
Comercio internacional de servicios financieros
19. En el cuadro 4 se actualiza el mismo cuadro contenido en OMC (1997). En el cuadro 5 se
dan más detalles con respecto a determinados Miembros sobre los que se disponía de datos completos.
Las cifras revelan por lo general un mayor crecimiento tanto de las exportaciones como de las
importaciones transfronterizas de servicios financieros de los países, pero tampoco en este caso
aparecen en esas cifras los efectos de la crisis financiera. No se dispone de datos sobre las inversiones
en presencia comercial de instituciones financieras extranjeras, excepto en el caso de los Estados
Unidos.15 Los datos correspondientes a este último país revelan la creciente importancia del comercio
transfronterizo en los servicios bancarios y relacionados con valores basados en el pago de
12 Véase, por ejemplo, "Wall Street mulls layoffs", http://www.cnnfn.com, 22 de septiembre de 1998.
13 Véase OIT (1998a).
14 Véase OIT (1998). En este informe, en el que se estima que hay en todo el mundo alrededor de
140 millones de personas sin empleo alguno, se prevé que habrá 10 millones más en esas condiciones parafinales de 1998, como consecuencia principalmente del desplazamiento en gran escala de trabajadores de AsiaOriental debido a la crisis económica.
15 Como se dice en el documento WT/WGTI/W/24, la OCDE y EUROSTAT han venido reuniendo
datos sobre las actividades de las filiales extranjeras en el sector de los servicios. Se han podido obtener ya de la
Secretaría de la OCDE los primeros resultados sobr e algunos países, pero los datos parecen ser todavía
fragmentarios.S/C/W/72
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comisiones16, aunque aún son más importantes en términos absolutos las ventas y las compras de
filiales de propiedad mayoritaria. (cuadro 6)
20. Hay también pruebas de que en 1997 crecieron las corrientes transfronterizas de capital y la
actividad de los mercados financieros internacionales, pese a la crisis financiera mundial.17 Cabe
destacar, en particular, que en 1997 crecieron las inversiones extranjeras directas (IED), aunque seespera que en 1998 se produzca cierta estabilización en algunos países de mercados emergentes.
18 En
el "World Investment Report 1998" de la UNCT AD se dice que las IED han seguido siendo una
fuente de relativa estabilidad de las corrientes de capital a los países en desarrollo y han mostrado
elasticidad ante la crisis financiera de Asia y el Pacífico. (cuadro 7)19 Se indica que existen también
factores conducentes al aumento de las IED destinadas a países afectados por la crisis, por ejemplocostos reducidos y mayor competitividad de las exportaciones.
20 Cabe también atribuir en parte el
constante crecimiento de las IED a la tendencia a la globalización de las finanzas y a la disminuciónde los obstáculos normativos en diversos sectores, incluido el de los servicios financieros.
21. Aun cuando no se dispone de un desglose sectorial completo de las corrientes de IED, el
crecimiento de las IED globales implica un aumento del comercio de servicios financieros, no sólo
mediante presencia comercial sino también en forma de comercio transfronterizo.
21 Hay, sin duda,
una serie de características de los datos sobre las corrientes de IED que aconsejan prudencia alinterpretar su crecimiento, por ejemplo los problemas que plantean la definición de IED y la
compilación de datos.
22 Pese a esos problemas de medición, subsiste el hecho de que las corrientes de
IED a países de mercados emergentes han mostrado una relativa elasticidad ante la crisis en curso. En
este contexto, se espera que los mejores compromisos contraídos en el modo 3 (presencia comercial)
como consecuencia de las negociaciones sobre los servicios financieros concluidas en la OMC el añopasado constituyan un factor de apoyo de corrientes estables de capital en forma de IED, con
inclusión de entradas en los países más gravemente afectados por la crisis actual.
Cambiante estructura de las industrias y los mercados de servicios financieros
22. En los últimos años se han registrado rápidos e importantes cambios de la estructura de las
industrias de servicios financieros de todo el mundo. No sólo se ha producido una integración de losmercados en torno a líneas de productos tradicionales o dentro de las fronteras nacionales sino que la
16 Los ingresos procedentes de las actividades de aceptación de depósitos y concesión de préstamos no
se reflejan en los datos, debido a problemas de medición. Véase Comisión de Comercio Internacional de los
Estados Unidos (1998), páginas 3-17.
17 Véase, por ejemplo, BPI (1998), páginas 142-3.
18 Véase BPI (1998) supra y FMI (1998a) con respecto a la evolución reciente de los mercados
financieros internacionales.
19 UNCTAD (1998). En el recuadro I.1 de este informe se describe una serie de factores conducentes a
una mayor estabilidad general de las corrientes de IE D en comparación con las corrientes de inversiones de
cartera, con inclusión de los intereses a más largo plazo de las empresas transnacionales.
20 Véase UNCTAD (1998) op. cit. En el recuadro II.1 de este informe se analiza también la dificultad
de medir la expansión internacional de la banca y se citan algunas estadísticas sobre la distribución internacionalde las entidades bancarias, basadas en fuentes públicamente accesibles.
21 Un desglose sectorial correspondiente a Tailandia contenido en UNCTAD (1998) op. cit., indica un
fuerte crecimiento de las entradas de IED en ese país de 1996 a 1997 y primer trimestre de 1998. (Anexo,
cuadro A.VII.1.)
22 En el recuadro 2.2 de FMI (1998a) se hace un breve análisis de esos problemas.S/C/W/72
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integración ha sido también cada vez mayor a nive l mundial. Además de aumentar la competencia
entre empresas semejantes del sector, se ha intensificado también la competencia entre diferentes
tipos de instituciones financieras (y entre instituciones financieras y empresas no financieras). Las
fusiones y adquisiciones transfronterizas registradas en los sectores de los servicios bancarios y de
seguros de todo el mundo están transformando actualmente la industria. Esas fusiones yadquisiciones, cuya finalidad es la reestructuración global o la toma de posiciones estratégicas por
empresas de esos sectores, están experimentando en los últimos tiempos un gran incremento.
23
Existen diversos datos que demuestran la creciente internacionalización de los mercados financieros,especialmente en los países de la OCDE (gráficos).
24 Aunque en las actuales clasificaciones de los
principales bancos del mundo predominan aún las instituciones de los principales paísesindustrializados, en la lista de los 100 principales aparecen bancos de China, el Brasil y Singapur.
25
Hay también pruebas de que un gran número de entidades bancarias de países en desarrollo y
economías en transición se han establecido en países de la OCDE (cuadro 8).26
23. Esos cambios se han visto aumentados o, en muchos casos, inducidos por la
desreglamentación, que ha eliminado o debilitado la segmentación de las industrias de servicios
financieros existente, lo que ha permitido cada vez más que el usuario de servicios bancarios,
relacionados con valores, de seguros y de administración de activos realice sus operaciones en unasola entidad. Como consecuencia, los mercados financieros se clasifican actualmente por los
servicios prestados en vez de por los diferentes tipos de instituciones financieras que los prestan.
27 En
muchos países industrializados se observa cómo se entremezclan diversas actividades de servicios
financieros y se difuminan las distinciones entre los diferentes tipos de instituciones financieras.
24. También se ha intensificado la competencia entre los mercados. Los mercados y los centros
financieros extraterritoriales prosperaron cuando la reglamentación era rigurosa en la mayoría de los
mercados de los principales países industrializados, pero, al surtir efecto la desreglamentación en
muchos de los principales mercados del mundo, tal vez parezcan ahora menos atractivos en ese
sentido. Las normas fiscales se han reforzado para llenar lagunas creadas por los llamados paraísos
fiscales, lo que disminuye también los incentivos de realizar operaciones en centros financierosextraterritoriales. También se ha reforzado, mediante la cooperación internacional, la reglamentación
destinada a impedir el blanqueo de dinero. El resultado es una mayor competencia entre los centros
financieros sobre la base de sinergias de técnicas especializadas e infraestructura. En un estudio
23 Según descripción contenida en UNCTAD (1998).
24 Véase, por ejemplo, el cuadro IV.23 que figura en el informe sobre el Examen de las Políticas
Comerciales de los Estados Unidos (OMC (1996)) y las páginas 142-145 del informe sobre el Examen de lasPolíticas Comerciales del Japón (OMC (1998a)), que revela n las crecientes actividades y participaciones de los
bancos extranjeros en los mercados de los Estados Unidos y el Japón. La base de datos sobre acceso a los
mercados de la Comisión Europea (http://www.mkaccdb.eu.int) facilita también información sobre la
participación extranjera en los mercados de servicios fi nancieros de algunos países no pertenecientes a la UE.
El National Treatment Study del Departamento del Tesoro de los Estados Unidos (Departamento del Tesoro de
los Estados Unidos (1994)) contiene asimismo información de ese tipo pero que se ha quedado ligeramenteatrasada.
25 Véase, por ejemplo, The Banker , julio de 1998, y Euromoney , junio de 1998. Cabe observar que
muchos de los bancos de países industrializados que figuran en buen lugar en la lista son bancos que realizanamplias operaciones en mercados emergentes: por ejemplo, HSBC Holdings, Citicorp y el Deutsche Bank. Enla lista de los 1.000 principales confeccionada por The Banker los bancos estadounidenses parecen ser los más
rentables, ya que representan el 12 por ciento del total de activos y el 18 por ciento del capital de nivel 1 peroobtienen el 32 por ciento de los beneficios (sin descontar impuestos) totales.
26 Véanse los cuadros A.II.4 y 5 del anexo en UNCTAD (1998).
27 Véase Comisión Europea (1997).S/C/W/72
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reciente sobre los centros financieros28 se llega a la conclusión de que, si bien por lo menos algunos
de ellos seguirán prosperando, los que prosperen irán quitando cada vez más negocio a los centros
rivales y los que hoy son centros principalmente nacionales serán sustituidos por unos cuantos centros
internacionales.
Efectos de las nuevas tecnologías25. Los progresos tecnológicos han tenido importantes repercusiones en las industrias de
servicios financieros. La llegada de la tecnología de la información ha tenido el efecto de introducir
toda una nueva gama de competidores en los mercados de servicios financieros. Proveedores de
servicios de telecomunicaciones y grandes distribuidores al por menor están penetrando en el sector
con acceso directo al consumidor.
29 Se citan como principales tipos de servicios financieros virtuales
las redes de cajeros automáticos, las transferencias electrónicas de fondos en el punto de venta, la
banca a domicilio o la banca a distancia y las tarjetas inteligentes, que han causado la "revolución dela banca virtual".
30 Se han producido cambios revolucionarios en las bolsas de valores, en las que el
comercio en el parqué ha quedado reemplazado casi por completo por el comercio informatizado. La
mayoría de las principales bolsas de valore s y productos derivados del mundo faci litan medios
electrónicos para realizar las transacciones, y el pago y compensación de las transacciones financieras
se hacen también electrónicamente.
26. A ese respecto, la realización de las transacciones bancarias y del comercio de valores por
medios electrónicos se ha convertido hace ya tiempo en la regla general entre las instituciones
financieras y lo mismo está ocurriendo de manera creciente entre las empresas. Por otro lado, a nivel
minorista, relativamente pocos de los principales bancos del mundo prestan ya servicios bancarios en
línea. No obstante, se espera que esta situación cambie rápidamente, ya que se estima que el costototal de una transacción por Internet es una fracción del costo de una transacción realizada en una
ventanilla bancaria. En el sector de los seguros, algunos esperan que las ventas y los servicios en
línea sustituyan a la mayoría de las ventas tradicionales mediante agentes o servicios telefónicos.
31 La
comercialización adaptada o individualizada de los productos y servicios financieros es mucho más
fácil y menos costosa por conducto de Internet. Diversas formas de asesoramiento financiero yservicios personales se prestan bien también al suministro electrónico, pero la rapidez de su desarrollo
puede depender de la seguridad y la confidencialidad de las transacciones financieras por Internet.
32
Se prevé que casi todas las instituciones financieras contarán para el año 2000 con un sitio en Internetque ofrezca servicios básicos, y el 42 por ciento proyecta prestar por Internet servicios más amplios,
tales como el pago de facturas o la información sobre saldos.
33
28 The Economist , 9 de mayo de 1998.
29 Véase Departamento de Comercio de los Estados Unidos (1998) y Hindle, Tim (1997).
30 Por ejemplo, véase Essinger, James (1998). No obstante, esos cambios tal vez no sigan siempre un
curso directo. Véase, por ejemplo, The Economist , 21 de noviembre de 1998, con respecto a la tibia reacción de
los consumidores ante las tarjetas inteligentes.
31 Se tienen noticias, sin embargo, de que el sector de los seguros no ha adoptado aún el uso de Internet
en la medida en que lo han hecho otros servicios financieros, debido en parte a cuestiones de reglamentación.Véase Pomeroy, Glenn (1998).
32 Departamento de Comercio de los Estados Unidos (1998). Una cuestión de reglamentación conexa
es lo que constituye la "captación de clientes" o "comer cialización activa" en las transacciones por Internet, ya
que muchos países adoptan reglamentaciones que prohíben o restringen la captación de clientes ocomercialización activa transfronter iza de los servicios financieros.
33 Véase OMC (1998), páginas 32 y 33, y Departamento de Comercio de los Estados Unidos (1998),
páginas 29 a 33.S/C/W/72
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Comercio de servicios financieros, por modos de suministro
27. Con la llegada de las nuevas tecnologías y las consiguientes posibilidades de realizar
transacciones a distancia, cabría esperar que en el suministro de servicios financieros se generalizara
cada vez más el modo 1 (comercio transfronterizo) frente al modo 3 (presencia comercial).34 S i n
embargo, en el caso de algunos tipos de servicios financieros, en particular los de administración deactivos y banca privada o seguros de vida, que entrañan contratos a largo plazo o atención personal,
parece aún necesario el contacto directo entre consumidor y proveedor. Las inversiones que requiere
la obtención de acceso a las transacciones electrónicas, y las cuestiones de seguridad y otras
cuestiones normativas con ellas relacionadas, limitarán no obstante el crecimiento del comercio
transfronterizo, especialmente en el caso del consumidor minorista. Por consiguiente, aunque la
importancia relativa de los modos de suministro de los servicios financieros parece inclinarse
últimamente hacia el modo 1, tal vez el modo que predomine en el suministro de serviciosfinancieros, en particular en los países en desarrollo, sea el modo 3.
Función del sector público
28. Como consecuencia de la importancia económica de los servicios financieros, el hecho de que
el sistema financiero constituye una infraestructura básica de la economía y las grandes
preocupaciones cautelares de los países, el sector público ha desempeñado tradicionalmente unaimportante función en los sectores de servicios financieros de los países, aunque no tan importante
como en la esfera de las telecomunicaciones. En el caso de la banca, la totalidad del sector bancario o
importantes partes de él son aún propiedad o están bajo el control de entidades públicas, aunque existe
una clara tendencia a la privatización. En muchos países, el sistema postal presta también servicios
financieros, especialmente en las zonas rurales, y su participación en los depósitos totales puede llegara ser de no menos del 20 por ciento del ahorro individual total.
35 En cuanto a los valores, las bolsas
de valores y productos derivados están a menudo dirigidas por entidades públicas o paraestatales, y el
control del sector público es con frecuencia mayor en el caso de actividades relacionadas con la
emisión de bonos del Estado que en el de otras actividades. También en las actividades de seguros
tiene el sector público en muchos países la propiedad y la dirección total o parcialmente.
Otros participantes en el mercado
29. En muchos países desempeñan también una importante función en el suministro de servicios
básicos de banca y seguros las cooperativas, las instituciones mutuas y otras entidades. Aunque la
razón de ser de esas instituciones pueda estar en algunos casos debilitándose debido a la integración
de los mercados nacionales e internacionales y a la creciente competencia entre todos los tipos de
instituciones financieras y no financieras, a menudo gozan de trato especial en lo que se refiere a
condición jurídica, impuestos y subvenciones o suministro exclusivo de determinados productos.
30. Como ya se ha dicho, las instituciones no financieras, o no bancarias, desempeñan una
función cada vez más importante en los mercados financieros de hoy en día. La mayoría de los
llamados fondos de cobertura son instituciones no bancarias que no están sujetas a supervisión directa
de las autoridades financieras y se ha señalado la deficiencia de los sistemas de gestión del riesgo y de
la publicación de información con respecto a estas entidades y a los bancos que les otorgan préstamos.
34 El modo 2 (consumo en el extranjero) adquirirá importancia en el caso de los relativamente
adinerados y el modo 4 (presencia de personas físicas) es también importante para una serie de servicios, como
los servicios de asesoramiento o los servicios de consultores en seguros.
35 Por ejemplo, véase el informe del Examen de las Políticas Comerciales del Japón, OMC (1998a).S/C/W/72
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Esos fondos suelen acumular enorme poder, lo que les convierte en importantes participantes en el
mercado y en fuentes de riesgos sistémicos para el sector financiero en su conjunto.36
Cuestiones que podrían examinarse
a) ¿Qué efectos tendrá la actual crisis económica y financiera mundial en el crecimiento
del sector de servicios financieros y en el empleo? ¿Cuáles son las perspectivas acorto y a largo plazo del comercio de servicios financieros, dada la gravedad de la
crisis y las medidas adoptadas por los gobiernos para combatirla?
b) ¿Cuáles son las consecuencias de las innovaciones tecnológicas para la estructura de
las industrias y los mercados de servicios financieros? ¿Cómo afectarán esos
cambios al comercio de servicios financieros?
c) ¿Qué efectos pueden tener la consolidación y reestructuración de los sectores
financieros en el comercio de servicios financieros? ¿Aumentarán la competencia yel bienestar de los consumidores?
d) ¿Existe en los países una tendencia general a la privatización de las instituciones
financieras de propiedad estatal? En la afirmativa ¿qué efectos ha tenido en la
estructura de las industrias y los mercados financieros? ¿Cuál es la función del
sistema postal de ahorro y/o las cooperativas e instituciones mutuas en los distintospaíses?
e) ¿De qué manera afectarán a los países en desarrollo los cambios tecnológicos que
están teniendo lugar en el sector? ¿Qué condiciones pueden ser necesarias para que
los países en desarrollo Miembros puedan beneficiarse de las oportunidades que
brindan las nuevas tecnologías?
IV. REGLAMENTACIÓN DEL SECTOR DE SERVICIOS FINANCIEROS
Objetivos de la reglamentación del sector financiero
31. El sector de los servicios financieros figura entre los sectores de servicios más reglamentados.
Los gobiernos tienden a intervenir en diversas formas, ya que con frecuencia se considera que el
sector financiero es especial en el sentido de que presta determinados servicios que se estima son"bienes públicos".
37 Se considera que el sector constituye una de las infraestructuras básicas de una
economía y es esencial para el desarrollo. Los gobiernos sufren constantes presiones para que
protejan a sus sectores financieros de las perturbaciones, ya se deban a factores internos o externos.38
Los descalabros del mercado constituyen un grave problema en el sector, debido a las importantes
36 Euromoney , noviembre de 1998. Se dice que unos 5.000 fondos de cobertura, según las
estimaciones, con 200.000-300.000 millones de dolares en capital de inversión que respaldan activos de
alrededor de 2 billones de dólares, comercian con los bancos de inversiones.
37 OCDE (1997). Tal vez sea necesaria cierta prudencia, sin embargo, al respaldar esas hipótesis, ya
que la teoría económica podría indicar que muchas de las características supuestamente específicas del sectorfinanciero son en realidad comunes a muchos otros s ectores, como los de las telecomunicaciones básicas y el
transporte público.
38 Sin prejuzgar el resultado de la continuación de las negociaciones sobre las medidas de salvaguardia
urgentes previstas en el artículo X del AGCS, los proponentes de esas medidas en la esfera de los servicios hanconsiderado siempre que el sector financiero es uno de los sectores que podrían requerir medidas desalvaguardia urgentes.S/C/W/72
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asimetrías de información entre las partes en las transacciones financieras, y las políticas encaminadas
a prevenir los riesgos sistémicos y a proporcionar redes de seguridad -como el seguro de protección
de los depósitos bancarios- ocasionan inevitablemente un riesgo moral.
32. Aunque el contenido de la reglamentación del sector financiero ha venido cambiando
considerablemente en los últimos años, como se expone más adelante, no parece haber desaparecidola necesidad básica de intervención del gobierno en el sector para hacer frente a problemas
relacionados con descalabros del mercado. En el capítulo II de OMC (1997) se examinan cuatro tipos
de intervención o participación gubernamental que podrían tener una repercusión en el sector de los
servicios financieros: i) la gestión de la política macroeconómica, ii) las reglamentaciones cautelares,
iii) las reglamentaciones, no de carácter cautelar, que persiguen diversos objetivos de política públicos
distintos de los comprendidos en el punto iv), y iv ) las restricciones del comercio relacionadas con el
acceso a los mercados o el trato nacional. En el AGCS el punto ii) se trata en el párrafo 2 del Anexosobre servicios financieros, el iii) en el artículo VI y el iv) en los artículos XVI y XVII.
33. Se han realizado estudios
39 sobre la reglamentación de los servicios financieros en los que se
trata de los objetivos declarados de dicha reglamentación, que de hecho agrupa los puntos ii), iii) y iv)
de diversas formas. Todos ellos subrayan unánimemente la necesidad de políticas de reglamentación
destinadas a corregir los descalabros del mercado y los factores externos sistémicos observados en elsector financiero, es decir, a reducir los riesgos sistémicos y a mantener un sistema financiero seguro
y sólido, favoreciendo al mismo tiempo la competencia. Los beneficios económicos de la
liberalización del comercio de servicios financieros deben verse respaldados por regímenes internos
apropiados en materia de supervisión y reglamentación. A este respecto, la liberalización de los
servicios financieros en el marco del AGCS permite a los Miembros seguir esas políticas al autorizarla adopción de medidas cautelares al mismo tiempo que se suprimen progresivamente las restricciones
al comercio y la inversión en el sector de los servicios financieros y se favorece la competencia.
40
Reglamentación cautelar y otra reglamentación interna frente a Restricciones del comercio
34. No es la finalidad de la presente nota examinar el contenido apropiado de la reglamentación
cautelar o los medios de supervisión adecuada de la s instituciones financieras. En el capítulo V de
OMC (1997) y también en FMI (1998a) se describen los acontecimientos recientes en materia de
reglamentación cautelar y supervisión. Las organizaciones internacionales competentes se han
esforzado considerablemente en mejorar las normas en materia de reglamentación y supervisión de los
países.41 Se ha llegado en esta esfera a numerosos acuerdos bilaterales y memorandos de
entendimiento en materia de intercambio de información y cooperación entre las autoridades
39 Véase OCDE (1997) op. cit., y Edey, Malcolm y Ketil Hviding (1995). Véase también Barfield,
Claude E. ed. (1996) op. cit. , Introducción, donde se distingue entre reglamentación económica, reglamentación
en materia de salud, seguridad y medio ambiente y reglamentación sobre información.
40 OMC (1997). Véase también Dobson, Wendy y Pierre Jacquet (1998) y Barfield, Claude E. ed.
(1996) para un examen más completo de las cuestiones de reglamentación que se plantean en el contexto de laliberalización de los servicios financieros.
41 Véase BPI (1997) y otros documentos y publicaciones de la misma fuente. Las actividades del
Comité de Supervisión Bancaria de Basilea encaminadas a elaborar normas cautelares para la banca sonextensas y están bien documentadas. La IOSCO (Organización Internacional de Comisiones de Valores) y laIAIS (Asociación Internacional de Supervisores de Segu ros) realizan una labor similar en las esferas de los
valores y los seguros. Entre otros muchos códigos y normas, la IOSCO ha elaborado la Declaración de
objetivos y principios de la reglamentación en materia de valores y las normas internacionales de divulgación de
las ofertas transfronterizas y el registro inicial en Bo lsa de empresas de emisión extranjeras. La IAIS ha
elaborado, entre otras, la norma de supervisión de los regímenes de licencias. También la OCDE se ha mostradoactiva en esta esfera, en lo que se refiere especialmente a la reforma de la reglamentación del sector en suspaíses miembros.S/C/W/72
Página 13
nacionales de supervisión.42 Los esfuerzos internacionales para impedir el blanqueo de dinero han
logrado también grandes progresos en los últimos años.43
35. Provocaría pocas objeciones considerar que en la esfera de la banca, por ejemplo, constituyen
medidas cautelares las prescripciones en materia de coeficientes de suficiencia de capital, limitaciones
a la concentración de riesgos y sistemas de gestión de los riesgos, las prescripciones en materia deliquidez, las prohibiciones de las operaciones comerciales realizadas utilizando información
privilegiada y de las transacciones que den lugar a conflictos de intereses, las normas sobre la
clasificación de activos no productivos o morosos y la constitución de reservas al respecto, las
pruebas de aptitud e idoneidad para directores y administradores, y las prescripciones en materia de
transparencia y divulgación de información. En casos excepcionales, sin embargo, puede haber
diferencias de opinión sobre si determinadas medidas pueden considerarse cautelares y, por tanto, no
sujetas a consignación en las listas en el marco del AGCS.
44
36. Un posible medio de abordar las preocupaciones que suscitan las diferencias existentes entre
los países en lo que se refiere a reglamentación cautelar es que cada Miembro reconozca las medidas
cautelares de otros países con niveles elevados de reglamentación cautelar y vigilancia. Ese
reconocimiento podría basarse en un acuerdo o convenio con los países en cuestión o podría ser
unilateral. Aunque el Anexo sobre servicios financieros prevé ese reconocimiento, y existe unaprescripción de notificación en los apartados a) y c) del párrafo 4 del artículo VII, hasta la fecha no se
ha hecho ninguna notificación en el marco de esas disposiciones.
45
37. Pueden existir también medidas normativas de carácter no cautelar, como las prescripciones
en materia de concesión de préstamos a determinados sectores o regiones geográficas, las
restricciones con respecto a los tipos de interés o los derechos y comisiones, y las prescripciones deprestación de determinados servicios. Los servicios relacionados con la emisión de deuda pública
están muchas veces sometidos a reglas y normas especiales. Algunas de estas medidas pueden estar
sujetas a consignación en las listas en el marco del AGCS como limitaciones al acceso a los mercados
o limitaciones al trato nacional, especialmente cuando se aplican de manera discriminatoria. Pueden
requerir también exenciones de la obligación de trato NMF si se aplican de manera discriminatoriaentre los distintos interlocutores comerciales.
38. La elaboración de normas internacionales y códigos de buena conducta en las esferas de los
servicios financieros y la contabilidad de las transacciones y las instituciones financieras ha
42 La mayoría de esos acuerdos internacionales y bilaterales sobre reglamentación cautelar y
supervisión se basan en fundamentos morales o intercambio de cartas y documentos, no en tratadosinternacionales vinculantes como el AGCS.
43 En la realización de esos esfuerzos figura a la cabeza el Grupo de Tareas sobre Medidas Financieras,
encuadrado en la OCDE.
44 Las restricciones tradicionales al género de activid ad -por ejemplo, la segregación de las actividades
de banca, valores y seguros- como las existentes en los Estados Unidos y el Japón tienen objetivos cautelares,
pero, desde el punto de vista de países europeos con un a tradición de banca universal, puede considerarse que
tienen elementos no cautelares. Otro ejemplo pueden ser las normas de distribución de la cartera con respecto a
las inversiones de las instituciones financieras, donde parece haber un cambio encaminado a la adopción denormas de prudente discreción que permitan flexibilidad en las decisiones en materia de inversiones en vez delas restricciones numéricas tradicionalmente adoptadas en muchos países europeos. Ello no significanecesariamente, sin embargo, que las normas tradicionales constituyan restricciones al comercio que limitan el
acceso a los mercados o el trato nacional.
45 Ello no quiere decir, sin embargo, que no exista ese reconocimiento en las leyes nacionales o las
prácticas reglamentarias de los países.S/C/W/72
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progresado notablemente en los últimos años.46 Se espera que esos esfuerzos reduzcan la posibilidad
de que las normas y códigos nacionales sean consid erados por otros países excesivamente onerosos o
constituyan efectivamente obstáculos al comercio.
39. La política en materia de competencia no constituía una preocupación primordial para las
autoridades encargadas de la reglamentación del sector financiero en tiempos pasados, cuando losobjetivos prioritarios en esta esfera eran las consideraciones cautelares y la asignación de los recursos.
Como se ha dicho anteriormente, en muchos países el sector era de la propiedad o estaba bajo la
dirección, total o parcialmente, de entidades públicas, y algunos sectores de servicios financieros
estaban excluidos del ámbito de aplicación de la ley en materia de competencia.
47 En muchos casos
se aplicaban políticas encaminadas a reducir la competencia: controles de los tipos de interés,
limitaciones al número de operaciones y restricciones de los servicios prestados, por ejemplo
controles de asignación de créditos. Sin embargo, al emprender los gobiernos la privatización y ladesreglamentación, eliminando esos obstáculos, y recurrir cada vez más a la utilización de las fuerzas
del mercado para lograr objetivos de eficiencia, existe una creciente necesidad de que la política en
materia de competencia aborde la conducta anticompetitiva de los proveedores de servicios
financieros. El reciente aumento de fusiones y adquisiciones en las que intervienen las industrias de
servicios financieros podría ser motivo de preocupación a este respecto, salvo que con ello se logreelevar el nivel global de competencia a través de las actividades transnacionales de las instituciones
financieras fusionadas.
40. A ese respecto, tal vez sea también preciso reconsiderar la función de las asociaciones y
organizaciones industriales. Es innegable que en tiempos pasados esos organismos protegían con
frecuencia los intereses colectivos de las empresas miembros por medio de diversas disposicionesformales e informales que limitaban la competencia entre ellas. Muchos gobiernos estaban sujetos a
constantes presiones para proteger los intereses creados en las industrias financieras. Algunas
asociaciones u organizaciones industriales han asumido también funciones de reglamentación
autónoma, lo que es apropiado para mantener las normas y la calidad de los servicios prestados pero
puede tener también efectos negativos en la competencia.
48 En algunos países se está procediendo a
un examen de las actividades de esas asociaciones y organizaciones y se están limitando sus funciones
a la elaboración y aplicación de normas técnicas y códigos éticos, el suministro de información
pública y servicios de consultoría, y otras actividades no colusorias.
41. Las autoridades encargadas de la reglamentación financiera se han mostrado por lo general
prudentes en cuanto a la introducción de la competencia en el sector financiero, debido principalmente
a preocupaciones de carácter cautelar pero debido también a que muchos países han adoptado
políticas encaminadas al desarrollo de industrias y mercados financieros nacionales. Comoconsecuencia de esas preocupaciones, las prescripciones en materia de licencias y obtención de
autorización en la esfera de los servicios financieros son a menudo restrictivas y las condiciones o
requisitos sobrepasan a veces los objetivos cautelares, tales como la solvencia y competencia de los
solicitantes. Ésta parece ser la razón de que muchas de las prescripciones en materia de licencias o las
restricciones al número de licencias otorgadas se consignen en las Listas de los Miembros como
46 Por ejemplo, puede encontrarse un compendio de esas normas y códigos en materia de banca en la
página de presentación de Internet www.bis.org. Asimismo, la elaboración y adopción de normasinternacionales de contabilidad por el CINC (Comité Internacional de Normas de Contabilidad) y la IOSCO
tienen importantes consecuencias para el sector de los servicios financieros.
47 OMC (1997a), sección II.7.
48 El Entendimiento contiene un compromiso de garantizar a los proveedores de servicios financieros
de cualquier otro Miembro la concesión de trato nacion al con respecto a esas instituciones de reglamentación
autónoma. (Párrafo C.2.)S/C/W/72
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limitaciones al acceso a los mercados y al trato nacional.49 Cuando esas prescripciones en materia de
licencias se liberalicen y tengan un carácter puramente cautelar, tal vez no tengan ya que consignarse
como restricciones al comercio, aunque puede aún plantearse la cuestión de si constituyen obstáculos
innecesarios al comercio de servicios financieros.50
Restricciones del comercio y obstáculos al comercio observados
42. Como puede deducirse de las Listas de los países Miembros y del análisis que se hace en el
Apéndice 1 de OMC (1997), en el comercio de servicios financieros abundan las restricciones del
acceso a los mercados, en particular en los países de mercados emergentes. Por otro lado, muchas de
esas limitaciones se han suprimido o mitigado durante las sucesivas negociaciones celebradas en la
OMC, unilateralmente o por medio de negociaciones a nivel regional o multilateral. Están también
cobrando importancia los acuerdos regionales y bilaterales sobre la liberalización del comercio y las
inversiones en el sector de los servicios financieros. Pueden revestir la forma de un mercado único(UE), de acuerdos regionales de integraci ón económica (TLCAN, ASEAN y MERCOSUR) o de
acuerdos bilaterales o entendimientos (como las medidas Estados Unidos-Japón en la esfera de los
seguros y los servicios financieros).
51 El Código de Liberalización de los Movimientos de Capital y el
Código de Liberalización de las Operaciones Corr ientes de Invisibles, de la OCDE, así como su
Instrumento de Trato Nacional, contienen amplias disposiciones en materia de liberalización conrespecto a los países industrializados. El TLCAN contiene una sección especial sobre los servicios
financieros, junto con medidas transitorias que permiten la liberalización gradual de este sector en el
caso de México.
43. Con respecto a las limitaciones al acceso a los mercados aplicadas por los Miembros de la
OMC a la presencia comercial de proveedores de servicios financieros, son corrientes las restriccionesrelativas a los tipos específicos de persona jurídica o empresa conjunta y las limitaciones a la
participación de capital extranjero en las instit uciones financieras locales. Aunque esas medidas
pueden ser consecuencia de una política encaminada a desarrollar las industrias financieras
nacionales, pueden también estar motivadas por preocupaciones relativas a la supervisión, ya que la
vigilancia de las sucursales requiere información sobre la casa matriz situada en el extranjero y resultamás difícil que la supervisión de filiales constituidas en sociedad en el país, especialmente cuando el
mecanismo de vigilancia no está muy desarrollado.
52 A este respecto, se espera que la cooperación
internacional en la supervisión consolidada de las instituciones financieras mitigue gradualmente las
preocupaciones de ese género que puedan tenerse.
44. Hay otras formas de restricción del acceso a los mercados, entre ellas las limitaciones al
número de licencias otorgadas, ya sea mediante contingentes numéricos o pruebas de necesidades
económicas. Algunos países imponen una moratoria o una congelación con respecto a la concesiónde nuevas licencias bancarias. Una restricción de la concesión de nuevas licencias puede tener
49 Cabe señalar de nuevo que el Entendimiento (párrafo B.6.) autoriza expresamente a los Miembros
que lo adopten a imponer condiciones y procedimientos para autorizar el establecimiento y ampliación de unapresencia comercial.
50 Aunque técnicamente tal vez no sean aplicables a las medidas cautelares los párrafos 4 y 5 del
artículo VI, pueden pese a ello plantearse cuestiones sobr e si están basadas en criterios objetivos y transparentes
y son o no más gravosas de lo necesario.
51 Puede verse el contenido de esos acuerdos y convenios en las notificaciones hechas a la OMC en el
marco del artículo V del AGCS, las actas de las reuniones del Comité de Acuerdos Comerciales Regionales y en
diversos informes sobre los exámenes de las políticas comerciales. Véase también, por ejemplo, White (1996).
52 Es interesante observar, sin embargo, que algunos países (por ejemplo, la India y Corea hasta hace
poco tiempo) parecen haber preferido las sucursales de bancos extranjeros a las filiales.S/C/W/72
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connotaciones cautelares si los países tratan de impedir un exceso de establecimientos bancarios o una
competencia excesiva en el sector financiero con objeto de reducir el riesgo sistémico y garantizar un
servicio ininterrumpido. Sin embargo, puede no reunir las condiciones requeridas para ser
considerada una medida cautelar en el sentido del Anexo, puesto que no tiene por finalidad directa
proteger a los inversores y depositantes ni corregir una situación de inestabilidad; su principalobjetivo es restringir la competencia, incluida la de un competidor solvente y superior. Cabe aplicar
consideraciones similares a las restricciones del número de operaciones, por ejemplo de sucursales o
cajeros automáticos, así como a las limitaciones al valor de las transacciones o los activos (por
ejemplo, limitaciones a la proporción de activos bancarios en poder de bancos extranjeros).
45. En lo que se refiere al trato nacional, son muy corrientes las prescripciones en materia de
autorización especial aplicadas a las instituciones extranjeras, las limitaciones a la propiedad de la
tierra y las prescripciones en materia de nacionalidad y residencia con respecto a los miembros delconsejo de administración. También los impuestos y las subvenciones son motivo de preocupación en
el contexto del trato nacional. La tributación es con frecuencia un factor determinante de la decisión
sobre la localización de las transacciones financieras y puede alterar sustancialmente las condiciones
de competencia entre los proveedores de servicios financieros.
53 Tampoco son infrecuentes las
subvenciones, pero pueden revestir la forma de préstamos preferenciales del banco central o deentidades públicas, que puede resultar difícil detectar. La asistencia oficial prestada al sector bancario
en el contexto de una crisis financiera puede tener consecuencias en relación con el trato nacional,
pero puede constituir una medida cautelar si el objetivo perseguido es proteger a los depositantes o
restablecer la estabilidad del sistema financiero.
54 El trato nacional y el trato NMF son cuestiones
importantes en la contratación pública de servicios financieros, especialmente cuando está relacionadacon la emisión de deuda pública.
46. Algunos observadores han manifestado que en los países de la OCDE se han reducido
sustancialmente las restricciones al acceso a los mercados y al trato nacional en el sector de los
servicios financieros gracias a la reforma realizada,
55 y la mayoría de los progresos hechos, en
particular con respecto a la presencia comercial, han quedado reflejados en los compromisoscontraídos por esos países en las últimas negociaciones celebradas.
56 Como consecuencia, la atención
de los gobiernos al abordar los obstáculos al comercio de servicios financieros parece centrarse ahora
en medidas no discriminatorias contenidas en la reglamentación nacional, incluidas las medidas
cautelares y las prescripciones y procedimientos en materia de licencias que puedan tener por efecto
crear dificultades al avance en el mercado de los proveedores extranjeros.57 En este contexto cada vez
53 El Comité de Asuntos Fiscales de la OCDE ha venido examinando las cuestiones relativas a la
tributación de los nuevos instrumentos financieros y del comercio global de instrumentos financieros. Véasehttp://www.oecd.org/daf/fa.
54 En el documento S/WPGR/W/25, de 26 de enero de 1998, se dice que, según los exámenes de las
políticas comerciales realizados en la OMC, en los últimos años por lo menos 10 Miembros han prestado
asistencia a sus sectores bancarios extraterritoriales o han socorrido a bancos nacionales en dificultades.
55 En OCDE (1997) se hace una evaluación de es e tipo con respecto al proceso de reforma de la
reglamentación del sector. Indudabl emente, los Códigos de la OCDE de Liberalización de los Movimientos de
Capital y las Operaciones Corrientes de Invisibles ha n desempeñado una importante función a este respecto.
56 Esto se ha logrado mediante la adopción del Entendimiento. Sin embargo, los compromisos en
materia de acceso a los mercados con respecto al comercio transfronterizo de servicios financieros en el marco
del Entendimiento no abarcan los servicios "básicos" de las empresas de banca, valores o seguros.
57 Véase Kampf, Roger (1997) para un examen de esta cuestión. En el Entendimiento (párrafo B.10.)
se abordan algunas de esas preocupaciones sobre las medidas no discriminatorias. Pueden verse algunos
ejemplos de obstáculos normativos observados en relaciones comerciales bilaterales en Consejo de EstructuraIndustrial, Japón (1998) y USTR (Representante de los Estados Unidos para las Cuestiones Comerciales)
(1998). Véase también Comisión Europea (1996).S/C/W/72
Página 17
se tienen más en cuenta la transparencia y la eficiencia del proceso administrativo. Con la
liberalización adquieren una importancia creciente las salvaguardias competitivas, o medidas
apropiadas para crear una competencia leal en mercados recientemente abiertos.
47. La consignación en las Listas de compromisos adicionales por parte de varios países58 en el
marco de las últimas negociaciones, que contienen directrices o principios normativos sobre losprocedimientos de concesión de licencias y autorización de nuevas actividades y productos, parece
reflejo de esos cambios del centro de atención.
59 Como también países no pertenecientes a la OCDE
reducen las restricciones al comercio en el marco del AGCS, se espera asimismo que los obstáculos al
libre comercio de servicios financieros que subsistan en esos países se deban a las diversas diferencias
entre las reglamentaciones nacionales de carácter cautelar o no cautelar de los distintos países.
48. Entre otras preocupaciones específicas de las autoridades encargadas de la reglamentación
financiera expuestas en anteriores negociaciones figuran las siguientes: cuestiones relativas a lastransferencias de información y el procesamiento de datos, incluida la transferencia del equipo
necesario; competencia técnica en la solución de diferencias sobre cuestiones cautelares y otros
asuntos financieros; y acceso de los proveedores de servicios financieros a los sistemas de pago y
compensación.
60
Cambiante estructura de la reglamentación de los servicios financieros
49. Al mismo tiempo que se producían los cambios de la estructura de las industrias y los
mercados examinados en la sección II, en los últimos años se introdujeron importantes modificaciones
en los regímenes normativos de los países en relación con los servicios financieros. En OCDE (1997)
se describe la evolución de la reglamentación del sector financiero en los países de la OCDE hacia un
proceso de adopción de decisiones basado en el mercado hasta los primeros años del decenio de 1980-por ejemplo, la supresión de los controles de los tipos de interés y la liberalización de las normas
sobre distribución de la cartera de valores- en tanto que las reformas realizadas últimamente han
servido para hacer más estricta la supervisión cautelar mediante la imposición de prescripciones en
materia de capital más rigurosas y la prohibición de las transacciones comerciales realizadas
utilizando información privilegiada.
61 También las normas sobre divulgación de información y
contabilidad se han hecho más rigurosas en muchos países, especialmente en los últimos años. A este
respecto, la desreglamentación realizada con respecto a diversas restricciones de las actividades de los
proveedores de servicios financieros, que afecta a reglamentaciones de carácter cautelar y no cautelar,
ha ido seguida o acompañada de un nuevo proceso de reglamentación: normas cautelares y en
materia de transparencia más rigurosas y política de competencia.62
50. Ese proceso de desreglamentación y nueva reglamentación es tanto la causa como el efecto de
la intermezcla de diversas actividades de prestación de servicios financieros y la difuminación de lasdistinciones entre diferentes tipos de instituciones financieras observadas en muchos países
industrializados que se han mencionado antes. La eliminación o reducción de la tradicional
segmentación de las industrias de servicios financieros ha aumentado la competencia entre los
58 La Unión Europea, el Japón y los Estados Unidos. Véase la sección IV infra .
59 Algunos de los compromisos adicionales parecen ser ampliaciones de la disposición que figura en el
párrafo 3 del artículo VI.
60 Véanse las disposiciones pertinentes del Anexo y el Entendimiento.
61 Véase OCDE (1997).
62 Puede obtenerse información sobre la evolución de la reglamentación de los países de la OCDE en la
publicación " Financial Market Trends ", OCDE, junio de 1998 y otros números.S/C/W/72
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proveedores de servicios financieros al hacer que los consumidores puedan cada vez más obtener
servicios bancarios, de valores, de seguros y de administración de activos en una sola entidad. No
obstante, esa desreglamentación tiene que ir acompañada de normas cautelares y de transparencia
apropiadas, así como de medidas encaminadas a impedir las prácticas anticompetitivas, con el fin de
aumentar efectivamente la competencia leal y la innovación en las industrias y los mercados deservicios financieros.
51. Como se ha dicho en la sección I, la reglamentación del sector financiero la formulaba
tradicionalmente el tipo de institución al que se aplicaba dicha reglamentación, por ejemplo las leyes
sobre las empresas de valores y las compañías de seguros en muchos países. Sin embargo, al entrar
diferentes instituciones financieras (o no financieras) en mercados que antes estaban reservados a un
determinado tipo de entidad financiera, en la legislación han de tenerse en cuenta los diversos
participantes en el mercado y garantizar que la reglamentación no distorsione la competencia entreellos.
63 La integración mundial, regional y bilateral de los mercados pone cada vez más al descubierto
las incoherencias y distorsiones resultantes de las diferencias existentes entre las legislaciones
nacionales y hay una creciente necesidad de coordinación internacional.
52. En OMC (1997) se describen los esfuerzos internacionales en curso para llegar a una
supervisión consolidada global de las instituciones financieras. Sin embargo, la capacidad tanto de lasentidades reguladas como de las no reguladas de disgregar, reagregar y negociar los riesgos
financieros ha hecho difícil, por no decir prácticamente imposible, identificar la distribución del
riesgo financiero entre las instituciones. El reciente caso del colapso de un importante fondo de
cobertura constituye un ejemplo de esa dificultad. Por consiguiente, existe también una necesidad
creciente de mejorar los medios de lograr una supervisión consolidada, al diversificarse lasactividades de las instituciones financieras y crearse conglomerados financieros mediante fusiones y
adquisiciones. Además de lograr que haya coherencia en el trato normativo de los diferentes
participantes en el mercado, también debe ser mayor la coherencia de la reglamentación de las
actividades financieras en los diferentes mercados de activos.
64
53. Para atender a esas necesidades, en algunos países las autoridades encargadas de la
reglamentación han procedido ahora a: i) reorganizar la estructura normativa y pasar a la
reglamentación por funciones, aplicable a todos los tipos de entidades que presten servicios idénticos;
y ii) crear una "superinstitución de reglamentación" que pueda ejercer una vigilancia efectiva de los
diversos tipos de instituciones financieras y conglomerados financieros.65 También se están
reexaminando las reglamentaciones subfederales o las restricciones geográficas con respecto a las
actividades de las instituciones financieras a medida que avanza la integración regional de los
mercados o que los progresos tecnológicos aumentan el alcance de las instituciones financieras.66
54. En respuesta a la integración internacional de las instituciones y los mercados financieros
antes mencionada, también se está revisando la estructura de las autoridades de reglamentación y
supervisión a nivel internacional. Últimamente, debido en particular a la actual crisis, en la que
intervienen la volatilidad de los mercados y los problemas relacionados con las actividades de los
63 Esas consideraciones sobrepasan las fronteras, ya que las reglamentaciones con efectos de distorsión
podrían provocar una competencia normativa entre los países que se traduciría en general en una reglamentación
subóptima.
64 IOSCO (1998).
65 En el recuadro 5.9 de FMI (1998a) se cita como ejemplo de esas iniciativas la Autoridad de Servicios
Financieros del Reino Unido.
66 Constituyen ejemplos obvios la creación del mer cado único en Europa y la liberalización de los
servicios bancarios interestatales en los Estados Unidos.S/C/W/72
Página 19
fondos de cobertura y la inadecuada gestión de los riesgos de las instituciones financieras, se está
pidiendo el fortalecimiento de la arquitectura del sistema monetario internacional. Las principales
iniciativas emprendidas a este respecto bajo los auspicios del FMI y otros grupos, como el G-22 y
el G-7, son las siguientes: i) la elaboración, di vulgación y adopción de normas o códigos de buena
conducta aceptados internacionalmente, ii) el fomento de una mayor transparencia y divulgación deinformación, iii) el fortalecimiento de los sistemas financieros nacionales mediante la colaboración y
coordinación internacional, iv) la promoción de la integración ordenada de los mercados financieros
internacionales, y v) el fomento de la participación del sector privado en la evitación y solución de las
crisis financieras.
67 En el marco del punto iv), se ha pedido a la Junta del FMI que examine la
experiencia de los países en la utilización de controles de los movimientos de capital y las
circunstancias en que pueden ser apropiadas esas medidas.68
55. Sobrepasaría el alcance de la presente nota tratar de hacer una exposición completa de los
debates en curso sobre la idoneidad de los controles de capitales y los controles cambiarios ante la
crisis actual. También son frecuentes los debates sobre la conveniencia de la liberalización de la
cuenta de capital y su debida secuencia.69 A los efectos de la presente nota, tal vez baste mencionar
que la liberalización de los movimientos de capital exigida en el AGCS se limita a lo necesario para el
suministro de un servicio sujeto a los compromisos específicos contraídos con respecto al modo 1(entradas y salidas) y al modo 3 (entradas) (artículos XI y XVI (nota de pie de página)), como señalan
Dobson, Wendy y Pierre Jacquet (1998).
70 Incluso cuando los gobiernos estimen necesario reforzar
temporalmente los controles de capitales por motivos cautelares, es decir, para garantizar la integridad
y estabilidad del sistema financiero, desearán también lograr que esas medidas no socaven los
sustanciales beneficios resultantes de la liberalización del comercio de servicios financieros en elmarco del AGCS.
71
56. Aunque es demasiado pronto para prever los resultados de las últimas reformas realizadas por
los gobiernos en la reglamentación y supervisión de los servicios financieros, no parece haber duda
67 Comunicado del Comité Provisional del FMI, de 4 de octubre de 1998, e Informe del Director
Gerente del Comité Provisional sobre el fortalecimiento de la arquitectura del sistema monetario internacional,octubre de 1998. Véanse también los informes de los tres Grupos de Trabajo del G-22 sobre estas cuestiones.Todos esos documentos pueden obtenerse en http://www.imf.org.
68 Hay varias propuestas de participantes en el mercado y observadores. Véase, por ejemplo, Soros,
George (1998). A continuación figuran algunas de las propuestas incluidas en este testimonio: el
establecimiento de una Corporación Internacional de Seguro del Crédito, el establecimiento de algún tipo devigilancia internacional de las autoridades nacionales de supervisión, y la reconsideración del sistema bancario
internacional y el funcionamiento de los mercados de "swaps" y productos derivados.
69 Puede verse un interesante contraste de opiniones en Bhagwati, Jagdish (1998), Krugman,
Paul (1998) y Summers, Laurence H. (1998). Véase también UNCTAD (1998a).
70 Según estos autores, "el acceso a los mercados y la entrada de extranjeros implican que habrá a
continuación cierta libertad de los mo vimientos de capital, pero esa libertad no necesita ser completa". En FMI
(1998b) se dice que hay claramente margen para intensificar los esfuerzos encaminados a lograr que la
liberalización de la cuenta de capital siga el orden debido y sea prudente (página 18). Véase también Sorsa,
Piritta (1997). Kono, Masamichi y Ludger Schuknecht (1998) tratan de examinar también la distinción entre la
liberalización de los servicios financieros y la liberalización de la cuenta de capital.
71 En FMI (1998a), sección III, se examinan las cues tiones de política que se plantean a ese respecto.
Se dice que (en los mercados emergentes en los que ex isten límites al ritmo al que pueden fortalecerse los
sectores financieros) los encargados de la formulación de las políticas tienen que realizar una apertura ordenada
de sus sistemas financieros y tal vez necesiten consider ar la posibilidad de adoptar medidas temporales para
restringir determinados tipos de entradas (de capital) (página 79). Véase también, por ejemplo,Krugman, Paul (1998).S/C/W/72
Página 20
alguna de que tienen por finalidad mejorar el funcionamiento de los mercados y completar, no anular,
lo logrado en la liberalización de los servicios financieros. Para que los países puedan beneficiarse de
las considerables ventajas de la liberalización tienen que cumplirse las siguientes condiciones previas:
reglamentación cautelar y supervisión adecuadas, mayor transparencia y mejor gobierno de las
empresas, política de competencia reforzada y establecimiento de redes de seguridad y sistemasjurídicos y de contabilidad adecuados.
Cuestiones que podrían examinarse
a) ¿Les ha planteado problemas a los Miembros la interpretación del alcance de las
medidas cautelares definidas en el Anexo del AGCS? En la afirmativa ¿qué
soluciones podrían darse a esos problemas? ¿Podrían los países informar a los demás
Miembros de su experiencia con respecto al reconocimiento de las medidas cautelares
de otros países?
b) ¿Cuáles son las principales restricciones al comercio que aún quedan en el sector de
los servicios financieros? ¿Saben los Miembros de la existencia de medidas de
carácter cautelar o no cautelar adoptadas en la reglamentación nacional que
constituyan obstáculos al comercio de servicios financieros?
c) ¿Cuáles son las consecuencias para el AGCS y los compromisos contraídos por los
Miembros de las reformas de la reglamentación del sector financiero realizadas
recientemente en muchos países? ¿Tendrá la reforma en curso de la arquitectura del
sistema monetario internacional consecuencias para la liberalización del comercio de
servicios financieros en el marco del AGCS?
V. COMPROMISOS CONTRAÍDOS EN EL MARCO DEL AGCS
57. En el Apéndice 1 de OMC (1997) se hace un análisis del alcance, nivel y tipo de los
compromisos en materia de servicios financieros contraídos en el marco del AGCS (antes de la
conclusión de las últimas negociaciones). Aunque se han hecho mejoras importantes de esos
compromisos como consecuencia de las negociaciones sobre los servicios financieros concluidas el
pasado mes de diciembre, los nuevos compromisos no han entrado aún en vigor en la fecha de lapresente nota; debido a limitaciones de los recursos, no ha podido actualizarse el análisis numérico
ofrecido en los cuadros 10 a 21 de la citada publicación.
72 No obstante, en la página de presentación
de la OMC en Internet (http://www.wto.org) se ofrece un resumen de las principales mejoras
resultantes de las negociaciones, así como una nota informativa sobre los resultados de las últimas
negociaciones.73
58. En el cuadro 9 puede verse el alcance sectorial de los compromisos, teniendo en cuenta los
progresos realizados en las negociaciones. Dicho cuadro revela también que casi todos los Miembros
que han contraído compromisos en la esfera de los servicios financieros abarcan los servicios
"básicos" de seguros, banca y valores. Son algo menos los Miembros que han contraído compromisos
en esferas tales como las actividades de intermedia ción de seguros y el suministro y transferencia de
información financiera. Sólo la mitad aproximadamente de los Miembros con compromisos en
72 Cuando ese análisis esté disponible, se distribuirá como adición a la presente nota.
73 Véase también Kampf, Roger (1998); Dobson, Wendy y Pierre Jacquet (1998); y British Invisibles
(1998) para una evaluación de los resultados. Ma ttoo, Aaditya (1998) ofrece un análisis de los nuevos
compromisos contraídos por los países en desarrollo. Han realizado también análisis anteriores a las últimasnegociaciones Kampf, Roger (1995), Bedore, James (1995), Sorsa, Piritta (1997), y Key, Sydney J. (1997).S/C/W/72
Página 21
materia de servicios financieros los han contraído en el comercio de productos derivados. Se han
realizado mejoras en los tres principales sectores de servicios financieros: banca, valores y seguros.74
59. En cuanto a la cobertura de los compromisos contraídos en lo que se refiere a los modos de
suministro, siguen predominando los compromisos relativos a la presencia comercial (modo 3) frente
a los relativos al suministro transfronterizo (modo 1). La mayor parte de las mejoras realizadas en elcurso de las últimas negociaciones afectaron también al modo 3, aunque hubo algunas excepciones,
como el caso de Macao, que mejoró sus compromisos con respecto exclusivamente al suministro
transfronterizo y el consumo en el extranjero (modos 1 y 2). Las mejoras relacionadas con el modo 3
revistieron la forma, entre otras, de eliminación o reducción de las limitaciones a la propiedad
extranjera de instituciones financieras nacionales, a la modalidad jurídica de la presencia comercial
(sucursales, filiales, oficinas de representación, etc.) y a la expansión de las operaciones existentes.
60. Una importante cuestión de la que se trató en las negociaciones fue la aplicación de la
cláusula de anterioridad en lo que se refiere a las sucursales y filiales de instituciones financieras
extranjeras ya existentes que fueran de propiedad extranjera total o mayoritariamente. Cuando el
compromiso consignado en la Lista de un Miembro resultaba más restrictivo que el statu quo en el
país (por ejemplo, en lo que respecta a la participación de capital extranjero permitida en las
instituciones financieras nacionales o al número de sucursales autorizado) debido a un cambio de lasleyes nacionales, se contrajo un compromiso específico de garantizar el nivel existente de acceso a los
mercados de extranjeros. Por lo menos siete Miembros (Brasil; Filipinas; Hong Kong, China;
Indonesia; Malasia; Pakistán y Tailandia
75) consignaron explícitamente esas garantías en sus Listas
como resultado de las últimas negociaciones.76
61. Treinta y nueve Miembros han obtenido exenciones sectoriales del trato NMF en la esfera de
los servicios financieros.77 Aunque, como resultado de las últimas negociaciones, se eliminaron en
gran medida las exenciones generales del trato NMF basadas en la reciprocidad (o requisitos
similares), siguen figurando en las Listas de exenciones del trato NMF de 13 Miembros.78 En relación
con la cuestión de la aplicación de la cláusula de anterioridad a la participación extranjera existente en
las instituciones financieras nacionales, los Esta dos Unidos obtuvieron una exención del trato NMF en
el sector de los seguros, aplicable en caso de cesión forzosa de la participación estadounidense en
empresas proveedoras de servicios de seguros que operen en países Miembros de la OMC.
74 Dobson, Wendy y Pierre Jacquet (1998).
75 En lo que se refiere a este país, se aplica ta mbién la cláusula de anterioridad a los nuevos
participantes en el mercado durante un período de 10 años, en el que se suspenden las limitaciones a laparticipación de capital extranjero en los ba ncos constituidos en sociedad en el país.
76 En Mattoo, Aaditya (1998) se ofrece un cuadro si nóptico de los compromisos de ese tipo contraídos
por los Miembros.
77 Con inclusión de Côte d’Ivoire, que aún no ha contraído compromisos en materia de servicios
financieros pero presentó el 12 de diciembre de 1997 una Lista de exenciones del trato NMF (S/L/48).
78 Brunei Darussalam, Colombia, Emiratos Árabes Unidos, Filipinas, Honduras, Hungría, Indonesia,
Israel, Mauricio, Perú, Turquía y Venezuela. Como consecuencia de las últimas negociaciones, Mauricio halimitado el alcance de su exención del trato NMF basada en la reciprocidad a los servicios no enumerados en su
Lista de compromisos específicos. Hungría ha limitado la aplicabilidad de su exención mediante la supresión deuna prescripción en materia de licencias discrecionales . Filipinas ha reducido el ámbito de aplicación de su
exención en la banca comercial mediante la exclusión de dicho ámbito de la expansión de las operaciones
existentes, con lo que sólo queda el establecimiento de nueva presencia comercial. Venezuela ha reducido elámbito de aplicación de su exención excluyendo de dich o ámbito los servicios relacionados con los mercados de
capitales.S/C/W/72
Página 22
62. Sólo un pequeño número de países han contraído compromisos adicionales. Mientras que
algunos Miembros (Brasil, el Japón y la Unión Europea en lo que se refiere a Suecia) han utilizado
esa columna para indicar planes futuros de contraer nuevos compromisos o progresos logrados en la
reforma de la reglamentación, otros (la Unión Europea, el Japón y los Estados Unidos) han indicado
directrices o principios rectores con respecto a los procedimientos administrativos como resultado delas últimas negociaciones.
63. Cabe señalar que la liberalización del comercio de servicios financieros (y la preparación de
ofertas de consolidación en el marco del AGCS) continúa incluso después de la conclusión de las
negociaciones, pese a la actual crisis económica y financiera. Varios países han adoptado medidas
encaminadas a la liberalización del establecimiento de filiales de bancos extranjeros y otras
instituciones financieras en el marco de sus programas de reforma económica y financiera.
79
Cuestiones que podrían examinarse
a) ¿Hasta qué punto reflejan los compromisos actuales las condiciones de acceso reales
en los sectores de servicios financieros de los países? ¿Qué tipos de restricciones al
comercio siguen siendo corrientes entre los Miembros?
b) ¿Podrían facilitar las delegaciones datos actualizados sobre las medidas de
liberalización adoptadas en sus países tras la conclusión de las últimas negociaciones?
VI. OTRAS FUENTES DE INFORMACIÓN
64. Son muchas las fuentes de información utilizadas al elaborar la presente nota, pero, dada la
abundancia de información relacionada con este sector, sólo será posible facilitar una lista de las
principales fuentes. Las notificaciones hechas en el marco del AGCS son fuentes obvias de
información sobre la evolución de las reglamentaciones y, en particular, sobre los acuerdos deintegración económica. En cuanto a los obstáculos al comercio observados por los países, las
principales fuentes de información con respecto al sector son los informes oficiales publicados por los
gobiernos de los países industrializados y por las organizaciones internacionales. También son
valiosas fuentes de información las asociaciones y organizaciones de los sectores financieros de los
países Miembros.
65. Como se indicaba en OMC (1997), hay una relativa escasez de datos fiables y detallados
sobre el comercio de servicios financieros. Se señalaba asimismo que la medición de la producción y
el comercio de servicios financieros es compleja y difícil. En la bibliografía que figura a continuación
se indican las principales fuentes de datos disponibles, pero existe un considerable margen de mejora
tanto en lo que se refiere a la cobertura como a la calidad de los datos reunidos.
66. En el cuadro 10 se facilita una lista de las páginas de presentación en Internet de los Bancos
centrales y Ministerios de Hacienda u otros organismos normativos que han podido identificarse.80
Todas las principales instituciones financieras mundiales, así como las asociaciones industriales,
publican guías, boletines de noticias u otras publicaciones con información relativa a los
79 Cabe citar como ejemplos los casos de Indonesia, la República de Corea y Tailandia. Corea ha
anunciado su intención de consolidar mejores compromiso s en la esfera de los servicios financieros tras la
conclusión de las negociaciones. Côte d’Ivoire está pr eparando la presentación por primera vez de una oferta en
relación con los servicios financieros.
80 En varios Miembros la potestad de reglamentación reside en los organismos de los gobiernos
subfederales. En esos casos se indican las fuentes de información a nivel nacional o federal,
independientemente de su condición como organismos normativos. La lista es incompleta y se actualizará amedida que se identifiquen nuevos sitios Internet.S/C/W/72
Página 23
acontecimientos ocurridos recientemente en el sector financiero y los mercados financieros de todo el
mundo.81 Gran número de diarios, revistas, periódicos, servicios de noticias en línea y sitios Internet
están especializados en servicios financieros. Algunos de ellos se citan en las notas de pie de página
de la presente nota y se incluyen en la bibliografía que figura a continuación.
Cuestiones que podrían examinarse
¿Hay otras fuentes útiles de información de las que tengan conocimiento las delegaciones?
¿De qué tipos de información se carece en este sector que puedan necesitarse en futuras
negociaciones? ¿Hay otras fuentes de datos o información estadística útiles?
81 No existe una lista completa de esas publicaciones, pero cabe citar como ejemplo UBS (1997).
Véase también, por ejemplo, Economics for Investment , American Express Bank Ltd., noviembre de 1998 y
otros números.S/C/W/72
Página 24
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Remarks to the Cato Institute, Treasury News, 22 de octubre de 1998, Departamento del Tesoro de los
Estados Unidos, Wáshington, D.C.
UBS (1997). The UBS Guide to the Emerging Ma rkets, Unión de Bancos Suizos, Bloomsbury
Publishing, Londres.
UNCTAD (1998). World Investment Report 1998 Trends and Determinants, Naciones Unidas,
Nueva York y Ginebra.
UNCTAD (1998a). Trade and Deve lopment Report 1998, Naciones Unidas, Nueva York y Ginebra.
USITC (Comisión de Comercio Internacional de los Estados Unidos) (1998). Recent Trends in U.S.
Services Trade, 1998 Annual Report, Comisión de Comercio Internacional de los Estados Unidos,
Wáshington, D.C.
USTR (Representante de los Estados Unidos para las Cuestiones Comerciales) (1998). National
Trade Estimate 1998, Oficina del Representante de los Estados Unidos para las Cuestiones
Comerciales, Wáshington, D.C.
White (1996). International Agreements in the Ar ea of Banking and Finance: Accomplishments and
Outstanding Issues, BIS Working Paper Nº 38, BPI, Basilea.S/C/W/72
Página 27
Cuadro 1: Proporción del empleo en el sector de los servicios financieros
(Porcentaje del empleo total)
PAÍS 1970 1980 1985 1990 1995
Canad᪠2,4 2,7 2,9 3,0 3,2
Franciab1,8 2,6 2,9 2,8 2,7
Alemania (antigua
República Federal) 2,2 2,8 3,0 3,0 3,3
Japón 2,4 3,0 3,2 3,3 3,1
Singapurc-- 2,7 -- -- 5,0
Suizad-- -- 4,6 4,8 5,3
Reino Unido -- 3,0 3,5 4,6 4,3
Estados Unidose3,8 4,4 4,7 4,8 4,7
Fuente: OCDE, Services: Statistics on Value Added and Employment , 1997; OMC, Mercados abiertos de servicios financieros: la función
del AGCS, 1997.
a 1992 en vez de 1996.
b 1996 en vez de 1995.c 1978 en vez de 1980.
d 1994 en vez de 1996.
e 1994 en vez de 1996.
Cuadro 2: Proporción de valor añadido en el sector de los servicios financieros
(Porcentaje del PIB)
PAÍS 1970 1980 1985 1990 1995
Países industrializados:
Canadá 2,2 1,8 2,0 2,8 2,5
Franciaª 3,7 4,4 4,3 3,5 3,2
Alemaniab3,2 4,5 5,5 4,8 5,5
Japón c4,3 4,5 5,5 4,8 5,2
Suizad-- -- 10,4 10,3 13,3
Estados Unidose4,0 4,8 5,5 6,6 6,6
Países en desarrollo:
Colombiaf-- -- -- 2,9 2,9
Ghanag5,5 -- 8,7 9,2 --
Hong Kong, China -- 6,9 6,1 6,6 9,4
Mauricioh-- -- -- 4,4 5,2
Singapuri-- 5,0 -- -- 12,0
Sri Lankaj-- -- -- 4,6 6,8
Tailandiak-- -- -- 4,0 7,8
Fuente: OCDE, Services: Statistics on Value Added and Employment , 1997; OMC, Mercados abiertos de servicios financieros: la función
del AGCS, 1997.
a 1996 en vez de 1995; no están comprendidos los servicios auxiliares de los servicios financieros y de los seguros.
b Hasta 1990 las cifras se refieren a la antigua República Federal de Alemania.
c La cifra correspondiente a 1995 no comprende los servicios de seguros.
d 1993 en vez de 1995.e 1994 en vez de 1995.
f 1992 en vez de 1990; 1994 en vez de 1995.
g 1971 en vez de 1970; 1983 en vez de 1985; incluye los servicios prestados a las empresas.h 1987 y 1993 respectivamente; incluye los servicios prestados a las empresas.
i 1978 en vez de 1980.
j 1994 en vez de 1995; incluye los servicios inmobiliarios.k No están comprendidos los servicios de seguros.S/C/W/72
Página 28
Cuadro 3: Primas de seguros, en porcentaje del PIB
(Primas directas brutas)
País 1995 1996
Seguros de vida Los demás
segurosTotal Seguros de vida Los demás
segurosTotal
Luxemburgo 21 2,9 23,9 18,1 3,2 21,3
Corea 9,6 2,9 12,5 9,5 3,3 12,8
Reino Unido26,6 4,6 11,2 7,5 4,6 12,1
Suiza 6,7 3,7 10,4 7,5 3,7 11,2
Estados Unidos 3,9 6,1 10 4 5,9 9,9
Irlanda 4,6 3,8 8,5 5,4 3,9 9,3
Países Bajos21,3 3,8 8,3 5 4,2 9,2
Francia 5,5 3,1 8,6 6 3,1 9,1
Japón 6,4 2,2 8,6 5,9 2,2 8,1
Australia14,4 3,5 7,9 4,1 3,6 7,7
Alemania 2,7 3,9 6,6 2,8 3,9 6,7
Dinamarca 3,3 2,6 6 3,9 2,6 6,5
Austria 2 3,5 5,5 2,7 3,5 6,2
Suecia 3,3 2,2 5,5 3,6 2,1 5,7
Bélgica 2,3 3,1 5,4 2,5 3 5,5
Portugal 2,1 2,7 4,8 2,5 2,8 5,3
España 2 2,8 4,8 2,2 2,8 5
Canadá 2,8 2 4,8 1,8 2,8 4,6
Noruega 2 2,6 4,6 1,9 2,5 4,4
Finlandia 1,3 2,1 3,4 2,1 2 4,1
Italia 1,3 2,2 3,5 1,4 2,2 3,6
Islandia 0,1 2,9 3 0,1 2,8 2,9
República Checa 0,8 2 2,7 0,7 2 2,7
Nueva Zelandia21,1 1,6 2,7 1,4 1,2 2,6
Hungría 0,7 1,7 2,4 0,7 1,6 2,3
Polonia30,5 1,4 2 0,7 1,6 2,3
Grecia20,8 0,8 1,7 0,8 0,9 1,7
México 0,5 0,9 1,3 0,4 0,8 1,2
Turquía 0,1 0,7 0,8 0,1 0,7 0,8
OCDE 4,4 3,8 8,2 4,3 3,8 8,1
EU-15 3,6 3,3 6,9 3,9 3,3 7,2
Fuente: OCDE, Insurance Statistics Yearbook , 1998.
1 Sobre la base de las primas suscritas netas.
2 Sobre la base de las primas suscritas netas para 1995.
3 Sobre la base de las primas brutas totales.S/C/W/72
Página 29
Cuadro 4: Comercio transfronterizo de servicios financieros: ingresos y gastos
(Miles de millones de dólares de los EE.UU.)
PAÍS 1985 1990 1995 1996
Ingresos (exportaciones)
Austria 0,3 0,7 2,5 3,1
Bélgica-Luxemburgo 0,6 4,9 5,1 5,2
Francia … 11,1 17,4 8,1
Alemania 0,3 4,5 3,7 6,0
Japón 0,0 0,1 0,6 3,3
Singapur 0,1 0,1 0,4 0,5
Suiza 1,8 4,2 6,9 7,7
Reino Unidoª 7,3 6,1 9,1 8,9
Estados Unidos 3,0 5,0 8,4 10,2
Gastos (importaciones)
Austria 0,3 0,6 3,1 3,5
Bélgica-Luxemburgo 0,6 3,8 3,6 3,7
Francia … 11,4 16,4 8,2
Alemania 0,2 4,8 2,0 3,3
Japón 0,5 1,4 3,0 4,9
Singapur 0,1 0,8 1,0 1,0
Suiza 0,1 0,2 0,2 0,2
Reino Unidoª 0,4 0,7 0,7 0,8
Estados Unidos 2,5 4,4 7,8 7,6
Fuentes: FMI, Balance-of-payments Statistics Yearbook , Part I, 1997; OMC, Mercados abiertos de servicios financieros: la función del
AGCS, 1997.
a 1986 en vez de 1985.S/C/W/72
Página 30
Cuadro 5: Servicios financieros: Exportaciones, importaciones y saldo comercial de los Estados Unidos, el Canadá y la UE, 199 3-96
(Miles de millones de dólares de los EE.UU.)
Estados Unidos Canadá Unión Europeaª
Año Export. Import. Saldo Export. Import. Saldo Export. Import. Saldob
1997
Seguros2,6 4,8 -2,2 .. .. .. .. .. ..
Los demás servicios
f i n a n c i e r o s 1 0 , 1 4 , 1 6. .. .. .. .. .. .
Saldo comercial total3,8
1996
Seguros2,1 4,4 -2,3 4 4,6 -0,6 .. .. ..
Los demás servicios
financieros 8 3,2 4,8 1,3 1,8 -0,5 .. .. ..
Saldo comercial total2,5 -1,1
1995
Seguros1,4 5,4 -4 3,7 4,4 -0,7 10,5 7,5 1,4
Los demás servicios
financieros 7 2,5 4,5 1,1 1,5 -0,4 12,2 8,2 7,5
Saldo comercial total0,5 -1,1 8,9
1994
Seguros1,7 4 -2,3 3,4 4 -0,6 9,8 6,8 1,92
Los demás servicios
financieros 5,8 1,7 4,1 1,1 1,6 -0,5 11,8 8,4 6,6
Saldo comercial total1,8 -1,1 8,5
1993
Seguros1 3,1 -2,1 2,8 3,1 -0,3 8,6 6,7 0,4
Los demás servicios
financieros 5 1,4 3,6 0,9 1,3 -0,4 10 6,8 6,5
Saldo comercial total1,5 -0,7 6,9
Fuentes: Departamento de Comercio de los Estados Unidos, Oficina de Análisis Económico, Survey of Current Business, números de
septiembre de 1993, septiembre de 1995, noviembre de 1996 y octubre de 1997. Eurostat, International Trade in Services EU ,
1986-95, 1997; Statistics Canada , Canada’s International Trade in Services , 1996.
a Datos convertidos de ecus a dólares de los EE.UU.
b Saldo neto del comercio de la UE-15 con el resto del mundo. Las cifras no corresponden a las diferencias calculadas entre las
exportaciones y las importaciones debido a asimetrías de los datos correspondientes al comercio entre los países de la UE.
.. No se dispone de datos.S/C/W/72
Página 31
Cuadro 6: Transacciones de servicios financierosª realizadas por filiales de propiedad mayoritaria: Ventas, compras y saldo d e los
Estados Unidos(Miles de millones de dólares de los EE.UU.)
1995 Ventas Compras Saldo
Seguros 35 57 -22
Los demás servicios financierosb13,6 6,8 6,8
Saldo comercial total .. .. -15,2
1994
Seguros 31,5 48,8 -17,3
Los demás servicios financierosb.. 6,3 ..
Saldo comercial total
1993
Seguros 27,6 44,3 -16,7
Los demás servicios financierosb.. 6,2 ..
Saldo comercial total
1992
Seguros 25,3 26 -0,7
Los demás servicios financierosb.. 5,3 ..
Saldo comercial total
1991
Seguros .. .. ..
Los demás servicios financierosb4,9 5 -0,1
Saldo comercial total
Fuente: Departamento de Comercio de los Estados Unidos, Oficina de Análisis Económico, Survey of Current Business , números de
septiembre de 1993, septiembre de 1995, noviembre de 1996 y octubre de 1997.
a Las transacciones de las filiales comprenden las ventas realizadas por filiales extranjeras de empresas estadounidenses y las
compras hechas a filiales estadounidenses de empresas extranjeras.
b Servicios bancarios (excepto actividades de aceptación de depósitos y concesión de préstamos) y servicios relacionados con
valores.
.. No se dispone de datos.S/C/W/72
Página 32
Cuadro 7A: Algunos indicadores de las IED mundiales
(En miles de millones de dólares de los EE.UU.)
Valor a los precios corrientes
Concepto 1996 1997
Entradas de IED 338 400
Salidas de IED 333 424
Cuadro 7B: Distribución regional de las entradas y salidas de IED, 1994-1997
(En puntos porcentuales de las IED mundiales)
Entradas (%) Salidas (%)
Región/País 1994 1995 1996 1997 1994 1995 1996 1997
Países desarrollados 58,2 63,9 57,9 58,2 85 86,9 85,1 84,8
Europa Occidental 32,3 37,1 29,6 28,7 47 49,4 50,6 46,2
Estados Unidos 18,6 17,7 22,6 22,7 25,8 26,1 22,5 27
Japón 0,4 .. 0,1 0,8 6,4 6,4 7 6,1
Todos los países en
desarrollo39,3 31,9 38,5 37,2 15 12,9 14,8 14,4
Fuente: Financial Times , 11 de noviembre de 1998. Datos extraídos de World Investment Report 1998 Trends and Determinants ,
UNCTAD, 1998.S/C/W/72
Página 33Gráfico 1a: Participación extranjera en el mercado de servicios de seguros de vida,
países de la OCDE, 1996
0102030405060708090100
Participación extranjera en el mercado
Fuente : OCDE (1998 ), Insurance Statistics Yearbook.S/C/W/72
Página 34
Gráfico 1b: Participación extranjera en el mercado de servicios de seguros distintos de los seguros de
vida, países de la OCDE, 1996
0102030405060708090100
Participación extranjera en el mercado Fuente: OCDE (1998), Insurance Statistics Yearbook.S/C/W/72
Página 35
Cuadro 8: Número de entidades bancarias de 61 economías en desarrollo y economías en
transición existentes en determinados países huésped de la OCDE, 1996
País huésped Número de entidades bancarias extranjeras Entidades bancarias
extranjeras por
economía de origen
Estados Unidos 171 34 5
Reino Unido 153 46 3,3
Francia 46 25 1,8
Alemania 36 19 1,9
Japón 35 11 3,2
Luxemburgo 16 8 2
Países Bajos 14 8 1,8
Suiza 12 8 1,5
Bélgica 96 1 , 5
Australia 95 1 , 8
Austria 771
España 75 1 , 4
Italia 551
Grecia 331
Otros paísesª 111
Fuente: UNCTAD (1998), World Investment Report 1998: Trends and Determinants, 1998.
a Dentro de esta categoría, Portugal tiene una sucursal del Brasil; Dinamarca, Finlandia, Irlanda
y Suecia no tienen absolutamente ninguna entidad.S/C/W/72
Página 36Cuadro 9: Servicios financieros: Resumen de los compromisos específicos
Países Seguros Banca Valores Otros
De vidaDistintos
de los de
vidaReasegurosIntermedia-
ciónDepósitos PréstamosComercio
de divisasComercio de
productos
derivadosComercio de
valoresSuscrip-
ciónAdministración
de activosInformación
financiera
Angola X X
Antigua yBarbudaX
A r g e n t i n a X X X XXX X XX X X
A u s t r a l i a X X XXXXX X XX X X
A u s t r i a X X XXXXX X XX X X
B a h r e i n X X XXXXX X XX X X
Barbados X
Benin X X
Bolivia X X X X X X X X X
B r a s i l X X X XXX X XX X
Brunei
DarussalamXX X X X
B u l g a r i a X X XXXX XX X X
C a n a d á X X XXXXX X XX X X
Chile X X X X X X X X
C o l o m b i a X XXXXX X XX X
Costa Rica X X X
C u b a X X XXXXX X XX X X
C h i p r e X X X XXX X
República Checa X X X X X X X X X X X
Dominica X
República
DominicanaX X XXXX X X
E c u a d o r X X XXXXX X X X X
E g i p t o X X XXXXX XX X
E l S a l v a d o r XXX XX
Comunidad
EuropeaX X XXXXX X XX X X
F i n l a n d i a X X XXXXX X XX X X
Gabón X X X X X X X X
G a m b i a X X XXX X XX X X
G h a n a X X X XXX X XX X X
Granada X
Guatemala X X
Guyana X X X X X
H a i t í X XXX X
Honduras X X X X X XS/C/W/72
Página 37Países Seguros Banca Valores Otros
De vidaDistintos
de los de
vidaReasegurosIntermedia-
ciónDepósitos PréstamosComercio
de divisasComercio de
productos
derivadosComercio de
valoresSuscrip-
ciónAdministración
de activosInformación
financiera
H o n g K o n g X X XXXXX X XX X X
Hungría X X X X X X X X X X X X
I s l a n d i a X X XXXXX X XX X X
I n d i a X XXXXX XX X
Indonesia X X X X X X X X X X
I s r a e l X X XXXXX XX X X
Jamaica X X X X X X X
J a p ó n X X XXXXX X XX X X
Kenya X X X X X X X X
C o r e a , R e p . d e X X XXXXX XX X
Kuwait X X X X X X X X
República
KirguisaX X XXXXX X XX X X
L e t o n i a X X XXXXX X XX X X
L e s o t h o X X X XXX X
Liechtenstein X X X X X X X X X X X X
M a c a o X X XXXXX X XX X X
M a l a w i XXX X XX X X
M a l a s i a X X XXXXX X XX X
Malta X X X X X X X
M a u r i c i o X X XXXXX XX X
M é x i c o X X XXXXX XX X
Mongolia X X X X X X X X X X X
Marruecos X X X X X X X X
M o z a m b i q u e XXX X XX X X
N u e v a Z e l a n d i a X X XXXXX X XX X X
Nicaragua X X X X X X X
N i g e r i a X X XXXXX X X X
N o r u e g a X X XXXXX X XX X X
P a k i s t á n X X X XXX XX X X
P a n a m á X X X XXX X XX X X
Papua Nueva
GuineaXXX X
Paraguay X X X X X
P e r ú X X X XXX X XX X X
F i l i p i n a s X X XXXXX X XX X X
Polonia X X X X X X X X X X
Q a t a r X XXXXX X X
Rumania X X X X X X X X X XS/C/W/72
Página 38Países Seguros Banca Valores Otros
De vidaDistintos
de los de
vidaReasegurosIntermedia-
ciónDepósitos PréstamosComercio
de divisasComercio de
productos
derivadosComercio de
valoresSuscrip-
ciónAdministración
de activosInformación
financiera
Santa Lucía X
San Vicente y lasGranadinasX
Senegal X X X X X X
S i e r r a L e o n aX X XXXXX X XX X X
Singapur X X X X X X X X X X X X
República
EslovacaX X XXXXX XX X X
Eslovenia X X X X X X X X X X X X
Islas Salomón X X X X X X X X X X X X
S u d á f r i c a X X XXXXX X XX X X
Sri Lanka X X X X X X X X X X X
S u e c i a X X XXXXX X XX X X
S u i z a X X XXXXX X XX X X
T a i l a n d i a X X XXXX XX X X
Trinidad y Tabago X
Túnez X X X X X X X X X
T u r q u í a X X XXXXX X XX X X
Emiratos Árabes
UnidosXXX X XX X X
Uruguay X X X
Estados Unidos de
AméricaX X XXXXX X XX X X
Venezuela X X X X X X X X X
Zimbabwe X X X X
T o t a l 6 9 7 3 7 85 78 28 36 2 4 4 6 86 3 6 3 5 8S/C/W/72
Página 39
Cuadro 10: Direcciones del sitio Web de los Bancos centrales, Ministerios de Hacienda y otros
organismos normativos, y organizaciones internacionales
País Direcciones Web de los
Bancos centralesMinisterios de Hacienda y otros
organismos normativos
Argentina www.bcra.gov.ar www.mecon.ar
Australia www.rba.gov.au www.dofa.gov.au
Austria www.oenb.co.at/oenb
Bahrein www.bma.gov.bh
Bélgica www.bnb.be
Bolivia www.bcb.gov.bo
Brasil www.bcb.gov.br www.fazenda.gov.br
Canadá www.bank-banque-canada.ca www.fin.gc.ca
Chile www.bcentral.cl
Colombia www.banrep.gov.co
Costa Rica www.bccr.fi.cr
Chipre www.centralbank.gov.cy
República Checa www.cnb.cz
Dinamarca www.nationalbanken.dk/uk www.fm.dk
Ecuador www.bce.fin.ec
El Salvador www.bcr.gob.sv
UE (Banco Central Europeo y
Comisión Europea)www.ecb.int www.europa.eu.int
Finlandia www.bof.fi www.vn.fi/vn/vm/svenska/finmin
Francia www.banque-france.fr www.finances.gouv.fr
Alemania www.bundesbank.de www.bundesfinanzministerium.de
Guatemala www.banguat.gob.gt
Hong Kong www.info.gov.hk/hkma www.info.gov.hk/hkma
Hungría www.mnb.hu
Islandia www.sedlabanki.is
India www.reservebank.com www.nic.in/finmin/intro.htm
Indonesia www.bi.go.idS/C/W/72
Página 40
País Direcciones Web de los
Bancos centralesMinisterios de Hacienda y otros
organismos normativos
Israel bankisrael.gov.il www.mof.gov.il
Italia www.bancaditalia.it www.finanze.it
Jamaica www.boj.org.jm
Japón www.boj.or.jp www.mof.go.jp
Corea www.bok.or.kr www.mofe.go.kr
Letonia www.bank.lv
Luxemburgo www.bcl.lu
Malasia www.bnm.gov.my www.treasury.gov.my
Mauricio www.bankofmauritius.co.uk
México www.banxico.org.mx www.shcp.gob.mx
Países Bajos www.dnb.nl
Nueva Zelandia www.rbnz.govt.nz www.treasury.govt.nz
Nicaragua www.bcn.gob.ni
Noruega www.norges-bank.no
Perú www.bcrp.gob.pe
Filipinas finlink.mozcom.com
Portugal www.bportugal.pt www.pcm.gov.pt
Singapur www.mas.gov.sg www.gov.sg/mof
Eslovenia www.bsi.si
Sudáfrica www.resbank.co.za
España www.bde.es
Sri Lanka www.lanka.net/centralbank
Suecia www.riksbank.se
Suiza www.snb.ch www.mof.go.ch
Tanzanía www.bot-tz.org
Tailandia www.bot.or.th
Túnez www.bct.gov.tn
Turquía www.tcmb.gov.tr
Reino Unido www.bankofengland.co.uk www.hm-treasury.gov.ukS/C/W/72
Página 41
País Direcciones Web de los
Bancos centralesMinisterios de Hacienda y otros
organismos normativos
Estados Unidos www.bog.frb.fed.us
www.ny.frb.orgwww.ustr.gov
www.naic.orgwww.ustreas.gov
www.sec.gov
Venezuela www.bcv.org.ve
Organización internacional Dirección Web
APEC www.apecsec.org.sg
ASEAN www.asean.or.id
www.aseansec.or
Banco Asiático de Desarrollo www.asiandevbank.org
Banco de Pagos Internacionales www.bis.org
Comunidad del Caribe www.caricom.org
Banco Europeo de Reconstrucción y Desarrollo www.ebrd.com
Banco Interamericano de Desarrollo www.idb.org
Fondo Monetario Internacional www.imf.org
Organización Internacional de Comisiones de
Valoreswww.iosco.org
TLCAN www.nafta.net
Organización de Estados Americanos (OEA) www.sice.oas.org
OCDE www.oecd.org
Sistema Económico Latinoamericano (SELA) www.sela.org
UNCTAD www.unctad.org
Organización Mundial del Comercio www.wto.org
Banco Mundial www.worldbank.int
__________
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WTO_99/Q_WT_GC_M40.pdf
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RESTRICTEDWORLD TRADE
ORGANIZATIONWT/GC/M/40
5 May 1999
(99-1807)
General Council1
14 April 1999
MINUTES OF MEETING
Held in the Centre William Rappard
on 14 April 19991
Chairman: Mr. Ali Mchumo(Tanzania)
Subjects discussed Page
1. Yemen – Request for observer status..................................................................................1
2. Request for Accession by Lebanon......................................................................................1
3. Appointment of the next Director-General ........................................................................34. Parting statement by the Director-General......................................................................13
1. Yemen – Request for observer status
The Chairman drew attention to the communication from Yemen requesting observer status in
the General Council and its subsidiary bodies (WT/L/296), in which Yemen had indicated its intention
to apply for accession to the WTO Agreement and had provided a brief description of its economy
and foreign trade regime, in accordance with the guidelines for observer status in the WTO
(WT/L/161, Annex 2). He proposed that Yemen's request be granted.
The General Council took note of the statement and agreed to grant Yemen's request.
2. Request for Accession by Lebanon (WT/ACC/LBN/1)
The Chairman recalled that the Government of Lebanon had submitted a request for accession
in document WT/ACC/LBN/1. He advised Members that Lebanon had asked that its earlier request
for observer status, and document WT/L/283 in which such request was circulated, both bewithdrawn.
The representative of Lebanon, speaking as an observer
, said that his country had always been
keen to be an active member of the internationa l community and an active participant in efforts to
achieve the advancement and welfare of humanity. Its decision to seek admission to the WTO, whichenjoyed the support of all relevant sectors in Lebanon, demonstrated its belief in and commitment to
international cooperation. Lebanon had been characterized by an open market economy throughout
its history. With an educated, skilled, industrious, multilingual and multicultural population, Lebanon
had succeeded in becoming a modern country. However, since 1975 it had suffered the destruction of
its infrastructure and of much of its administrative capabilities and other productive sectors.Lebanon's liberal and open economic policy was based on the same principles as those advocated by
the WTO. It had succeeded in rebuilding its infrastructure, and had embarked on a comprehensive
1 This meeting was adjourned after consideration of the four subjects listed below, and will be
reconvened to consider the remaining items on the Agenda and to take up the item on Appointment of the Next
Director-General. Minutes of the reconvened meeting will be carried in an Addendum to the present document.WT/GC/M/40
Page 2
updating of its administration and laws. For example, intellectual property protection laws were being
reviewed and drafted in cooperation with WIPO and in conformity with the TRIPS Agreement. A law
on the Protection of Artistic, Scientific and Intellectual Rights had been passed by the Parliament, and
a new law updating the existing industrial property protection law was to be submitted soon for
adoption by the Parliament. Lebanon was negotiat ing a partnership agreement with the European
Union, which would enable it to become a member in a Euro-Mediterranean Free-Trade Area. It was
already part of an Arab Free-Trade Area and had signed many bilateral trade and free-trade
agreements with other countries in its region and beyond. However, the price for the achievements in
the various sectors of Lebanon's infrastructure was a heavy debt burden. The Government had
already started to implement the measures necessary to bring the country back to its full productive
capacity. Lebanon looked forward with sincerity, confidence and commitment to the next phase in its
accession process, and hoped that the negotiations would achieve their objective, thus enablingLebanon to become a Member of the WTO.
The representatives of Egypt, Kuwait
, Tunisia , Bahrain , Bangladesh , Cuba , United States ,
European Communities, Pakistan , Malaysia on behalf of the ASEAN Members , Qatar , Japan ,
Morocco, Sri Lanka , Senegal , Nigeria , Czech Republic, Bulgaria and Turkey welcomed and
supported Lebanon's request for accession.
The representative of Egypt2 said that Lebanon and other acceding countries should be
allowed to participate in the preparatory process for the next Ministerial Conference. This would
accelerate the process of accession.
The representative of Tunisia underlined the need to accelerate the accession process and to
facilitate the procedures for governments that had been candidates for a long time.
The Chairman proposed that the General Council take note of the statements and of the
expressions of support and agree to establish a Working Party with the following terms of reference
and composition:Terms of Reference:
"To examine the application of the Government of the Republic of Lebanon to accede to the
WTO Agreement under Article XII, and to submit to the General Council recommendations whichmay include a draft Protocol of Accession."
Membership:
Membership would be open to all WTO Members indicating their wish to serve on the
Working Party.
Chairperson:
Mrs. Laurence Dubois-Destrizais (France).The General Council so agreed.
The Chairman invited the representative of Lebanon to consult with the Secretariat as to
further procedures, in particular regarding the basic documentation to be considered by the Working
Party. In keeping with established procedures, on behalf of the General Council he invited Lebanon
to attend meetings of the General Council and, as appropriate, meetings of other WTO bodies as an
observer during the period in which the Working Party carried out its work.
2 Under this Agenda item, the representative of Egypt also supported Yemen's request for observer
status, which was carried under the previous Agenda item.WT/GC/M/40
Page 3
The General Council took note of the statement.
3. Appointment of the next Director-General3
The Chairman recalled that at the informal meeting of the General Council on 9 April 1999,
there had been a long but useful discussion of this matter. At that meeting he had indicated that,
contrary to his earlier expectation, the difficulti es that prevented consensus on either of the two
remaining candidates were still unresolved, and he had appealed to all Members once again to do
whatever was necessary to bring this issue to a consensual conclusion. His expectation had been that
at the present meeting the General Council could appoint the next Director-General. He understood
that Members were actively interacting with one another with a view to resolving this long-standingissue. Although a number of target dates and deadlines had been missed, the inevitable deadline of 30
April 1999 - when the incumbent Director-General woul d leave office - could not be missed. He was
still optimistic that the next Director-General could be elected by 30 April, as he understood that it
was not unusual in the GATT/WTO tradition to reach consensus in the last hour before the ultimate
deadline. In the remaining two weeks before th at ultimate deadline, he and Mr. Rossier would
continue to help Members reach a consensus on one or the other of the two candidates.
He reminded Members that it was they who woul d have to decide on the appointment of the
next Director-General by consensus. He appealed again to both sides to exercise the necessary
flexibility. A leadership crisis in the organization had to be avoided, and a generally acceptable headof the Secretariat was urgently needed as Members prepared for the next Ministerial Conference and
the challenges of the years ahead. He expected that in the next week Members would intensify their
dynamic interaction so that consensus could be reached during the last week of April, or earlier. This
was the last time he would plead for more time for these consultations, as it was his firm intention to
ensure that by 30 April he would bring to the General Council a proposal for a decision on theelection of the next Director-General. He informed Members that he would have to be away from
Geneva for a week for consultations in his capital. During his absence, he would be in close touch
with the facilitator, Mr. Rossier, who would remain available for interaction with delegations in the
continuing process of consultations. He noted that the contracts of the Deputy Directors-General
would also expire on 30 April 1999, and that even a new Director-General elected by 30 April would
need time to appoint his deputies and would, in the m eantime, need the assistance of one or two of the
current Deputy Directors-General. He had asked the Director-General to take appropriate action inthis regard before 30 April, and he trusted that Members would provide the necessary support to the
Director-General regarding this matter. In the light of the long and useful discussion on the issue of
the election of the next Director-General on 9 April, and in the light of the long agenda before the
General Council, he suggested that another long discussion on this issue might not be necessary.
All delegations who spoke expressed gratitude and support for, and renewed their confidence
in, the Chairman's and Mr. Rossier's efforts.
The representatives of Sri Lanka, Malaysia on behalf of the ASEAN Members
, Panama ,
Argentina, Kenya , Mexico , Korea , Australia , Haiti , Trinidad and Tobago , and Hong Kong, China said
that no third candidate could be introduced at this juncture.
The representative of the European Communities said that the process the Chairman was
engaged in was the right one and that it should be seen through to its conclusion. Time was running
out, and the gap in leadership of the WTO would be difficult to sustain given the important things tobe done. This should focus Members' minds on the nature of their difficulties.
3 On the suggestion of Japan, the statements under this item incorporate interventions made at the
9 April 1999 informal meeting of the General Council.WT/GC/M/40
Page 4
The representative of El Salvador said that the process generally had been transparent, but
that it would be useful to know what was meant by ["slight difference"] in the Chairman's oral report.
The only way to eliminate the uncertainty in the process would be to obtain accurate figures.
However, El Salvador would support the Chairman's decision if he felt this would not be useful. The
consensus-searching process had a limit and a deadline. He supported the proposal by Mexico at the9 April 1999 informal meeting of the General Council that Members should be soon asked whether
they could join a consensus on the leading candidate, and urged all to show flexibility so that
Members could focus on other important issues.
The representative of Zimbabwe said that the best way forward was to broaden the notion of
consensus to include the concept of no veto, no vote, and the principles of equity, democracy and
transparency. Consensus should be based on positive rather than negative aspects, and it was logicalto begin addressing difficulties with the leading candidate.
The representative of Hungary, also on behalf of Bulgaria, the Czech Republic, Poland,
Romania, the Slovak Republic and Slovenia, said that from the very beginning of this process, these
countries had demonstrated flexibility and openness. While some supported one candidate over the
other, the only precondition was the personal and professional ability to do this difficult job. These
countries had been confident that a consensus could be reached on this matter in a few days' time.
However, the Chairman's latest report referring to difficulties around both candidates was a matter of
serious concern, as Members were engaged in a complex preparatory process leading up to a
Ministerial Conference the result of which would determine the course of action of the WTO formany years. In these circumstances, one should not risk letting the election process become a source
of division, factionalism and distrust among Members. The present impasse clearly implied this
danger. Members should stick to the GATT tradition of pragmatism and concentrate on the positive
side of the problem. The choice of the next Dir ector-General should not become a divisive issue
between developed and developing country Members, or among continents and differentconstituencies. The decision had to be made by consensus. Any other alternative would seriously
threaten the entire system. These countries appealed to the Chairman to use his best judgement and to
present a name around which a consensus could be built, and would immediately and willingly follow
him. This was the only way to end this process in a fair and dignified manner and to have a Director-
General who would enjoy the trust and confidence of the whole membership.
The representative of Norway supported Hungary's statement. Much progress had been made
on choosing the next Director-General, and the last hurdle was at hand. Members should heed the
Director-General's advice in his letter of 8 April 199 9 to put the organization first and to avoid a crisis
for the system and the organization. Norway had come out early in favour of Mr. Supachai and that
position had not changed. However, Members had to reconcile national positions with the best
interests of the organization, which meant supporting whomever the Chairman named as theconsensus candidate. Either candidate would be an excellent Director-General.
The representative of Pakistan said there was a need to examine whether the process engaged
in could be successful in producing a fair and equitable result. Pakistan's understanding of consensus-
building was that one listened to objections and engaged in a process of interaction. The currentsituation bordered on being a crisis for the organization, as it went beyond the question of selecting
the next Director-General. Those with a larger stak e in the trading system had a larger responsibility
for ensuring that a solution was reached on the basis of equity, justice and democracy. The consensus
to which so many attached importance should be built around the leading candidate. All were aware
that for some time there had been only one leading candidate, and he trusted that consensus would bebuilt around that candidate. If it was not possible by 30 April to build consensus around the leading
candidate, one would have to revert to the rules of procedure which provided for a vote. It was
unfortunate that the Chairman would be absent, as this would bring the matter to the brink where there
were only two choices – consensus or a vote. The Chairman's statement regarding the tenure of the
Deputy Directors-General was not clear, and he wondered what the nature of the "appropriate action"to be taken by the Director-General would be. The appointment of the Deputy Directors-GeneralWT/GC/M/40
Page 5
depended on the appointment of the Director-General, and if there were to be any other arrangement
the General Council would have to be fully consulted.
The Chairman said it was his understanding that it was the Director-General who appointed
the Deputy Directors-General in consultation with Members. Until 30 April, the current Director-
General would still be in office and would still have the mandate to extend the contracts of any of the
Deputy Directors-General. It wa s not a question of appointing any new deputies from outside the
organization. In light of the fact that there would be no Deputy Directors-General after 30 April, he
had considered asking the Director-General to extend the contracts of one or two of the existing
deputies beyond 30 April. Clearly, the Director -General would consult with Members on this.
The representative of Pakistan said he wished to receive any decisions or written procedures
on this matter. He understood that any action on this matter would be taken only with the approval of
the General Council, and that Members would be consulted on any action that was proposed to be
taken. His delegation did not wish to be faced with a last-minute proposal in the midst of a crisis.
The Chairman said that the relevant procedures would be made available and that the
Director-General would carry out his mandate in accordance with these procedures.
The representative of Panama said that his delegation too wished to know what the Chairman
had in mind regarding the reference in his statement to the Deputy Directors-General. Panama was
concerned at Members' inability to meet the deadlines on the appointment of the next Director-General. His delegation supported Mr. Supachai, but had always expressed its readiness to go along
with a consensus, should one emerge on another ca ndidate. The next Director-General should be
chosen without a veto or a vote. However, with only 16 days left before the contract of Mr. Ruggiero
expired, some Members had stated reservations on one or the other candidate and it was not clear that
these could be overcome. The organization had to re-examine its transparency, since suchreservations had not been made public. Panama urged the Chairman to work to form a consensus
around the leading candidate. His delegation reiterated its flexibility and asked Members with
reservations to indicate whether they could go along with a consensus.
The representative of Sri Lanka said that Members had brought upon themselves the biggest
crisis of the organization with what appeared to be a dangerous game of brinksmanship. Sri Lanka
had supported Mr. Supachai from the outset because it believed he was the best suited to the job. Hewas the leading candidate to date and enjoyed wide geographic support. Decision-making by
consensus required that all act with responsibility, and his delegation urged those with problems to
exercise flexibility.
The representative of Argentina said that the reality of the situation went beyond the worst
possible predictions. Positions seemed to have been polarized. It was hard to understand how there
could be substantive objections to either of the candidates as both were excellent. Once the Chairman
announced his conclusion as to the candidate with the best chance of achieving consensus, Argentina
would join a consensus on that candidate. Members had to concentrate on the crucial issues of
substance as they moved toward the Seattle Ministerial Conference, and not much more time could beinvested in the current process. The search fo r consensus remained the best alternative and the
Chairman should continue his efforts. Failure to reach a consensus decision would undermine the
credibility of the system. Figures regarding preferences were useful if they showed big differences,
but this was not the case. It was necessary to establish a clear and efficient process for choosing the
Director-General in future based on the clear criteria set out by the Chairman, which were the numberof preferences, the scope of geographic support and the level of tolerance enjoyed by the candidates.
Argentina was confident that by 30 April the Chairman would be able to present the name of the
person who could be elected to lead the organization.
The representative of Malaysia, speaking on behalf of the ASEAN Members
, said that in the
light of the unilateral withdrawal by Morocco of its candidate, the collective goal had to be to build aWT/GC/M/40
Page 6
consensus around one of the two candidates. The selection process had taken considerable time and
effort, and had in a sense put the credibility of the organization at risk. It should therefore be
concluded before the end of April, if not by the present meeting. As the Director-General had said, no
interim solution or postponement could be justified. It was a matter of course that whichever
candidate enjoyed the highest numerical support should be the candidate appointed to the post ofDirector-General. To select a candidate who enjoyed less support would be illogical and
unreasonable, irrespective of who his supporters might be. Sensibility, rationality and flexibility were
crucially needed at this juncture, and should be exhibited by all Members. ASEAN appealed to all
Members to focus on the positive aspects of the candidates, and not negative responses. As the
leading candidate who had consistently enjoyed the greatest and widest level of support, Mr. Supachai
deserved to be the candidate around whom consensus should be built and approved. The selection of
Chairpersons of WTO bodies was entirely different from other processes of decision-making, and the
use of anonymous objection should not be construe d or understood as an accepted practice within the
organization. Furthermore, anonymous objection had ne ver been used in the past with respect to the
process of selection of the Director-General, and only bred and promoted subversive and divisive
actions within the organization. This seriously undermined the effectiveness and credibility of the
system, where accountability, responsibility and openness had to be respected at all times. From theoutset, no Member had explicitly expressed its intention to object to any candidate, and since
anonymous objection could not be accepted under the present circumstances, the Chairman might ask
at the present meeting whether Members could agree to join a consensus around the leading
candidate, i.e. Mr. Supachai. According to the ASEAN Members' extensive interactions and
communications with Members, and in their objective analysis, Mr. Supachai enjoyed no less than 65percent of the support of those Members who had expressed their preference. If such was the case,
the Chairman should put the question to Members whether the latter could be a consensus candidate,
and let those wishing to raise objections do so openly in accordance with the customary practice of the
organization. Only then would Members be able to identify and narrow down the differences –
should there be any – and to resolve them through a process of reasoning and compromise. This wasthe transparent and democratic way in which the difficulties should be addressed. If all adhered to the
principle of "no veto, no vote", there would be no objection, and the General Council could decide by
consensus on this matter.
The representative of Kenya said that both candidates were eminently qualified and respected,
and were capable of leading this organization. Consensus should be built around the leading
candidate and not the candidate with the least opposition. That candidate was Mr. Supachai. Further,it was the turn of a candidate from a developing country to be Director-General. Had Mr. Moore been
the leading candidate, Kenya would not have stood in the way of consensus. Flexibility needed to be
shown by supporters of Mr. Moore. He pleaded with the latter to do so, so that this matter could be
resolved in a spirit of democracy, equity and justice. The selection process had been time-consuming,
burdensome and unpredictable, and a more credible process should be designed for the future. Kenyaappealed to those not ready to join a consensus on Mr. Supachai to reconsider their position, and was
confident that a consensus could be reached within the deadline.
The representative of Uruguay called on the pragmatism and lucidity of all Members not to
repeat positions that were well known since the General Council had a long agenda before it at the
present meeting. There were two excellent candidates who were very close in their levels of support.
This matter would not be resolved at the present meeting. One was within the deadline and the
Chairman had made a clear proposal. The matter should be left there.
The representative of Hong Kong, China said th at this matter had to be concluded in a way
that represented the positions of all Members. He reiterated his delegation's strong support for
Mr. Supachai. Consensus should be built around the leading candidate, who was Mr. Supachai. His
delegation was disappointed that further transparency, such as that offered at the 9 April informal
meeting, could not be offered at the present mee ting regarding the levels of support for the two
candidates, and agreed with Australia that more information was needed. Hong Kong, ChinaWT/GC/M/40
Page 7
supported the suggestion by Malaysia as to how be st to move forward, and urged the Chairman to
resolve this matter as soon as possible, preferably before 30 April.
The representative of the United States said th at while it was not possible to conclude this
process at the present meeting, much was being done by way of continued consultations to build a
consensus. The Chairman had already stated that he would proceed with his consultations and hoped
to meet the deadline of 30 April. Although every Member, regardless of size, was as important as
another in this process, some delegations had referred to a "US candidate". This was not fair to
Members that had supported Mr. Moore early on, includi ng developing countries. She noted that one
of the candidates had withdrawn only two and a half weeks earlier, thus leaving little time for those
who had supported him to reformulate their positions. There had been efforts to intimidate the
Chairman and other Members to proceed in a particular way. Since some Members had indicatedonly one preference at the time they had been asked, how could they know that their candidate was
leading? Only the Chairman and Mr. Rossier could know this. The Chairman had repeatedly stated
that there were difficulties with both candidates. Mr. Moore had clearly demonstrated a positive and
dynamic gain in support and was the most acceptable candidate for this organization. The United
States supported him. The deci sion on the next Director-General would be made by Members on the
basis of consensus. There was a need to find a candidate who enjoyed wide enough support to
represent all Members, and both candidates enjoyed support across developed and developing country
lines, and also across regional lines. She recalled that during the selection process to appoint the
current Director-General, the United States had supported a candidate from a developing country. In
the present process, numbers and figures had not led to a consensus decision and it had been agreed toabandon that approach. She disagreed with Malaysia that there were secret and anonymous
objections. She hoped that the selection process could be concluded before 30 April and said that
Members would have to work together to achieve this. One had to keep the integrity of the
organization uppermost in mind. The decision on who would lead the WTO into the twenty-first
century had to be based on consensus. Her delegation would see the process through to its conclusionand remained confident that consensus could be reached on the candidate who shared the support of
the entire membership.
The representative of Jamaica said that his delegation was firmly committed to a decision on
this matter by consensus. The rules and procedures for future appointments had to be worked out and
there should be consultations on this. The Chairman and Mr. Rossier had made significant
improvements in the process whereby important decisions were taken, and one had to build on thesesuccesses. He referred to the Director-General's address entitled "Beyond the Multilateral Trading
System", in which he had said that one was seeing the rise of a world trading system - rules-based and
not power-based - at a time when the call for an improved system of international governance was
more and more insistent. This was needed in the WTO. Members should heed the Director-General's
words in his letter of 8 April in which he had stat ed that no interim solution or postponement could be
justified, and that the choice was in the hands of experienced negotiators used to taking difficult
decisions at the appropriate time. All had consistently said that they put full confidence in the
Chairman and Mr. Rossier. The latter's further dynamic exchanges with Members should enable the
Chairman to make a proposal that all could accept.
The representative of Costa Rica said that the considerable progress made indicated that the
deadline could be met. The next Director-General should have the qualities necessary to cope with
the difficulties of the job in a particularly complex period, independent of the level of development of
his country. The proper leadership of the organization, given the concerns and needs of developing
countries, was not the exclusive prerogative of developing countries. For this reason Costa Ricasupported Mr. Moore and regretted attempts to make this a north-south contest. Neither candidate
was supported exclusively by developing or developed countries, as was shown by the fact that there
was growing support for Mr. Moore from all regions, including from developing countries. This was
a search for the best person to lead the organization. It was hoped that consensus could be achieved
before 30 April on the basis of no veto, no vote.WT/GC/M/40
Page 8
The representative of Mexico said that Members had to assume their responsibility, as the
Director-General had stated in his letter. This was a critical year and a critical juncture, and the
current impasse in the process of selection of the next Director-General had to be unblocked.
Consensus meant that no one objected to the candidate chosen. It had to be made clear whether
figures on levels of support were still being taken into consideration. Mexico understood that theword "difficulties" used by the Chairman did not mean a veto. If there was no veto, the problem
would have been solved. The present meeting was an excellent opportunity to discuss and exchange
views on a matter of priority for the organization. The informal meeting on 9 April had been useful,
but the present formal meeting was important as it would be reflected in the records of the meeting
and would eventually be known to the public, whic h would contribute to transparency. In all the
reports made by the facilitators and the Chairman, Mr. Supachai had been leading in the support
expressed by Members; one had never officially heard the contrary. Thus, he assumed that thiscontinued to be true, as otherwise the Chairman would have so informed Members. The Chairman
had stated that there were differences, but the scope and degree of these differences were still not
known, nor was it known whether they would impede a consensus. It was important to define
whether or not a veto existed. One should not wait until 30 April to take a decision, as the
organization could not remain without a Director-Gen eral and his deputies. The Director-General had
indicated that he would not continue beyond the end of his term, so to extend the contracts of the
Deputy Directors-General would be a secondary re medy and not a substantive solution and would be
contrary to what the Director-General had said in his letter. He supported Malaysia's suggestion that
Members be asked at the present meeting whether they could join a consensus around Mr. Supachai.
Mexico shared the view that Mr. Supachai enjoyed 65 per cent of the support expressed. Somedisputed this figure, and figures should be indicated by the facilitators to clarify this. He assumed that
during the Chairman's absence, consultations would be suspended, as only the Chairman could carry
out such consultations and make reports or suggestions.
The Chairman said that the reason it was important to have the contracts of one or two of the
Deputy Directors-General extended was that even if there was a new Director-General by 30 April, he
would need deputies to assist him.
The representative of Morocco, speaking on a point of order, said he had not fully understood
what the Chairman was suggesting regarding asking the Director-General to consider the possibility
of extending the contracts of the Deputy Director s-General. For this to be a normal management
measure the Director-General should have started this procedure some three months earlier. Hisunderstanding had been that the Director-General and his deputies would all leave at the same time
and that the new Director-General would have a free hand to appoint his own deputies. The
designation of deputies was the prerogative of the new Director-General with the agreement of the
Members. His delegation would have difficulties proceeding in the manner suggested unless the
situation was made considerably clearer.
The representative of Pakistan said that this matter had been raised at the present meeting for
the first time and was not on the meeting's agenda. As Morocco had stated, the course of action
proposed by the Chairman was not contemplated in the existing procedures. There was no provision
for an interim arrangement of this nature. It would only seem fair that the Deputy Directors-Generalbe appointed by the new, rather than the outgoing, Director-General. He hoped there could be
consultations to clarify this matter.
The Chairman agreed that one had to proceed according to the procedures. However, it was
the General Council that established the procedures. What had been suggested was a pragmatic
solution, and the General Council had the authority to approve this procedure. It was his duty as
Chairman to indicate that such action might need to be taken.
The representative of Korea said it was unfortunate that consensus had not been reached by
the time of the present meeting. Mr. Supachai remained the leading candidate with broad geographic
support, and consensus should be built around him. As it was hard to determine which candidateWT/GC/M/40
Page 9
enjoyed the least opposition, one should go along with the leading candidate. Members should show
more flexibility, and there should be a prompt conclusion to this process to avoid a leadership crisis.
The representative of Colombia said that now more than ever the Chairman needed Members'
support and confidence. Some Members had expressed their support for and confidence in the
Chairman and had then proceeded to point the way to a final recommendation. This was a form of
intimidation. The situation had reached a high degree of polarization and each side had made
arguments favourable to its preferred candidate. His delegation was prepared to give its unreserved
support to the name the Chairman would propose to the General Council after the analysis and
assessment the latter would have carried out.
The representative of India said that transparency had to be respected if the credibility of the
organization was to be maintained. When an important matter was being discussed, delegations
should express their views. The General Council wa s meant for such exchanges. It was the duty of
all Members to express their views so that the Chairman could assess the mood in the General
Council. There was clear agreement that there could only be one Director-General, that there had to
be a quick decision and that there were only two candidates. The present impasse was affectingindividuals, delegations and the organization, and a rapid conclusion to the process was imperative.
India had expressed a clear preference for Mr. Supachai, who was clearly in the lead, as all of the
facilitators' and the Chairman's reports had indicated. Fairness, justice and logic demanded that a
consensus be formed around the leading candidate. It was not acceptable for certain Members to
express reservations which operated like a veto. Members who could not join such a consensus shouldsay so. Regarding the US suggestion that more time was needed for Members to formulate their
positions, he had understood that all those who want ed to make their views known had done so. If
this were not the case, the Chairman should so indicate. India supported Mr. Supachai because it
believed him to be the most acceptable candidate on the basis of his qualifications and experience, and
not because he was from a developing country. That was an added bonus, since it had been said whenMr. Ruggiero was elected that the next Director-Gener al should be from a developing country. If a
consensus could not be reached by 30 April there would have to be recourse to a vote as provided
under Article IX of the WTO Agreement.
The Chairman reiterated that since the end of the process conducted by Messrs. Rossier and
Lafer, and especially since the withdrawal of the Moroccan candidate, numbers were not decisive in
leading towards consensus. The definition of consensus in the WTO Agreement was lack ofobjection. If there was objection to the leading candidate, the latter might not be the consensus
candidate. This was why it was necessary to remove the objection to one or the other of the two
candidates. This impasse would not be resolved if the two camps concentrated on increasing the
numbers supporting their respective candidates, because the objection precluding consensus would
remain.
The representative of Brazil expressed his delegation's concern over the consequences of the
prolongation of this process, which were detrimental to the process and to the organization as a whole.
Delegations were spending considerable time and effort trying to reach a consensual solution to this
issue at a time when they should be focusing on the preparations for the third Ministerial Conference,a meeting on which significant expectations had been placed. A second negative point was the
uncomfortable position in which this put the two remaining candidates, as the lack of agreement on
either name sent a wrong signal that one or both candidates were not qualified for the post. Third,
since the beginning of the process Members had unanimously agreed that all four candidates could
perform the functions of Director-General and were men of personal integrity. At no time had anydelegation indicated that one of the four candidates did not fully qualify for the job. It was therefore
inexplicable that one or both candidates might not be acceptable to some delegations. At the outset of
the process Brazil had stated its support for Mr. Supachai. This decision had been the result of a
careful evaluation by his authorities, in which Mr. Supachai's profile had been deemed to be a proper
fit for the leader sought. The fact that he was from a developing country was an asset to hiscandidature, as there was a widespread sentiment among Members that this was the turn of aWT/GC/M/40
Page 10
candidate from a developing country. However, this was not a precondition, or even one of the major
parameters that guided Brazil's choice. The WTO was a universal body and its Director-General had
to have universal support. Mr. Supachai had this kind of backing, both in terms of geographical
diversity and level of development of Members supporting his candidacy. It had been said at the
outset of this process that there should be no veto and no vote. However, there were strongindications that the "no veto" part should also be revisited. Brazil trusted that at the present meeting
the General Council could officially appoint a new Director-General. With this goal in mind, his
delegation urged the membership, the Chairman, and Mr. Rossier, to try to obtain the necessary
flexibility from Members in order to permit a consensus.
The representative of the Dominican Republic supported the statements by India and Mexico.
The WTO was on the brink of an institutional crisis at a time when preparations were under way for
an important Ministerial Conference. The way out of the present impasse required Members to
concentrate on positive aspects, such as the fact that one candidate had consistently enjoyed support
from the majority of Members. Serious objections had been lodged but were not known to Members.
Therefore, the Chairman should follow up on Mexico's and Malaysia's suggestion – and his own
delegation's at the 9 April informal meeting – and ask whether any Member could not join aconsensus on the leading candidate, particularly bearing in mind the figures which had been indicated
regarding the level of support enjoyed by that candidate.
The representative of Cuba said that this issue was of the greatest importance and that it was
regrettable that the process had not yet been concluded. Cuba supported the proposals by Malaysia
and Mexico as the most expeditious procedure and constructive approach. He associated his
delegation with India's statement. The consensus process could not be translated into a process in
which certain major economic powers exerted pressure in a bilateral way in order to obtain the results
they wanted. It was the turn of a developing country candidate to fill the post of Director-General,
and the individual concerned had exceptional ability and talents. Members had agreed that all fourcandidates were of the highest calibre. Therefore, it was difficult to understand how it could be said
now that one candidate had a lesser degree of tolerance. The principles of equity and democracy
would be clearly demonstrated by reaching a consensus on Mr. Supachai.
The representative of Australia said that while some had said that this discussion was
unnecessarily long and perhaps even unnecessary, meetings such as this were important for Members
to air their views and to indicate shifts in their positions, and contributed to transparency. Efforts toselect the next Director-General should focus on the positive factor of level of support. In a keenly
contested race, objections would be inevitable. It was the job of the facilitators to test and probe these
objections and to see how widely and deeply they were held. The numbers indicating levels of
support were not the only factor, but they were an important one. The US had rightly said that the
only reliable numbers were those known by the facilitators. Without accurate information it would behard, if not impossible, for Members and candidates to take the hard decisions necessary. Australia
urged the Chairman to provide the necessary information. The figures provided by Malaysia were
quite credible, and his delegation urged the Chairman to build a consensus around the leading
candidate. Australia's strong preference was Mr. Supachai. It was important to conclude the process
at the latest by 30 April, since the longer the process continued, the greater the frustration was.Australia could never accept taking this decision by a vote, and the objections that were prompting the
calls for a vote had to be removed.
The representative of Chile reiterated his delegation's gratitude for the open and transparent
way the different phases of the consultations had been conducted. It was hoped that the decision
could be made by consensus and on the principle of no veto, no vote, and that differences would be
overcome in a spirit of flexibility. She associated her delegation with the statement by Argentina.
Both candidates seemed to have similar levels of support, and the increase in the support for
Mr. Moore might create an imbalance in the more or less even preferences expressed thus far.
Preferences were just one of the relevant criteria, and other principles might have to be applied inorder to reach a final recommendation. Chile reiterate d its support for the Chairman to complete thisWT/GC/M/40
Page 11
process as he best saw fit. As Australia had said, if no consensus were reached by 30 April the
Chairman should continue to seek consensus.
The representative of Bolivia said that now more than ever consensus required constructive
interaction among all Members. The difficulties encountered to date in this process would ensure that
the candidate chosen would have the support of all Members. Experience had shown that figures
merely polarized positions and did not move the process forward. Bolivia supported Mr. Moore and
had seen support for him grow. The Chairman should continue his efforts without any instructions
from Members.
The representative of Guatemala said that his delegation would fully support whatever
candidate the Chairman would put to the General Council at the appropriate time. The only important
criterion was that the candidate would be an effective Director-General. A vote was not the way to
reach a decision on such an important matter. All Members should demonstrate the flexibility
necessary to move ahead.
The representative of Honduras agreed that the process had to be concluded by 30 April. The
figures on levels of support available at present should be provided. There were two excellent
candidates, and his delegation urged those with difficulties with one or the other to go along with a
consensus. Mr. Supachai had the highest level of support.
The representative of Haiti said that the best way to unblock the current impasse was for all
Members to seek to build consensus around the candidate who had been in the lead since the start of
this process. According to Haiti's calculation that candidate was supported by 62 per cent of Members
actively participating in the process, and those Members were spread over five continents and
included both developing and developed countries. Haiti was determined to see that election by
consensus succeeded and had joined the majority supporting the leading candidate. This processshould not be turned into a north-south division. The new Director-General should be capable of
defending, in an equitable manner, the interests of all WTO Members and of speeding up the
accession process for the 32 candidate countries. Members had to ensure that the principles of
democracy, equity and non-discrimination prevailed in this process. At a time when the credibility of
the organization was in doubt in some quarters, there was a need to show a spirit of compromise, and
that Members adhered to the principle of democracy in which the minority joined the majority. Any
other approach would expose the organization to considerable dangers. Regarding the Chairman'sreference to the Deputy Directors-General, his delegation had certain reservations about what had
been proposed and wished to have the text of the relevant procedures. It was for the new Director-
General to choose his deputies with the agreement of the Members. Members should first appoint the
Director-General and then the process of appointing deputies could take place.
The representative of Turkey associated his delegation with Hungary's statement. He had
hoped that discussion of this item could be kept short. It was important was to preserve the authority
of the Chairman, as Members would need him in the coming months to make difficult rulings in
difficult situations. Some delegations were saying that if the Chairman did not follow what they
suggested he would be making a terrible mistake. Mr. Moore was Turkey's first choice and Mr.Supachai its second choice. The campaign being conducted in support of Mr. Supachai was not
helping his candidature. Turkey was determined to preserve the principle of consensus and of no
veto, no vote. Parallels should not be drawn be tween the method of consensus-building and that of
voting. One was not electing a candidate from a particular country or region, but rather the individual
best able to lead the WTO. There was a need to find a candidate who enjoyed the most tolerance.There was nothing obscure or secret about discretion. Asking the Chairman for certain information
was a form of intimidation. Some delegations made Turkey out to be a traitor because it supported
Mr. Moore. It was on the basis of tolerance, understanding and interaction that one should try to find
the best candidate. This was not a north-south battle, and a positive atmosphere should be created.
He fully agreed with Jamaica's statement on the systemic issues. The Chairman's moral authority andWT/GC/M/40
Page 12
integrity were Members' best guarantee. Without it there would be no consensus on this or on
anything.
The representative of Ecuador expressed his delegation's concern over the impasse in the
selection process for the next Director-General. Ecuador was concerned that some Members were
suggesting that numbers and figures no longer counted and that the nature of the objections would
determine where consensus lay. Mr. Supachai had received broad support as the next Director-
General. He stressed the interactive nature of the selection process and said there was a need to have
accurate figures on levels of support and to know what type of objections had been expressed.
Holding back such information did not contribute to removing objections to one or another candidate,
did not contribute to transparency and created confusion. It was necessary to know what those
objections were. He reiterated his delegation's support for Mr. Supachai.
The representative of Trinidad and Tobago expressed concern over the General Council's
again missing a deadline. His delegation had early on expressed its support for Mr. Supachai, who
was the leading candidate, and had hoped that the Chairman would be able to propose a consensus
around him at the present meeting.
The representative of Venezuela said that his delegation would have preferred that the present
discussion not take place, as it was impeding the process rather than advancing it. However, it did
provide material for further reflection. This was a dynamic process which was in flux. It was not a
closed process and it would be irresponsible to try to close it before a mandate to do so was given.The General Council was becoming more divisive rather than more united, and the role of the
Director-General was to bring Members together. It was wrong to see the candidates as representing
either developing or developed countries, since the person designated would represent all Members.
Figures and percentages – which only the Chairman and Mr. Rossier were authorized to give – were
not decisive factors in reaching consensus. Members should contribute to the consensus-buildingprocess by maintaining a positive attitude. This was not an election campaign but a decision on a very
important matter. He recalled that Venezuela had appealed to Members that the choice of the next
Director-General be based on the qualities of the candidate and not on a regional basis. The
candidates should be thanked for their patience and respect for Members' consultation process. There
were several conditions that the selection proces s should meet: support for the Chairman and Mr.
Rossier should be renewed; the legitimate wish of Members to build support around their candidate
should be based on the merits of the candidate and not on whether he was from a developed or adeveloping country; and efforts should be made to remove difficulties. It was more important to
remove difficulties than to add support.
The representative of Egypt said that both candidates were excellent and that the selection
should be made on the basis of merit and capability, and based on the principles of equity,
transparency and democracy. It was regrettable that another deadline had been missed. His
delegation had not witnessed any division between developed and developing countries since the
process had started, and support for both candidates was shared among these countries. It had been
agreed that there would be no vote as this would co ntradict the principle of consensus. And it was
clear that the concept of veto did not exist in the rules, because if there was no consensus there wouldbe a vote. His delegation was perplexed that there were objections to any of the candidates, as no
Member had said that any of them were not acceptable. Egypt was concerned over the delay in this
process, which would affect the credibility of the organization and have an impact on preparations for
the Seattle Ministerial Conference. It had been said that there could be no vote, but what had
transpired was like a vote. The process had to be concluded before 30 April. Otherwise there wouldbe a vacuum. It was not up to the present Director-General to choose the Deputy Directors-General as
this was the prerogative of the new Director-Gener al. Egypt had full confidence in the Chairman,
even if there had to be resort to a vote as provid ed in Article IX of the WTO Agreement. The rules
were there and Members had to respect them.WT/GC/M/40
Page 13
The representative of Mauritius said that fundamental to consensus was the flushing out of
differences, where there should be discretion but no secrecy. It had been reported that there were
difficulties in reaching consensus on either of the candidates, and Mauritius wished to know what
these difficulties were. The system was built on the basis of transparency. There was a need to
honour this and to make clear the difficulties. The situation was very stressful for small delegationslike his, and transparency should be addressed before consensus could be reached.
The representative of Japan said that efforts to build a consensus on the leading candidate
should be intensified. While it was agreed that there should be no voting, it was also agreed that there
should be no veto. Those standing in the way of consensus-building should re-examine their
positions. Consensus did not mean that one Member could block the process. Flexibility and
responsibility were needed. At the time there were four candidates no Member had indicated aproblem with any of them. Now there were only two, but there seemed to be considerable difficulty.
There was a need to maintain the credibility of th e WTO and to resolve this matter. Regarding the US
statement, he said that delegations who had su pported Mr. Abouyoub had had three and a half weeks
to reformulate their positions, and that only two w eeks remained before the deadline of 30 April. In
order to reach a consensus, it was important for each delegation to state its views and positions, andalso to open its eyes and ears.
The representative of Uruguay said that the present meeting had not advanced the process.
His delegation could not accept the concept of institutional crisis. The General Council was within
the deadline and Members had to be pragmatic. Uruguay did not believe that there was a leadingcandidate or a majority candidate, and thus could not accept the proposal by some that efforts to build
consensus should be focussed on only one particular candidate. The Chairman should have the
flexibility to continue his consultations on both candidates. The situation had to be de-dramatized.
His delegation did not agree that Mr. Supachai was the most qualified candidate for the post, and had
supported Mr. Moore from the outset. His delegation fully supported the principle of no veto, no voteand did not recognize the possibility of objections to either of the candidates. The time had come to
ask the Chairman, on the basis of his and Mr. Rossier's consultations, to propose a candidate with the
least objections and most acceptable to all. This was the only way to resolve this matter.
The Chairman clarified that with regard to the extension of the contracts of one or two of the
Deputy Directors-General, he had been trying to be practical and pragmatic. None of this was directly
related to the appointment of the next Director-General. Normally the latter would have beenappointed a month or two earlier and would thus have had time to select his deputies. He was merely
suggesting that the current Director-General, before he left on 30 April, might consult on the
extension of the contracts of one or another of the Deputy Directors-General. He had not intended
this matter to provoke controversy and suggested that there be consultations on it.
The representative of Colombia said that his delegation recognized the good intentions
underlying the Chairman's suggestion. However, Colombia was not prepared to consider this issue at
the present meeting, and proposed that the Chairman suggest to the Director-General that he consult
with Members on this matter.
The Chairman said that this was exactly what he was proposing.
The General Council took note of the statements.
4. Parting statement by the Director-General
The Chairman said that the Director-General wish ed to make a parting statement, as this was
the last regular General Council meeting before the end of his term of office.WT/GC/M/40
Page 14
The Director-General made a statement.4
The Chairman said that before giving the floor to delegations, he wanted to express to the
Director-General his deep appreciation for his outstanding contribution to the strengthening of the
multilateral trading system, the WTO as an institution and its Secretariat. He was sure that all sharedthis high appreciation and esteem for the Director-General. During the term of office of Mr. Renato
Ruggiero, the WTO had recorded a number of significant achievements which would not have been
possible without his leadership, political vision and determination. The WTO had become one of the
most important international organizations. And last but not least, it had a highly qualified and
independent Secretariat. Those who had had the pr ivilege of working closely with Renato Ruggiero
were grateful to him for his invaluable assistance, cooperation and friendship. He wished him all the
best in his future activities.
The representatives of Canada, Switzerland
, Egypt , Jamaica , Hungary , Colombia , Japan ,
United States, Turkey , European Communities , Bangladesh , Pakistan , Haiti , Chile , Korea , India ,
Australia, New Zealand , Norway , Malaysia , Venezuela , Bolivia , Barbados , Paraguay , Senegal , Malta
and Hong Kong, China and the Russian Federation (as an observer) paid tribute to the Director-
General.2
The General Council took note of the statements.
At the end of the discussion on item 4, the Chairman said that since the General Council
would have to meet again soon to consider the a ppointment of the next Director-General, and since
there had not been sufficient time to consider the remaining items on the Agenda of the present
meeting, he proposed that the present meeting be adjourned and reconvened on short notice.
The General Council so agreed.
__________
4 The statement, as well as the interventions by delegations that followed, was circulated in document
WT/GC(99)/ST/3.
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N° _______________ORGANISATION MONDIALE
DU COMMERCEG/SECRET/HS96/49
5 février 2002
(02-0535)
MODIFICATIONS APPORTÉES AU SYSTÈME HARMONISÉ EN 1996
Communication de documentation
Liste XXIX - Nicaragua
La Mission permanente du Nicaragua a fait parvenir au Secrétariat la communication ci-après,
datée du 25 janvier 2002.
_______________
La Mission permanente du Nicaragua demande que la liste de son pays suivant le Système
harmonisé de 1996 soit distribuée aux Membres de l'OMC.1
_______________
Si aucune objection n'est notifiée au Secrétariat dans un délai de 90 jours à compter de la date
du présent document, les modifications apportées à la Liste XXIX - Nicaragua seront considéréescomme approuvées et seront officiellement certifiées.
Des exemplaires des documents susmentionnés peuvent être obtenus sur papier ou sur support
électronique (Excel) auprès de la Division de l'accès aux marchés (Mme D. Wood, bureau 3142).
__________
1 En espagnol seulement.
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RESTRICTEDORGANISATION MONDIALE
DU COMMERCEWT/TPR/D/47
22 mars 2000
(00-1178)
Organe d'examen des politiques commerciales Original: anglais
MÉCANISME D'EXAMEN DES POLITIQUES COMMERCIALES
EXAMEN DE LA POLITIQUE COMMERCIALE DE SINGAPOUR
Communication du présentateur
Conformément aux dispositions du paragraphe C iv) de l'Annexe 3 de l'Accord sur l'OMC, on
trouvera ci-après un aperçu des principaux points que le présentateur, S.E. M. Roger Farrell
(Nouvelle-Zélande) se propose de soulever à l'occasion de l'examen de la politique commerciale de
Singapour, qui aura lieu les 29 et 31 mars 2000.
Il est rappelé que le présentateur remplit ses fonctions à titre personnel. M. Farrell entend
suivre, pour la présentation de ses observations, le plan général ci-après:
i) Contexte économique général
- réaction à la crise asiatique et défis à venir
ii) Régime de la politique commerciale et de la politique de l'investissement
- stratégie en matière de politique commerciale
iii) Politiques, pratiques et mesures commerciales
- mesures à l'importation
- stratégie en matière de développement
iv) Questions sectorielles
- électronique, télécommunications et énergie
- stratégie globale dans le secteur des services
__________
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ORGANISATION MONDIALE
DU COMMERCEG/TMB/N/409
8 août 2001
(01-3936)
Organe de supervision des textiles Original: anglais
ACCORD SUR LES TEXTILES ET LES VÊTEMENTS
Communication de Macao, Chine
L'Organe de supervision des textiles a reçu de Macao, Chine une communication en réponse à
sa demande de renseignements additionnels dans le cadre de la préparation de son rapport général sur
la mise en œuvre de l'ATV pendant la deuxième étape, conformément à l'article 8:11.
L'OSpT distribue cette communication aux Membres de l'OMC pour information.G/TMB/N/409
Page 2
Bureau des affaires économiques et commerciales de Macao
Bruxelles
Le 7 juin 2001
Monsieur l'Ambassadeur András Szepesi
Président de l'OSpT
Monsieur l'Ambassadeur,
En réponse à votre lettre du 14 mai 2001, j'ai l'honneur de vous adresser ci-joint les
observations et clarifications de notre Gouvernement sur la communication (et le rapport du Service
des douanes) des États-Unis concernant la réexpédition.
Je vous remercie de l'attention que vous voudrez bien porter à cette question et vous prie
d'agréer, Monsieur l'Ambassadeur, l'assurance de ma très haute considération.
(signé)
Raimundo do Rosário
Chef du BureauG/TMB/N/409
Page 3
Objet: Communication des États-Unis à l'OSpT concernant l'année 1999
Observations de Macao
Le gouvernement de la Région administrative spéciale de Macao souhaite clarifier les points
suivants:
1. Dans le deuxième paragraphe du document des États-Unis, le "taux de suspicion de 22 pour
cent" est justifié comme n'étant "pas fiable compte tenu de la difficulté à débusquer les fabricants à
Macao, Chine en raison du problème posé par l'identification des fabricants …".
Il s'agit là d'une information inexacte car les Services économiques de Macao, suite à une
importante correspondance et à une demande du Service des douanes des États-Unis, ont adressé la
lettre circulaire n° 11/99/DCO datée du 16 avril 1999 demandant à la branche de production locale de
ne répertorier que le nom des usines, en lettres capitales, ce qui a été fait depuis lors. Ces
renseignements, ainsi qu'une traduction de la lettre circulaire, ont été envoyés le 10 mai 1999 au
Département des opérations stratégiques du Service des douanes des États-Unis et au négociateur enchef pour les textiles (Représentant des États-Unis pour les questions commerciales internationales).
Selon le gouvernement de Macao, cette difficulté ne devrait pas être mentionnée comme étant
un problème, les prescriptions en matière d'identification des fabricants étant en vigueur depuis le
16 avril 1999.
Macao ne comprend donc pas pourquoi les douanes des États-Unis ont des difficultés à
"débusquer les fabricants à Macao en raison du problème posé par l'identification des fabricants".
2. En outre, après la première mission de vérification de la production textile effectuée en
janvier 1999, il avait été convenu que le rapport établi par le Service des douanes des États-Unis serait
soumis à Macao "dans un délai de quelques mois", de même que d'autres renseignements sur un
certain nombre de questions qui permettraient aux Services économiques de Macao d'être mieux à
même de mener leurs propres enquêtes sur tous problèmes constatés par les autorités des États-Unis.
3. La réponse à la demande de Macao s'était fait attendre. En fait, un exemplaire (incomplet) du
rapport de janvier n'a été remis à Macao qu'au moment de la vérification de la production effectuée en
septembre.
Il convient de souligner que, en matière de coopération, Macao a toujours respecté
scrupuleusement les engagements pris dans le cadre d'accords internationaux. En effet, Macao a
fourni aux autorités des États-Unis les renseignements et l'aide demandés, allant pour ce faire
jusqu'aux limites de sa législation intérieure.
4. Sur la base des observations figurant aux paragraphes 1 et 2, Macao peut simplement
réaffirmer que son attitude envers ses homologues des États-Unis a toujours été celle de la plus totale
coopération.
Macao répète donc, une fois encore, que la comparaison effectuée avec d'autres partenaires
commerciaux n'est pas juste si l'on se place du point de vue de la quantité d'informations fournies, lecadre législatif de Macao étant différent des autres. En effet, Macao est un pays de droit
romano-germanique et non pas de common law .
Macao serait étonné que d'autres partenaires commerciaux aient fourni les renseignements et
coopéré aussi rapidement qu'il ne l'a fait, dans les limites de la législation nationale.G/TMB/N/409
Page 4
5. En conséquence, Macao ne voit pas pourquoi le Comité pour la mise en œuvre des Accords
sur les textiles a établi la "liste noire" sur laquelle figurent 77 usines locales. En outre, il a déjà été
indiqué aux autorités des États-Unis que 51 de ces usines étaient fermées.
Macao voudrait également souligner qu'il n'est pas juste de dire, comme l'ont fait les autorités
des États-Unis, que "le nombre d'usines figurant sur cette liste a été ensuite ramené à 74 après lesmesures de redressement demandées par les usines". Les usines en question n'auraient pas dû figurer
de toute façon sur la liste puisqu'elles se conformaient à toutes les règles nationales et internationales.
6. En ce qui concerne la question de l'accès aux marchés, Macao souhaite également souligner
que son système commercial "est l'un des plus libres du monde". Telle est la conclusion qui ressort du
récent examen de politique commerciale qui s'est tenu à Genève entre le 21 et le 23 mars 2001.
Macao se conforme pleinement aux prescriptions énoncées dans les accords internationaux sur lecommerce.
__________
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WORLD TRADE
ORGANIZATIONWT/WGTCP/W/220
5 November 2002
(02-6084)
Working Group on the Interaction
between Trade and Competition PolicyOriginal: English
COMMUNICATION FROM SOUTH AFRICA
The following is the final text of a paper received from the Permanent Mission of South
Africa which was circulated as an advance copy for the Working Group's meeting on
26-27 September 2002.
_______________
HOW THE PRINCIPLES OF TRANSPARENCY, NON-DISCRIMINATION
AND PROCEDURAL FAIRNESS ARE REFLECTED
IN SOUTH AFRICAN COMPETITION LAW
I. INTRODUCTION AND SUMMARY
This document outlines how the principles of transparency, non-discrimination and
procedural fairness are reflected in South African competition law. The South African Constitution
and related legislation require that the principles of transparency, non-discrimination and procedural
fairness be reflected in all administrative practice. In order to pass the test of constitutionality, the
Competition Act and the practices of the authorities must accord with these core constitutionalprinciples. The Competition Act does require that regard be had to the promotion of small and
medium-sized enterprises and to support for securing a more equitable and less racially skewed spread
of ownership. This may be construed as a form of positive discrimination in favour of small and
medium-sized enterprise and firms owned by people historically disadvantaged by the system of
apartheid. However, this is compatible with the Constitution which explicitly provides that equalitybefore the law includes laws or activities that have as their object the amelioration of the conditions of
the disadvantaged, including those disadvantaged on the grounds of race, colour or gender.
II. SUPREMACY OF THE CONSTITUTION
Section 2 of the Constitution of the Republic of South Africa states that the constitution is the
supreme law of the Republic; law or conduct inconsistent with it is invalid and the obligations
imposed by it must be fulfilled. Its application to juristic persons (corporations and companies) is
expressly stated in Section 8 . Clearly then, the Competition Act ("the Act") and the enforcement
thereof must ultimately pass the test of constitutionality.
Not only does the Constitution protect the bare dominion of the principles of transparency,
non-discrimination and procedural fairness, in some instances it also provides for the adoption of
specific legislation to provide weight and clear direction to ensure protection of these principles.WT/WGTCP/W/220
Page 2
As public bodies the competition authorities must ensure that no action or decision in
pursuance of competition law and policy infringes upon the fundamental principles of the Constitution
and that the rights protected by the Constitution are given effect to in so far as these are relevant to the
pursuit of competition policy. While there are specific provisions in the Act, which give express
effect to these principles, they are in fact a tacit or implicit part of all administrative provisions or theAct and must be adhered to in all proceedings.
It is worth noting too, that given South Africa's peculiar history - riddled with the very
antithesis of transparency, non-discrimination and procedural fairness - it is not surprising that South
Africans, in general, are particularly vigilant in their insistence upon adherence to these principles by
both public and private bodies.
III. TRANSPARENCY
(a) South Africa's effort to create a constitutional democracy based on the principles of
openness and transparency permeates the Constitution. Essentially these principles
translate into enabling meaningful participation and ensuring that all public bodies are
accountable to the governed.
(b) In respect of competition law, the traditional concept of a separation of powers
between the relevant government department (the Department of Trade and Industry)
and the competition authorities and between the respective competition bodies
themselves, is most notable. The Act specifically provides the Competition
Commission with investigative powers, the Tribunal with adjudicative and decision
making powers and the Competition Appeal Court with the power to review or
overturn decisions of both the Commission and the Tribunal. The authorities are
therefore independent of each other and of government and operate as such.
Section 20 of the Act specifically provides that the Competition Commission is
independent and subject only to the Constitution and the law. This provision alsoapplies to the Tribunal whist the Court's independence is guaranteed by the
Constitution.
Accountability
Section 33(2) of the Constitution states that anyone whose rights have been adversely
affected by administrative action has the right to be provided with reasons in writing for the decision.
Section 16(4) of the Competition Act provides that the Tribunal must publish its decisions
regarding merger activity in the Government Gazette and must issue reasons for any such decision.
Unlike the practice in many other jurisdictions, the Competition Tribunal must give reasons even
where the decision is to approve a merger. It is clear than that the Act goes beyond the demands of
the Constitution and ensures that parties are given reasons for all decisions, irrespective of whether
their rights have been adversely affected or not. Similar provisions apply to complaints of anti-
competitive behaviour.
Public hearings
Section 34 of the Constitution provides for any dispute to be resolved in a fair public hearing
by an independent and impartial tribunal or forum.
In keeping with this, all hearings of the Tribunal are open to public, except where protection
of confidentiality is of the essence. In addition, Rule 57 of the Tribunal Rules requires that records of
all hearings be kept, including transcripts of oral evidence.WT/WGTCP/W/220
Page 3
Access to information
Section 32 of Constitution deals with the right of access to information: (1) Everyone has the
right of access to:
(a) any information held by the state; and
(b) any information that is held by another person and that is required for the exercise or
protection of any rights.
In addition, legislation to give effect to this right has been enacted. The Promotion of
Access to Information Act 2 of 2000 ("AIA") provides for access to records held by public and
private bodies, sets out grounds for non-disclosure and the manner in which such grounds may be
overruled by the public interest and provides mechanisms for dispute resolution. Section 5 of the AIAstates that the AIA applies to the exclusion of any other legislative provisions that prohibit or restrict
disclosure and that are materially inconsistent with the AIA, that is, if provisions of the Competition
Act are inconsistent with the AIA, the provisions of the AIA apply. There does not appear to be
inconsistency between the Competition Act and the AIA - the Competition Act is a relatively recent
piece of legislation and incorporates all constitutional aspects.
Sections 44 of the Act provides for confidentiality to be claimed in respect of information
submitted to the Competition Authorities, requiring an explanation as to why the information should
not be in the public domain. Nonetheless, the righ t to claim confidentiality is balanced against the
right of access to information in Section 45. It allows for the Tribunal to make an order as to
appropriate access to confidential material.
IV. NON - DISCRIMINATION
Section 9 of the Constitution enshrines the right to equality and the right not to be unfairly
discriminated against. Everyone is equal before the law and has the right to equal protection andbenefit of the law. However, subsection 9(2) of the Constitution states that in order to promote the
achievement of equality, legislative and other measures designed to protect or advance persons, or
categories of persons, disadvantaged by unfair discrimination, may be taken.
Section 3(1) of the Competition Act applies to all economic activity within or having an
effect within SA. To the extent that there is no differential treatment of any specific sector or
industry, and that all firms irrespective of their size or origin must comply with the Act equally, the
application of the Act is non-discriminatory. The comprehensive sweep of Section 3(1) also means
that export cartels, legal/accepted in other international jurisdictions, whose economic activity has an
effect in South Africa, fall within the jurisdiction of the South African competition authorities, who
may act against such a cartel. See The Competition Commission of SA & Botswana Ash (Pty) Ltd
vs American Natural Soda Ash Co rp (Botash/Ansa c 87/CR/Sep00).
Section 53 of the Act allows any person who has a material interest in a matter being heard
by the Tribunal to participate in that hearing. This provides a mechanism for persons who may not be
in a position to initiate proceedings, to ensure that their rights and interests are considered or not
unfairly infringed.
Section 81 of the Act binds the State, thus the application of the Act is extended to include
public/state owned enterprises. Section 3(1A) provides that where a sectoral regulator has
jurisdiction over competition matters pertaining in that sector, the competition authorities shall enjoy
concurrent jurisdiction.WT/WGTCP/W/220
Page 4
However, the Act does allow for a degree of differential treatment. It does this, firstly, by
seeking to promote the viability of small and medium sized enterprises. Secondly, by seeking to
promote black economic empowerment, that is, by se eking to promote ownership and control of firms
by persons historically disadvantaged by apartheid.
Reconciling the apparent contradiction between the principle of non-discrimination and certain
of the public interest provisions of the Competition Act
According to Constitutional Principle V, equal ity before the law includes laws or activities
that have as their object the amelioration of the conditions of the disadvantaged, including those
disadvantaged on the grounds of race, colour or gender.1 Clearly the Constitution envisages the role of
the equality provision as a good in itself but, further, as a powerful tool of national reconstruction anddevelopment. Therefore it is constitutionally accep table to balance the right to equal treatment before
the law against other national objectives such as those specified in the public interest provisions of the
Competition Act because their purpose is to advance the interests of those disadvantaged by past acts
of discrimination.
Those public interest objectives whose realization may compromise the principles of equal
treatment/non-discrimination are encapsulated in section 2 of the Competition Act, most notably 2(e)
and (f) - respectively "to ensure that small and medium-sized enterprises have an equitable
opportunity to participate in the economy", and "to increase the ownership stakes of previously
disadvantaged persons." This approach recognizes that the inequality embedded in the South Africaneconomy and society cannot be tackled simply by treating all in exactly the same way. Hence, the
Competition Act, in common with most other major social and economic statutes, recognizes these
structural inequalities and, in the form of the public interest objectives, provides mechanisms designed
to contribute to their amelioration.
Nor are the public interest objectives specified above left at the level of general principle.
Hence Section 10 of the Act provides that a practice or agreement that is otherwise proscribed by the
Act may nevertheless be exempted from the application of the Act provided that the authorities are
satisfied that the practice of agreement contributes to the realization of a specified set of objectives
including, "promotion of the ability of small businesse s, or firms controlled or owned by historically
disadvantaged persons, to become competitive". Section 12A of the Act specifies that when the
authorities evaluate a merger they must, after first determining whether or not the transactioncontributes to a substantial lessening of competition, determine the impact of the transaction on a
number of specified public interest factors that again include "the ability of small businesses, or firms
controlled or owned by historically disadvantaged persons, to become competitive". In the final
decision, a positive assessment of the transaction's impact on public interest may permit an anti-
competitive transaction to proceed; a negative assessment of the impact on public interest may resultin the prohibition or conditional approval of a transaction that has been determined to be competition-
neutral or even pro-competitive.
In summary, the Act specifically permits discrimination in favour of small and medium-sized
enterprises and firms owned by historically disadvantaged persons. It does not, however, countenancediscrimination against any class of business or person. A transaction involving a foreign-owned firm
or firms will be evaluated against the same set of criteria, including its impact on public interest, as
that used when one or both of the firms in quest ion are South African owned. If, however, a South
African owned firm involved in a transaction is also owned by historically disadvantaged South
Africans then that fact may influence the outcome of the overall evaluation - negatively, if thetransaction undermines the ownership stake of historically disadvantaged persons, positively if it
promotes that interest. By the same token, a firm owned by historically disadvantaged persons may
1 Constitutional law of SA, Chaskalson et al , Chapter on "Equality" by Kentridge, J. 1999. Juta.WT/WGTCP/W/220
Page 5
apply for an exemption from the application of the Act on the grounds that the exemption is required
to promote its competitive position - if the authorities are persuaded of this then they may grant the
exemption. A foreign owned firm or a firm owned by white South Africans may argue for an
exemption on the grounds that the anti-competitive practice in which they intend to engage is required
to promote the competitiveness of suppliers or distributors or otherwise associated firms that areowned by historically disadvantaged persons. Note that since few small and medium-sized
enterprises or firms owned by historically disadvan taged persons are likely to be dominant in their
respective matters their conduct is unlikely to fall foul of the provisions of the Act that proscribe anti-
competitive. Nor are mergers in which these firms pa rticipate likely to lead to a substantial lessening
of competition.
The public interest provisions designed to promote the competitiveness of small and medium-
sized enterprises appear compatible with the objective of Paragraph 25 of the Doha Declaration
which provides that "…full account should be taken of the needs of developing & least developed
country participants and appropriate flexibility provided to address them". Note that the Aristotelian
adage, that equality is a matter of treating like cases alike and unlike cases differently in proportion to
their likeness or difference, that, in other words, e quality is not merely a matter of likeness but also a
matter of difference, has been accepted by the International Court of Justice in numerous cases.
2
V. PROCEDURAL FAIRNESS
The principles of procedural fairness and natural justice are manifest in the protection of the
following rights:
Section 33 of the Constitution deals with just administrative action:
(1) Everyone has the right to administrative action that is lawful, reasonable and
procedurally fair.
(2) Everyone whose rights have been adversely affected by administrative action has the
right to be given written reasons.
In terms of Section 52(2 ) of the Competition Act the Tribunal must conduct its hearings as
expeditiously as possible and in accordance with the principles of natural justice. The essential and
fundamental principles of natural justice, for example the audi alteram partem rule (hear the other
side), are given substantive effect by the application of the Tribunal's Rules for the Conduct ofProceedings, which supplement the provisions of the Act.
Standard rules of South African civil procedure are followed, which dictate that a party has
the right to respond to the submissions of its opponent. In particular, our rules of "discovery" provide
that parties must produce all documents reasonably required by the other side or by the Tribunal. TheAct and the Rules of Procedure determine the maximum time frames that govern all proceedings,
including the provision of documents.
The Act and the Rules also provide for pre-hearing conferences. These allow for consultation
and agreement between the parties and the Tribunal as to the procedural aspects of any matter. Notonly does this advance procedural fairness, it also reinforces the principles of openness and
transparency.
Sections 61 and 62 of the Competition Act give parties the right to take decisions of the
Tribunal on review or appeal to the Competition Appeal Court. Although the Competition Tribunal
2 Constitutional law of SA, Chaskalson et al , Chapter on "Equality" by Kentridge, J. 1999. Juta.WT/WGTCP/W/220
Page 6
and Competition Appeal Court have exclusive jurisdiction in all competition matters, parties may
elect to proceed to the High Court (rather than the Competition Appeal Court) in respect of procedural
reviews. The Constitutional Court naturally has final jurisdiction over all constitutional matters.
VI. CONCLUSION
South African competition law and practice accords with the highest standards of
transparency, non-discrimination and procedural fairness. This has substantially enhanced the
credibility of the competition authorities, bot h those charged with investigative and advocacy
functions and those charged with adjudicative responsibility.
Adherence to the principle of transparency has also enhanced the credibility of the
competition authorities and it has helped promote a competition culture in South Africa. It hasensured a high degree of participation in competition proceedings including considerable media
coverage and public comment.
The principle of non-discrimination has not operated at the expense of pursuit of key national
industrial and social policy objectives, where those objectives are manifestly designed to address theconsequences of past discrimination.
__________
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ORGANISATION MONDIALE
DU COMMERCEG/TBT/Notif.98.366
28 juillet 1998
(98-3000)
Comité des obstacles techniques au commerce
NOTIFICATION
La notification suivante est communiquée conformément à l’article 10.6.
1. Membre de l’Accord adressant la notification: ARGENTINE
Le cas échéant, pouvoirs publics locaux concernés (articles 3.2 et 7.2):
2. Organisme responsable: Office national de contrôle des médicaments, des produits
alimentaires et des techniques médicales (ANMAT)
L'organisme ou l'autorité désigné pour s'occuper des observations concernant la notificationdoit être indiqué s'il est différent de l'organisme susmentionné:
3. Notification au titre de l’article 2.9.2 [X], 2.10.1 [ ], 5.6.2 [ ], 5.7.1 [ ], autres:
4. Produits visés (le cas échéant, position du SH ou de la NCCD, sinon position du tarif
douanier national. Les numéros de l’ICS peuvent aussi être indiqués, le cas échéant):
Colorants synthétiques utilisés dans des spécialités médicinales
5. Intitulé, nombre de pages et langue(s) du texte notifié: Disposition 2227/98 de l'ANMAT
(1 page, en espagnol)
6. Teneur: Liste unique de colorants synthétiques et de leurs laques aluminiques destinés à
être utilisés dans des spécialités médicinales à administration par voie orale. Les prospectusconcernant toutes les spécialités médicinales agréées ou en cours d'agrément renferment de
la TARTRAZINE ou de l' ÉRYTHROZINE comme colorant devront comporter la
mention suivante en toutes lettres: " Este medicamento contiene Tartrazina como colorante "
(Médicament contenant du colorant tartrazine) ou " Este medicamento contiene Eritrosina
como colorante " (Médicament contenant du colorant érythrozine).
7. Objectif et justification, y compris la nature des problèmes urgents, le cas échéant:
Protection de la santé des personnes
8. Documents pertinents:
9. Date projetée pour l'adoption:
Date projetée pour l'entrée en vigueur: 15 mai 1999
10. Date limite pour la présentation des observations:
11.Entité auprès de laquelle le texte peut être obtenu: point national d'information [X] ou
adresse, courrier électronique et numéro de téléfax d'un autre organisme:
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WORLD TRADE ÜRGANIZATION
ÜRGANISATION MONDIALE DU COMMERCE
ORGANIZACIÓN MUNDIAL DEL COMERCIO
Council for Trade-Related Aspects of
Intellectual Property Rights IP/N/1/CUB/G/2
1 July 2004
(04-2839)
Original: Spanish/
espagnol/
español
MAIN DEDICATED INTELLECTUAL PROPERTY
LA WS AND REGULATIONS NOTIFIED UNDER
ARTICLE 63.2 OF THE AGREEMENT
CUBA
This document reproduces the text1 of the Agreement between the Govemments of the
Republic of Cuba and the Republic of Peru on the Mutual Recognition and Protection of their
Appellations of Origin, notified by Cuba under Article 63.2 of the Agreement by means of a
communication from its delegation dated 9 September 2002.
Conseil des aspects des droits de propriété
intellectuelle qui touchent au commerce
PRINCIPALES LOIS ET RÉGLEMENTATIONS CONSACRÉES Á LA
PROPRIÉTÉ INTELLECTUELLE NOTIFIÉES AU TITRE
DE L'ARTICLE 63:2 DE L'ACCORD
CUBA
Le présent document contient le texte1 de l'accord entre les gouvemements de la République
de Cuba et de la République du Pérou sur la reconnaissance mutuelle et la protection de leurs
appellations d'origine, qui a été notifié par Cuba au titre de l'article 63:2 de l'Accord au moyen d'une
communication de sa délégation datée du 9 septembre 2002.
Consejo de los Aspectos de los Derechos de Propiedad
Intelectual relacionados con el Comercio
PRINCIPALES LEYES Y REGLAMENTOS DEDICADOS A LA
PROPIEDAD INTELECTUAL NOTIFICADOS EN VIRTUD
DEL PÁRRAFO 2 DEL ARTÍCULO 63 DEL ACUERDO
CUBA
En el presente documento se reproduce el texto1 del Acuerdo entre los Gobiernos de la
República de Cuba y de la República del Perú sobre Mutuo Reconocimiento y Protección de sus
Denominaciones de Origen, que Cuba notificó en virtud del párrafo 2 del artículo 63 del Acuerdo
mediante una comunicación de su Delegación de fecha 9 de Septiembre de 2002.
1 In Spanish only./En espagnol seulement./En español solamente. IP/N/1/CUB/G/2
Página 2
ACUERDO ENTRE LOS GOBIERNOS DE LA REPUBLICA DE CUBA Y DE
LA REPUBLICA DEL PERU SOBRE MUTUO RECONOCIMIENTO Y
PROTECCION DE SUS DENOMlNACIONES DE ORIGEN
Los Gobiernos de la República de Cuba y de la R~pública del Perú,
denominados en lo sucesivo "los Países Signatariosn;
Deseosos de mejorar las condiciones de comerciali.¡ación de los productos
que gozan de la protección derivada de las denorninacion~s de origen en sus
respectivos mercados, de conformidad con los prinqipios de igualdad,
beneficio mutuo y reciprocidad; y,
Teniendo en cuenta el Acuerdo sobre los Derechos de P!r.opiedad Intelectual
relacionados con el Comercio contenido en el Anexo 1/C del Acuerdo que
establece la Organización Mundial del Comercio.
HAN CONVENIDO EN LO SIGUIENTE:
Artículo 1
Sobre la base de los principios de no discriminación y reciprocidad, los
Países Signatarios acuerdan facilitar y promover el mutuo reconocimiento y
protección de sus denominaciones de origen.
Artículo 2
A los efectos de la aplicación del presente Acuerdq se entenderá por
denominación de origen, una indicación getpgráfica .constituida por la
denominación de un país, de una región o de un lll,,gar determinado, o
constituida por una denominación que, sin ser la de un ~.aís, una región o un
lugar determinado, se refiere a una zona geográfica d13terrninada, utilizada
para designar un producto originario de ellos y cuya talidad, reputación u
otras características se deban exclusiva o esencialmente ~, medio geográfico
en el cual se produce, incluidos los factores naturales y humanos.
Artículo 3
1. Quedan protegidas las siguientes denominaciones de origen:
a) Por parte de la República del Perú: (Las qu'e aparecen en el Anexo 1 ).
b) Por parte de la República de Cuba: (Las que aparEjcen en el Anexo 2).
2. Los Países Signatarios se comprometen a intercarflbiar, en un plazo no
mayor de 30 días, documentos oficiales.. de reit;onocimiento de las
denominaciones de origen protegidas por el presente Acuerdo y a
incluirlos entre sus Anexos. Artículo 4
Alcance de la protección acordada: IP IN/ 1 /CUB/G/2
Página 3
1. En la República del Perú, las denominaciones protegidas de la República
de Cuba sólo podrán ser usadas en las condicibnes previstas en la
legislación y reglamentación de !a RepúbliGa de Cuba.
2. En la República de Cuba, las denominaciones protegidas de la República
del Perú sólo podrán ser usadas en las condiciones previstas en la
leglslación y reglamentación de la República del Perú.
3. Sin perjuicio de lo dispuesto en los artículos 22 y 23 del Acuerdo sobre los
Aspectos de los Derechos de Propiedad Intelectual relacionados con el
· Comercio, que figuran en el Anexo 1 C del Acuerdo que establece la
Organización Mundial del Comercio, los Países &ignatarios adoptarán
todas las medidas necesarias, con arreglo al presente Acuerdo, para
garantizar la protección mutua de las denominacicpnes indicadas en el
Artículo 3 originarias del territorio de los P~íses Signatarios. Cada País
Signatario proporcionará a las partes inte$sadas .. los medios jurídicos
necesarios para evitar la utilización de una d~nominacíón protegida por el
presente Acuerdo para designar un producto que no sea originario del
lugar donde dicha denominación de origen está protegida, o que, a pesar
de provenir del área geográfica reconocida oomo propia de la
denominación de origen, no cumplan con los requisitos legales exigidos o
no cuenten con la debida autorización de uso.
4. Los Países Signatarios no denegarán la protección establecida en el
. presente artículo en las circunstancias definidas en los apartados 4 al 7 del
artículo 24 del Acuerdo sobre los Derechos de Propiedad Intelectual
relacionados con el Comercio, de la Organización Mundial del Comercio.
5. Las denominaciones de origen reconocidas al amparo del presente
Acuerdo no podrán ser registradas como marca de producto de la misma
clase internacional a la que pertenecen los productos distinguidos con la
denominación de origen protegida.
Artículo 5
La protección contemplada en el artículo 4 se aplicar~, incluso, cuando se
indique el origen auténtico de! producto o cuando la idenominación figure
traducida o acompañada de términos tales como "cliase", "tipo", "estilo",
"modo", "imitación", "método" u otras expresiones an$1ogas que incluyen
símbolos gráficos que puedan causar confusión. IP /N/1/CUB/G/2
Página4
Artículo 6
En el caso de que existan denominaciones homónimas, la protección se
concederá según común acuerdo de los Países Signatarios, teniendo en
cuenta las condiciones prácticas necesarias para diferenciar las indicaciones
homónimas en cuestión, para garantizar un tratamiento equitativo a los
productores afectados y para no inducir a error a lo.s consumidores.
Artículo 7
Las disposiciones del presente Acuerdo se entenderártl sin per1u1c10 del
derecho de toda persona a emplear para fines comerciales su nombre o el
nombre de su predecesor en el negocio, siempre que d~o ,nombre no se
utilice de forma tal que pueda inducir a error a los consumi(:iores.
Artículo 8
Los Países Signatarios no quedarán obligados por ninguna disposición del
presente Acuerdo a proteger una denominación del otro País Signatario que
no esté protegida en su país de origen, que haya dejado de estar protegida o
que haya caído en desuso en dicho país, de conformidad con la normatividad
vigente.
Artícuio 9
Los Países Signatarios adoptarán todas las medidas necesarias para
garantizar que, en caso de exportación y de comercialización de productos de
los Países Signatarios fuera de sus respectivo~ territorios, las
, denominaciones protegidas de Lino de los Países Signat~rios en virtud del
presente Acuerdo no se utilicen para designar o presentar un producto
originario del otro País Signatario.
Artículo 10
En la medida en que la legislación de los Países Signatarios lo permita, la
protección proporcionada por el presente Acuerdo se extenderá a las
personas físicas y jurídicas y a las federaciones, asociaciones y
organizaciones de productores, comerciantes o consumidores con sede en el
otro País Signatario.
Artículo 11
Si en la designación o la presentación del producto, sobre todo en la etiqueta
o en los documentos oficiales o comerciales o en su publicidad, se
incumplieren los términos del presente Acuerdo, los Países Signatarios
aplicarán las medidas administrativas o iniciarán los procedimientos judiciales
necesarios para luchar contra la competencia desleal o impedir de cualquier
otro modo la utilización indebida del nombre protegido. -Artículo 12
El presente Acuerdo no será aplicable a: IP /N/1/CUB/G/2
Página 5
1. Los productos que estén en tránsito en el territorio de uno de los Países
Signatarios.
2. Los productos incluidos en el equipaje de particulares.
3. Los volúmenes de productos importados con fines de experimentación
científica y técnica, hasta un límite razonable.
4. Los productos incluidos en las provisiones de a bordo de los medios de
transporte internacionales.
Artículo 13
Los organismos nacionales responsables de velar por et cumplimiento de las
disposiciones del presente Acuerdo, serán el Instituto Nacional de Defensa
de la Competencia y de la Protección de la Propiedad lntel~ctual (INDECOPI)
por parte de la República del Perú y la Oficina -Cuban~ de la Propiedad
Industrial (OCPI) por parte de la República de Cuba.
Artículo 14
En caso de que alguno de los organismos a que se refiere.el artículo anterior
tuviera motivos para sospechar que un producto, definil:Jo con arreglo al
artículo 2, que sea o haya sido objeto de una transacción comercial entre los
Países Signatarios, no cumple con las disposiciones del presente Acuerdo o
con la normativa peruana o cubana aplicable a las denominaciones de
origen, y que dicho incumplimiento reviste un especial interés para el otro
País Signatario y puede dar lugar a medidas administrativas o a un
procedimiento judicial, dicho organismo deberá informar inmediatamente a los
organismos competentes del otro País Signatario.
La información facilitada con arreglo a lo dispuesto anteriormente deberá ir
acompañada de documentos oficiales, comerciales o de otro tipo,
indicándose asimismo las posibles medidas administrativa$ o procedimientos·
judiciales. Concretamente, la información incluirá los siguientes datos sobre
el producto en cuestión:
1. El productor y la persona en posesión de dicho producto..
2. La composición y las características esenciales de dicho producto.
3. Su designación y presentación.
4. La naturaleza de la infracción de las normas de producción o
comercialización. IP/N/1/CUB/G/2
Página 6
5. Otros requisitos que nudiera solicitar cada país.
Artículo 15
Los Países Signatarios celebrarán consultas cuando uno de ellos considere
que el otro no ha cumplido algunas de las obligaciones contraídas con
arreglo al presente Acuerdo. El País Signatario que solicite la celebración de
consultas facilitará al otro País Signatario toda la información necesaria para
examinar detalladamente el caso en cuestión.
Artículo 16
Por el presente Acuerdo se crea un Grupo de Trabajo ~ue estará integrado,
en el caso de la República de Perú, por ~I Minis erio de Relaciones
Exteriores, el Ministerio de Industria, Turismo, Integra 1ón y Negociaciones
Comerciales Internacionales (MITINCI) y el Instituto Nacional de Defensa de
la Competencia y de la Protección de la Propiedad lntel~dual (INDECOPI), y,
en el caso de la República de Cuba, por el Ministerio de Relaciones
Exteriores, el Ministerio de Comercio Exterior, el Ministerio para la Inversión
Extranjera y la Colaboración Económica, y la Oficina Cubana de la Propiedad
Industrial (OCPI); y se reunirá, alternativamente en el Perú o en Cuba, a
petición de uno de los Países Signatarios y conforme a las necesidades de
aplicación del presente Acuerdo.
El Grupo de Trabajo velará por el correcto funcionamiento del presente
Acuerdo, examinará todas las cuestiones que plantee su aplicación, y podrá
formular recomendaciones que contribuyan al logro de sus objetivos.
Artículo 17
Los Países Signatarios podrán modificar de mutt¡Jo acue.tdo las disposiciones
del presente instrumento, con el fin de ampliar la protección· otorgada a las
denominaciones de origen.
Para modificar las listas de denominaciones de origen prptegidas incluidas en
el Artículo 3, el País Signatario solicitante notificará al otqo País Signatario las
nuevas denominaciones de origen protegidas en virh,td de su legislación
· nacional. La inclusión de dichas denominaciones tendrá lugar una vez que el
otro País Signatario haya manifestado su consentimiento en un lapso de tres
meses contados a partir de la fecha de la notificación.
Artículo 18
Los productos que, en el momento de la entrada en vigor del presente
Acuerdo, hayan sido producidos, designados y presentados legalmente,
aunque prohibidos por. el presente Acuerdo, podrán ser comercializados
durante un período de seis meses a' partir de su entrada en vigor. IP /N/1/CUB/G/2
Página 7
A partir de la entrada en vigor del presente Acuerdo, los productos
designados por denominaciones de origen protegidas por sus disposiciones,
no podrán ser producidos fuera de los límites de la región de origen.
Artículo 19
Los Anexos mencionados en el artículo 3. formarh parte integrante del
presente Acuerdo.
Artículo 20
El presente Acuerdo se redacta en duplicado siendo atTibos textos igualmente
auténticos.
Artículo 21
El presente Acuerdo entrará en vigor a los sesenta días de la fecha en que
los Países Signatarios se hayan notificado por escrito el cumplimiento de los
procedimientos internos necesarios para su incorporación a la legislación
nacional.
Gada País Signatario podrá denunciar el presente Acuerdo mediante
notificación por escrito al otro País Signatario con un año de antelación.
Hecho en la ciudad de Lima a los diez días del mes de ¡octubre del 2000.
Por el Gobierno d
de Cuba Por el Gobierno de la epública
del Perú IP /N/1/CUB/G/2
Página 8
ACUERDO ENTRE LOS GOBIERNOS DE LA REPUBLICA DE CUBA Y DE
LA REPUBLICA DEL PERU SOBRE MUTUO R~CONOCIMIENTO Y
PROTECCIÓN DE LAS DENOMINACIONES DE ORIGEN
ANEXO 1
DENOMINACIONES DE ORIGEN PERUANAS
Aguardiente de Uva:
Pisco IP /N/1/CUB/G/2
Página 9
ACUERDO ENTRE LOS GOBIERNOS DE LA REPUBLICA DE CUBA Y DE
LA REPUBUCA DEL PERU SOBRE MUTUO RECONOCIMIENTO Y
PROTECCIÓN DE LAS DENOMINACIONES DE ORIGEN
TABACO: ANEXO 2
DENOMINACIONES DE ORIGeN CUBANAS
1) Cuba
2) Habanos
3) Habana
4) Habaneros
5) Vuelta Abajo
6) Vuelta Arriba
7) Hoyo de Monterrey
8) Las Martinas
9) Partido
1 O) San Vicente
11) San Luis
12} Cabañas
13) Corojo
14) Tumbadero
15) Hoyo de Manicaragua
16) Remedios
17) San Juan y Martínez
18) Cuchillas de Barbacoa
Aguas minerales:
19) Los Portales
Peloides:
20) Elguea
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. /.RESTRICTEDORGANISATION MONDIALE
DU COMMERCEWT/ACC/KHM/19
11 novembre 2002
(02-6175)
Groupe de travail de
l'accession du CambodgeOriginal: anglais
ACCESSION DU CAMBODGE
Communication du Cambodge
Législation
Le gouvernement du Royaume du Cambodge a fait parvenir au Secrétariat les textes et
documents1 ci-après, qui peuvent être consultés au Secrétariat (Division des accessions, bureau 1126)
et obtenus sous forme électronique à l'adresse suivante: [email protected].
_______________
1. Projet révisé de loi sur le droit d'auteur et les droits connexes de mai 2002;
2. Projet révisé de loi sur l'insolvabilité de juillet 2002;
3. Projet révisé de loi sur le tourisme du 23 mai 2002;
4. Projet de loi régissant l'alimentation en eau et l'assainissement;
5. Projet de loi douanière du 15 août 2002;
6. Projet d'amendement de la Loi sur les investissements du 29 mars 2002;
7. Projet de loi sur les transactions de titres négociables et d'ordres de paiement de
septembre 2002;
8. Projet de loi sur la protection des brevets, des certificats de modèles d'utilité et des dessins et
modèles industriels du 12 octobre 2001;
9. Projet de loi sur la pêche;
10. Projet de décret sur la phytoquarantaine;
11. Projet de décret relatif à la quarantaine et aux mesures sanitaires appliquées à l'inspection des
animaux et des produits d'origine animale du 11 juin 2002;
12. Projet de décret sur les assurances du 21 septembre 2002;
13. Loi sur les comptes des entreprises, leur audit et sur la profession comptable;
1 Disponibles en anglais seulement.WT/ACC/KHM/19
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14. Loi sur l'exploitation forestière d'août 2002;
15. Projet de Code civil du 3 septembre 2002;
16. Décision sur l'établissement des points d'information pour 1) les services, 2) les mesures
sanitaires et phytosanitaires, 3) les obstacles techniques au commerce, et 4) la conformité
juridique avec les Accords de l'OMC, du 26 juillet 2002;
17. Plan financier du gouvernement du Royaume du Cambodge (2001-2010).
__________
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ORGANIZACIÓN MUNDIAL
DEL COMERCIOWT/WGTDF/W/7/Add.1
25 de julio de 2002
(02-4114)
Grupo de Trabajo sobre Comercio, Deuda y Finanzas Original: inglés
COMUNICACIÓN DE LA OCDE1
Addendum
LAS CONSECUENCIAS DE LAS CRISIS FINANCIERAS
EN EL COMERCIO Y LA POLÍTICA COMERCIAL
I. INTRODUCCIÓN
1. Esta nota se basa en parte en la labor llevada a cabo en la OCDE a raíz de la crisis financiera
asiática de 1997-1998, de la que emanaron varios principios rectores, los cuales han sido reafirmados
en análisis más recientes, pero que también se han basado en una experiencia muy anterior, sobre todo
las enseñanzas económicas extraídas del decenio de 1930. La nota, que se presenta como documento
de trabajo para las deliberaciones del Grupo de Trabajo sobre Comercio, Deuda y Finanzas, trata de
dos cuestiones concretas: las consecuencias de la crisis financiera en el comercio (sección II) y elpapel de la política comercial en la respuesta ante la crisis financiera (sección III).
II. LAS CONSECUENCIAS DE LA CRISIS FINANCIERA EN EL COMERCIO
2. ¿Qué cabría haber esperado que sucediese inmediatamente después de la crisis financiera
asiática de 1997-1998?
• Variaciones importantes de los tipos de cambio nominales en toda Asia provocarían
cambios de consideración en la pauta de la competitividad relativa, complicando las señales
sobre precios de que depende el comercio internacional. Este cambio influiría en el
volumen y en la composición de las corrientes comerciales internacionales. La depreciaciónde las monedas de la región asiática aumentaría los precios relativos de las importaciones y
mejoraría la competitividad de los productores nacionales. En caso de producirse una
verdadera depreciación, la variación de las relaciones de intercambio nacionales (o internas)
provocaría una disminución de la demanda de bienes de consumo importados al tiempo que
aumentaría la de insumos intermedios utilizados para producir bienes comercializados.
• Además, la disminución del gasto de los consumidores e inversores de la región asiática
daría lugar a una capacidad excedentaria en aumento en muchas ramas de producción,
ejerciendo una presión a la baja sobre los precios. Así pues, aunque aumentara el volumen
de las exportaciones, la disminución de los precios a la exportación seguiría reduciendo los
ingresos en dólares por concepto de exportaciones.
1 Este documento ha sido redactado por Ken Heydon, Subdirector de la Dirección General de Comercio
de la OCDE, con asistencia de Nora Dihel, Jean Le Cocguic y Janet West. Las opiniones que en él se exponen
son las de su autor y los miembros de la OCDE no las comparten necesariamente.WT/WGTDF/W/7/Add.1
Página 2
3. Esta respuesta de manual escolar se parece mucho a lo que sucedió.
• En los mercados de la ASEAN-4 (Indonesi a, Malasia, Filipinas y Tailandia) y Corea se
registraron contracciones masivas de las importaciones . En el primer trimestre de 1998, las
importaciones de Tailandia e Indonesia disminuyeron respectivamente en un 40 y un 36 por
ciento en comparación con el primer trimestre de 1997 y Malasia y Filipinas registraron
disminuciones de aproximadamente el 19 y el 8 por ciento, respectivamente. En el primertrimestre de 1998, las importaciones de Co rea disminuyeron en una media ponderada en
proporción al comercio del 35 por ciento; disminuciones proporcionales superiores a la
media afectaron a las importaciones procedentes de Arabia Saudita, el Japón y Singapur;
aunque inferiores a la media, también experimentaron disminuciones las importaciones
procedentes de Australia y Kuwait.
• Tuvo lugar realmente el aplazamiento de cualquier expansión de las exportaciones
desencadenada por la depreciación de las monedas . El valor de las exportaciones de
Indonesia en el primer trimestre de 1998 disminuyó en un 2,5 por ciento con respecto a su
nivel del primer trimestre de 1997, el de las de Malasia en cerca del 11 por ciento y el de las
de Tailandia aproximadamente en un 5 por ciento. El volumen de las exportaciones de
Tailandia aumentó a un ritmo anualizado del 15 por ciento, aunque resultó compensado con
creces por la disminución de los valores unitarios de las exportaciones. La elevadacomplementariedad comercial entre las exportaciones de la ASEAN-4, aunada a su
orientación a acrecer simultáneamente las exportaciones y la cuota de mercado puede haber
contribuido a esas disminuciones de los prec ios a la exportación. Además -y difiriendo en
ello de la respuesta de manual-, las importaciones de bienes de capital y productos
intermedios disminuyeron, reduciendo aún más una recuperación basada en las exportaciones.
• Entre tanto, las exportaciones de otras partes de Asia siguieron siendo robustas. Las
exportaciones de China y del Japón durante el primer trimestre de 1998 aumentaron
respectivamente en un 13 y un 5 por ciento con respecto a sus niveles del primer trimestre
de 1997.
• El colapso de la demanda de importacione s en la ASEAN-4 más Corea, junto con un gran
aumento de las exportaciones de otras partes de Asia, y la atonía reinante en el Japón diolugar a una disminución del comercio intraasiático y un aumento de las importaciones en
regiones no asiáticas. Si comparamos las importaciones de la Unión Europea durante los
dos primeros meses de 1998 con las registradas un año antes en el mismo período, las
importaciones procedentes de la región asiática obtuvieron grandes tasas de crecimiento. Lasimportaciones de la UE procedentes de Corea aumentaron nada menos que en un 28 por
ciento; las procedentes de Filipinas, Tail andia, el Taipei Chino y China registraron
crecimientos de entre el 22 y el 25 por ciento; las procedentes del Japón, del 16 por ciento
entre los dos períodos, y las procedentes de Singapur aumentaron en un 20 por ciento. Las
importaciones de los Estados Unidos procedentes de Tailandia aumentaron en un 26 porciento entre enero y julio de 1998 en comparación con el mismo período de 1997; las
procedentes de Filipinas, en un 18 por ciento; las procedentes de Hong Kong y Malasia, en
un 8 y un 4 por ciento, respectivamente. A su vez, las exportaciones de la Unión Europea y
los Estados Unidos experimentaron un importante cambio de destino, dejando de estar
dirigidas a las partes de Asia en crisis y dirigiéndose a los Estados Unidos o la Unión Europea
y a otras regiones, como América Latina.
4. Esta situación entrañaba un claro riesgo de que se produjese una respuesta proteccionista:WT/WGTDF/W/7/Add.1
Página 3
• de la ASEAN-4 y de Corea, ya que esos países estaban cada vez más agobiados por el
servicio de la deuda externa, que iba en aumento;
• de los Estados Unidos, la Unión Europea y otros países, ante el aumento repentino de las
importaciones procedentes de Asia;
• de otras regiones que debían absorber cantidades cada vez mayores de importaciones de los
Estados Unidos y la Unión Europea;
• y de países enormemente dependientes de sus exportaciones de productos básicos, que veían
como los precios de éstos disminuían hasta en un 30 por ciento.
Ciertamente, este riesgo de proteccionismo estaba atemperado en algunas economías de países
miembros de la OCDE por una mejora de las relaciones de intercambio gracias a la bajada de los
precios del petróleo y las materias primas y los menores rendimientos de los mercados de capitales,
mas seguía existiendo el riesgo, caracterizado, en la terminología de la época, como peligro de
contagio.
III. EL PAPEL DE LA POLÍTICA COMERCIAL EN LA RESPUESTA ANTE LA CRISIS
FINANCIERA
5. ¿Qué enseñanzas -en el plano de la política comercial- podemos extraer de esta experiencia?
Son tres las que sobresalen:
• en primer lugar, tiene una importancia crítica resistir a las presiones proteccionistas y
mantener abiertos los mercados y que respalde esos esfuerzos un flujo constante definanciación del comercio;
• en segundo lugar, es menester fomentar la reforma normativa y la liberalización de los
servicios financieros; y
• en tercer lugar, es necesario que una política comercial sana vaya acompañada, y esté
impulsa, por un amplio programa de reformas.
1. Mantener abiertos los mercados y la corriente de financiación del comercio
6. Abordaremos primero la enseñanza negativa -para lo cual tendremos que remontarnos al
decenio de 1930-. El repliegue de los países sobre sí mismos en ese decenio en respuesta a la crisisfinanciera contribuyó a empujar la economía mundial a una depresión sostenida. Este episodio
concreto de la historia económica respalda la observación crucial de que, si bien es posible soslayar
con gran rapidez las crisis financieras, las crisis comerciales pueden tener consecuencias prolongadas
y dañinas.
7. A continuación, la enseñanza positiva de la crisis de 1997-1998: los países no cedieron a la
tentación de adoptar una respuesta proteccionista y, si va a decir verdad, algunos de los afectados por
la crisis abrieron todavía más sus mercados. Al respecto, no debemos subestimar el papel
desempeñado por la Ronda Uruguay al establecer un marco previsible de compromisos de
liberalización y reforzamiento de las normas del comercio. Gracias a ello, las economías en crisis
pudieron -tras el desfase inicial- responder de la manera que el análisis económico dice que deberíanhacerlo. Las exportaciones aprovecharon la oportunidad que les ofrecía la depreciación de los tipos
de cambio (se plasmó la curva en J). De ese modo, la prosecución de la liberalización del comercio
ayudó a estimular el crecimiento económico al tiempo que contribuía a restablecer la estabilidad
macroeconómica.
2
2 Véase " Trade Policiy Conditionality in Fund-Supported Programs ", anexo a un documento de la
Junta de Gobernadores sobre " Conditionality in Fund-Supported Programs ", FMI, febrero de 2001.WT/WGTDF/W/7/Add.1
Página 4
8. Las perspectivas económicas de la ASEAN cambiaron radicalmente en 1999. La mayoría de
los países afectados por la crisis tuvieron una recuperación más rápida de lo que se esperaba a partir
del primer semestre de ese año. Esa recuperación se debió en gran medida a un aumento de las
exportaciones -impulsado por un aumento repen tino de la demanda mundial de productos
electrónicos- junto a una política monetaria y fiscal estimuladora.
9. En 1999, las exportaciones de Malasia y Filipinas aumentaron, respectivamente, en un 16,8 y
un 19,1 por ciento con respecto a 1998, y las de Tailandia en un 7,4 por ciento. El aumento de las
exportaciones de Malasia estuvo estimulado por la depreciación real de su moneda y el aumento de la
demanda de productos electrónicos en la región y en los Estados Unidos. De modo similar, el
considerable crecimiento del sector externo de Filipinas se debió fundamentalmente al aumento de las
exportaciones de productos y componentes electrónicos. Entre los países de la ASEAN-4, las tasas de
crecimiento de Indonesia fueron inferiores a causa de los problemas asociados al elevadoendeudamiento de las empresas y al acceso a créditos.
10. Corea, uno de los países más afectados por la crisis financiera, estuvo al frente de la región,
con un crecimiento económico de dos cifras en 1999. El aumento de las exportaciones (9,9 por
ciento), los aumentos del consumo y las inversiones privadas y la reconstrucción de las existencias
dieron un gran impulso a la producción coreana, llevándola por encima de los niveles previos a lacrisis.
11. Esta pauta positiva prosiguió en 2000. Los datos del comercio de Malasia indican un robusto
aumento de las exportaciones, el 16,2 por ciento, sustentado por el crecimiento constante del principal
mercado a la exportación del país (los Estados Unidos), el aumento de la demanda mundial de
productos electrónicos y la recuperación en curso de Asia. En Tailandia, el valor de las exportacionesaumentó en un 18,2 por ciento en relación con el nivel de 1999, desempeñando un papel primordial en
los resultados económicos del país. Las exportaciones de mercancías de Indonesia aumentaron en un
27,7 por ciento durante ese año, desempeñando un importante papel las de equipo eléctrico, textiles y
algunos productos derivados de recursos naturales, sobre todo aluminio y níquel.
12. Para que esta recuperación de las exportaciones diese buenos resultados, era preciso que los
mercados extranjeros de las economías en crisis permaneciesen abiertos, mas, al mismo tiempo, que
sus mercados internos fuesen accesibles, para no desencadenar represalias en otros lugares y para que
siguieran beneficiándose de los insumos importados.
3 Respecto de esta segunda cuestión, otro
aspecto importante del mantenimiento de los mercados abiertos era la necesidad de obtener una
financiación permanente del comercio de bienes de capital e insumos intermedios, a fin de ayudar a
mantener la capacidad y la infraestructura de las exportaciones.
13. La actual situación de la Argentina pone de relieve la importancia de la financiación del
comercio. En las "Perspectivas de la economía mundial" del FMI más recientes se observa que es
probable que aumenten las exportaciones en respuesta a la depreciación del tipo de cambio, pero que,
a breve plazo, ello dependerá en gran medida del fortalecimiento de la financiación del comercio. Los
programas de créditos a la exportación desempeñan un papel crítico en el fomento de las corrientes
comerciales, ya sea mediante la concesión de créditos a breve plazo para financiar la exportación debienes de consumo, materias primas y productos básicos, ya sea mediante créditos a medio y largo
plazo (esto es, los que por lo general deben ser devueltos al cabo de dos años o más) para financiar
exportaciones de bienes de capital y servicios conexos, referentes a una sola operación (por ejemplo,
la venta de una planta de depuración de aguas o de una aeronave) o en el marco de un proyecto (por
3Con esto no pretendemos negar el derecho de cualqu ier parte contratante en la OMC, con arreglo a lo
dispuesto en los artículos XII y XVIII.B del GATT y en el artículo XII del AGCS a limitar la cantidad o el valor
de las importaciones para salvaguardar su posición financiera externa y su balanza de pagos.WT/WGTDF/W/7/Add.1
Página 5
ejemplo, venta de turbinas para una central hidroeléctrica). Las cantidades en juego son
considerables. En 1997, los organismos de créditos a la exportación del G7 avalaron cerca de
15.000 millones de dólares EE.UU. de créditos a breve plazo sólo a Indonesia, Corea y Tailandia.
14. En el terreno de los créditos a la exportación, la labor de la OCDE guarda relación con los
tratos a medio y largo plazo, respecto de los cuales el Acuerdo relativo a las directrices para loscréditos a la exportación concedidos con apoyo oficial fija directrices para la prestación de ayuda
oficial. Además, los miembros de la OCDE llevan a cabo de manera habitual intercambios de
opiniones sobre política de créditos a la exportación y pueden decidir, en cada caso, ir más allá y
coordinar sus políticas en esa materia con un objetivo específico, como sucedió en respuesta a la
iniciativa del G7 de 1998 relativa a los créditos a la exportación en el contexto de la crisis financiera
asiática. Los países del G7 declararon el 21 de febrero de 1998:
"Habida cuenta de la fortaleza a largo plazo de las economías asiáticas, los
programas de reformas que están adoptando varios países afectados y los
compromisos que los organismos de crédito a la exportación ya han asumido en la
región, los organismos de crédito a la exportación del G7 creen que hay motivos
fundados y necesidad de mantener el apoyo financiero a la región (...).
(...) los organismos de crédito a la exportación del G7 han convenido en:- seguir proporcionando y, si procede, ampliar el seguro a corto plazo, las
garantías y el reaseguro a los compradores solventes de la región;
- acrecer la cooperación de los organismos de crédito a la exportación entre sí
para solventar los problemas que algunas empresas de la región están teniendo para
hacer frente a sus obligaciones en materia de deuda en divisas;
- intercambiar información acerca de la evolución de los mercados y la puesta
en práctica de medidas de reforma en los países de que se trata, reconociendo que la
reanudación de la estabilidad financiera es crucial para todas las partes.
Al llevar a la práctica esta iniciativa multilateral, los organismos de crédito a la
exportación de los países del G7 reconocen la importancia de colaborar con lospaíses asiáticos para superar los problemas actuales a fin de mantener las corrientes
comerciales y de fomentar el crecimiento a largo plazo y estable (...). "
15. Los ministros de Finanzas del G7, reunidos ese mismo día, acogieron favorablemente esta
iniciativa y afirmaron lo siguiente:
"El acceso permanente a la financiación de l comercio será también importante para
la recuperación económica en la región. Acogemos con agrado las propuestas
formuladas hoy por los principales organismos de crédito a la exportación a fin demantener los servicios de financiación del comercio abiertos a los países de la región
que lleven a cabo las obligadas reformas de política en cooperación con las
Instituciones Financieras Internacionales."
16. En el marco de esta iniciativa, el Grupo de Créditos a la Exportación de la OCDE convocó
una reunión extraordinaria el 2 de marzo de 1998 a fin de constituir un foro de diálogo entre los paísesmiembros de la OCDE y representantes de cuatro economías asiáticas (Filipinas, Tailandia, Malasia e
Indonesia). En ella se analizaron, entre otras, diversas cuestiones relacionadas con la prestación de
apoyo a los créditos a la exportación a esos cuatro países y los miembros del Grupo de Créditos a la
Exportación confirmaron su participación en la iniciativa del G7, ampliando con ello el consenso aWT/WGTDF/W/7/Add.1
Página 6
que ya habían llegado los organismos de crédito a la exportación del G7 a 25 miembros de la OCDE y
confirmando que estaban dispuestos a "responder positi vamente a las solicitudes de créditos a medio y
largo plazo de empresas solventes".4
17. Lo anterior no quiere decir que durante la crisis financiera asiática estuviese asegurado
plenamente el suministro de financiación a breve plazo para actividades comerciales. Como ya se hadicho en un documento de la Secretaría de la OMC preparado para esta reunión
5, y como hemos
aludido anteriormente, la financiación de las importaciones fue un problema para Indonesia en el peor
momento de la crisis, ya que la pérdida de confianza en el sistema bancario del país llevó a los bancos
internacionales a negarse a avalar cartas de crédito abiertas por bancos nacionales, si bien cabría
afirmar que se trataba más de un problema bancario que de uno relacionado con las actividades de los
organismos de crédito a la exportación.
2. La reforma del sector financiero
18. La crisis financiera asiática suscitó honda preocupación acerca de la solidez de los sistemas
financieros nacionales de los países damnificados e hizo reconocer que la reforma del sistema
financiero debía comprender forzosamente medidas enderezadas a liberalizar todavía más los sistemas
financieros, con objeto de fomentar una asignación más eficiente de los ahorros y de facilitar la
llegada a ellos de nuevos proveedores de servicios, nacionales y extranjeros, lo cual impulsaría unamayor competencia al tiempo que crearía incentivos para una actuación de los bancos prudente y
sólida. Ahora bien, al mismo tiempo también se reconoció que no es lo mismo liberalizar los
servicios financieros que desregularlos y que, de hecho, la apertura del mercado de los servicios
financieros puede tener que ir acompañada de un reforzamiento de la regulación y de los controles
prudenciales.
19. En el caso de Corea, en concreto, ayudó a la recuperación de la crisis de 1997-1998 la
reforma del sector financiero. La liberalización financiera del país solventó varias vulnerabilidades
financieras y reforzó la competitividad global de su sector financiero. En el sector bancario, la
participación de accionistas extranjeros en el capital de bancos nacionales existentes ayudó a
aumentar la solvencia de Corea a ojos del extranjero. Las entradas de capitales extranjerosaumentaron la demanda en los mercados de valores, lo que hizo que para las empresas resultase más
fácil obtener financiación a largo plazo, mejorar sus estructuras financieras y aumentar su
rentabilidad.
20. En un interesante estudio todavía no concluido, Yun-Hwan Kim, del Banco Asiático de
Desarrollo
6, observa que, a diferencia de otros países damnificados por la crisis, Corea abrió su
mercado nacional de servicios financieros más activamente en el período posterior a la crisis que en el
4 Conviene tener presente que las actividades del Grupo de Créditos a la Exportación entrañan
elementos de responsabilidad colectiva e individual. Por consiguiente, la evaluación del riesgo que presenta
cada país beneficiario -y por lo tanto su clasificación crediticia a los fines de créditos a la exportación a medio y
largo plazo- se efectúa de manera colectiva en el ma rco de las disciplinas del Acuerdo sobre Créditos a la
Exportación. Ahora bien, las consecuencias que cabe extraer de esa evaluación colectiva del riesgo, por lo que
se refiere a la existencia de cobertura o gestión de la cartera, quedan en manos de cada miembro.
5 Relación entre comercio y finanzas. Examen de al gunos estudios publicados en relación con las crisis
financieras del decenio de 1990, WT/WGTDF/W/4, 26 de junio de 2002.
6 Yun-Hwan Kim, " Financial Opening Under the WTO Agreement in Selected Asian Countries:
Progress and Issues ", ponencia presentada en el Octavo Foro Internacional sobre las Perspectivas de Asia,
organizado por el Banco Asiático de Desarrollo y el Centro de Desarrollo de la OCDE, París, 24 y 25 de junio
de 2002.WT/WGTDF/W/7/Add.1
Página 7
anterior a ésta, al tiempo que registró un mejor crecimiento económico que otros países afectados por
la situación. Este autor plantea el interrogante crucial de si esos mejores resultados alentaron al
Gobierno coreano a abrir los mercados nacionales, o bien la política de apertura contribuyó al rápido
crecimiento. Dos factores hacen pensar que la li beralización ayudó a estimular el crecimiento: el
hecho de que las medidas de liberalización fuesen adoptadas mayoritariamente poco después de queestallase la crisis y el que los préstamos de los bancos extranjeros hubiesen sido más contracíclicos
que los de los bancos nacionales en Corea. Kim también aborda el tema del orden de las actuaciones
y dice que se debería liberalizar la presencia comercial de proveedores extranjeros antes que el
suministro transfronterizo de servicios financieros habida cuenta de los riesgos de la libertad de
movimientos de los capitales sin que existan mecanismos de supervisión eficientes.
21. El consenso a que llegaron en diciembre de 1997 más de 100 Miembros de la OMC a
propósito del Acuerdo sobre los Servicios Financieros ayudó enormemente a llevar a buen término lareforma del sector financiero en Corea, y en un campo más amplio.
22. Un estudio reciente de la OCDE, " GATS: The Case for Open Services Markets ", analiza la
experiencia de Chile y Sudáfrica acerca de cómo la reforma del sector financiero puede reforzar la
capacidad de resistencia frente a choques externos.
• En Chile, las reformas del sector financiero dieron lugar a la aparición de un robusto sistema
bancario en el que los proveedores y los consumidores actúan con mayor confianza. Los
depósitos bancarios aumentaron de 350 millones de dólares EE.UU. en 1989 a
12.200 millones a finales de 1997; los tipos de interés reales disminuyeron desde más del
40 por ciento a aproximadamente el 9 por ciento en ese mismo período. Los beneficios que
este cambio supuso para la sociedad en conjunto consistieron en la mejora de los servicios
bancarios, una mayor posibilidad de obtener préstamos, un encauzamiento más eficiente delos fondos hacia actividades económicas productivas, como la agricultura y la ganadería, que
anteriormente eran consideradas demasiado arriesgadas. En conjunto, ambos sectores, por
ejemplo, sólo recibieron 4 millones de dólares EE.UU. de préstamos en 1990; en 1997,
obtuvieron, en cambio, 440 millones.
• La expansión de los mercados de todos los servicios financieros ha aumentado
considerablemente el empleo en Sudáfrica. Además, los agentes extranjeros que han entradoen todos los segmentos del mercado han desempeñado un importante papel en hacer del país
un centro financiero regional, lo cual ha sucedido en parte porque han utilizado a Sudáfrica
como base regional, pero también porque su aparición ha mejorado la competitividad del
mercado de los servicios financieros al disminuir los precios, aumentar la gama de productosy mejorar el servicio.
23. La situación actual de China, donde el nivel de créditos fallidos es comparable al de muchos
países de Asia Sudoriental después de la crisis de 1997-1998, nos recuerda una vez más la
importancia de la liberalización del sector financiero. Se ha dicho que los beneficios que la adhesión
de China a la OMC entrañará en cuanto a aumentar la competitividad de su industria no se plasmarán
plenamente a menos que se reforme y abra su sistema bancario.
7
3. Encajar la política comercial en un amplio programa de reformas
24. La reforma de la política comercial en terrenos concretos, por ejemplo, los servicios
financieros, desempeñará un importante papel en la recuperación de las crisis financieras -y en la
creación de capacidad de resistencia frente a futuros choques externos-. Ahora bien, por sí sola, la
7 "China in the World Economy: The Domestic Policy Challenges ", OCDE, París, 2002.WT/WGTDF/W/7/Add.1
Página 8
política comercial no es la panacea. Además de la necesidad de financiación externa para evitar que
los desequilibrios de la balanza de pagos hagan presión a favor de políticas comerciales restrictivas
-tema éste de otros documentos de análisis- la política comercial tiene que estar respaldada por otros
factores políticos concomitantes. El mantener abiertos los mercados y fomentar la liberalización del
comercio y de las inversiones sólo dará resultados plenamente si está apoyado por una reforma deamplia base. No se trata, claro está, de una observación nueva. Como se nos recuerda en el
documento adjunto de la UNCTAD, todo un capítulo de la Organización Internacional del Comercio
propuesta anteriormente estaba consagrado a la necesidad de coordinar la política comercial con otros
aspectos de la política macroeconómica interna y externa.
25. Esta es una de las principales enseñanzas que podemos extraer de otra crisis financiera, la del
peso mexicano de 1994, teniendo presente que nunca hay dos crisis financieras idénticas. La
experiencia de México nos muestra que las crisis financieras, y los consiguientes problemascomerciales, no tienen por qué ser de larga duración, siempre y cuando las autoridades intervengan
con prontitud y adopten políticas que se refieran a las causas subyacentes de la crisis. A raíz de la
crisis del peso en 1994, México concibió y aplicó prontamente un programa global de reformas que
tuvo en cuenta todos los principales elementos que habían desencadenado la crisis. Aunque la
estabilización macroeconómica estaba en primer plano del programa, México aprovechó además laoportunidad para robustecer las reformas estructurales, comprendida la liberalización más a fondo del
régimen de inversiones extranjeras, ampliando el alcance del programa de privatizaciones,
reformando el régimen de seguridad social y creando un mercado de futuros para las divisas
extranjeras. Gracias a estas reformas, el país obtu vo fondos privados en los mercados internacionales
de capitales al cabo de un año del inicio del programa de reforma económica. En 1996, el PIBaumentó en un 5 por ciento en términos reales, tras haber disminuido un 6 por ciento en 1995; la
cuenta corriente también registró una mejoría marcada, reduciéndose el déficit de 30.000 millones de
dólares EE.UU. en 1994 a 2.000 millones en 1996. Además, se aligeró la presión sobre los mercados
financieros en un período relativamente breve, como reflejó la disminución de los tipos de interés a
breve plazo y de la inflación.
26. ¿Cuáles son algunos de los demás factores políticos concomitantes de la reforma de la política
comercial? A tenor de otra obra reciente de la OCDE, " The Development Dimensions of Trade ", hay
por lo menos cinco. La reforma de la política comercial -en el contexto de crear capacidad de
resistencia frente a los choques externos- debe ir acompañada de:
• Una reforma normativa - su necesidad es especialmente patente en sectores como las
telecomunicaciones y los transportes, en los que la reducción de los obstáculos normativos
acelera el desarrollo de la infraestructura, disminuye los costos de puesta en marcha y
funcionamiento y ayuda a estimular la adecuación de las exportaciones. Un entorno
normativo más transparente, previsible y menos arbitrario también puede disminuir la
corrupción en las transacciones nacionales;
• Además, la política comercial debe ir acompañada de mecanismos institucionales para la
solución de diferencias - elemento inevitable de los choques externos, comprendidas las
crisis financieras. Como ya se ha dicho, un elemento clave de la crisis financiera será undesplazamiento marcado de las relaciones de intercambio nacionales, que conllevará el
peligro de un conflicto social latente asociado a las variaciones de la distribución de las
rentas. El economista Dani Rodrik ha identificado varios elementos importantes del marco
institucional que requiere una solución de diferencias eficaz:
- derechos de propiedad;
- instituciones, como órganos antitrust, que corrijan las informaciones y los fallos de
los mercados;
- seguro social o programas de transferencia de rentas; yWT/WGTDF/W/7/Add.1
Página 9
- instituciones de estabilización macroeconómica, como el prestamista en última
instancia.
• Una administración macroeconómica sana , en términos más generales, es un elemento
concomitante esencial de la reforma de la política comercial. Como la depreciación del tipo
de cambio, y la consiguiente presión al alza sobre los precios internos, es más costosa en laseconomías abiertas que en las cerradas, aquéllas tienen un fuerte incentivo para evitar una
creación excesiva de dinero e inflación. Y, de hecho, la inflación parece ser menor en las
economías abiertas.
• La capacidad de la política comercial para responder a un choque externo dependerá
asimismo de la flexibilidad del mercado laboral . Si los mercados laborales funcionan mal,
o si a los trabajadores les resulta difícil pasar de una rama de producción en fase de
contracción a otra orientada a la exportación y en expansión, no es probable que se haganrealidad los beneficios que puede entrañar la depreciación del tipo de cambio.
• Puede que para los países en desarrollo el elemento concomitante más importante de una
política comercial sana, y de los esfuerzos precisos para mejorar el acceso a los mercados delas exportaciones de especial interés para esos países, sea la cooperación para el desarrollo y
unas actividades eficaces de asistencia técnica y creación de capacidad relacionadas con el
comercio. Mas éste es evidentemente un tema que por sí mismo va más allá de lo tratado en
este período de sesiones del Grupo de Tr abajo sobre Comercio, Deuda y Finanzas.
__________
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RESTRICTEDWORLD TRADE
ORGANIZATIONIP/Q/PRY/1
IP/Q2/PRY/1IP/Q3/PRY/1
IP/Q4/PRY/1
23 January 2002
(02-0344)
Council for Trade-Related Aspects of
Intellectual Property RightsOriginal: Spanish
REVIEW OF LEGISLATION
PARAGUAY1
This document reproduces the introductory statement made by the Paraguayan Vice-Minister
of Industry, the questions addressed to his delegation and the responses given in connection with the
review of legislation undertaken at the Council meeting held from 27 to 30 November 2000.2
_______________
I. INTRODUCTORY STATEMENT
Intellectual property rules have been applied in Paraguay since the end of the last century, and
have been accorded major importance at the various stages of their elaboration. Intellectual property
rights are recognized and guaranteed protection by virtue of a long-standing tradition and legal
awareness.
Such recognition was granted for the first time by the Decree of 20 May 1845, which
"protects discoveries or new inventions of any kind or any industry".
Subsequently, the Decree of 20 May 1845 was repealed by Law No. 773 of
23 December 1925 establishing the Patent Office, which was regulated by Decree No. 32.611 of
8 February 1929.
Intellectual property rights have had constitutional status in all the constitutions by which
Paraguay has been governed; thus, Article 110 of the current Constitution, in force since 1992,
provides that "any author, inventor, producer or trader shall enjoy exclusive ownership of his work,
invention, mark or trade name under the law".
A. RATIFICATIONS OF INTELLECTUAL PROPERTY TREATIES
Pursuant to its tradition of recognizing intellectual property rights, Paraguay has acceded to
the following international treaties:
- Paris Convention
1 As regards laws and regulations relevant to the area under review and notified by Paraguay under
Article 63.2 of the Agreement, reference is made to documents IP/N/1/PRY/2; IP/N/1/PRY/C/1 and 2;IP/N/1/PRY/P/1 to 4; IP/N/1/PRY/T/1 and 2 and IP/N/6/PRY/1.
2 The minutes of the meeting have been circulated as document IP/C/M/29.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 2
Ratified by Parliament: Law No. 300 of 10 January 1994.
- World Intellectual Property Organization (WIPO)
Paraguay became a member by virtue of Law No. 1224 of 23 December 1986.
- Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS)
Ratified by Law No. 444/94 of 10 November 1994.
- Protocol on the harmonization of standards relating to marks, indications of source
and appellations of origin.
Ratified by Law No. 912 of 1 August 1996.
- Rome Convention for the Protection of Performers, Producers of Phonograms and
Broadcasting Organizations
Ratified by Law No. 1038 of 11 October 1969.
- Convention for the Protection of Producers of Phonograms Against Unauthorized
Duplication of their Phonograms, Geneva, 1971
Ratified by Law No. 703 of 8 August 1978.
- Berne Convention for the Protection of Literary and Artistic Works (Paris Act of
1971, as amended in 1979)
Ratified by Law No. 12 of 23 August 1991.
- International Convention for the Protectio n of New Varieties of Plants (UPOV)
Two important WIPO treaties on copyright have also been approved and ratified, and will be
deposited with the WIPO administrative office on the occasion of this visit. They are the following:
- WIPO Copyright Treaty (WCT) of 1996;- WIPO Performances and Phonograms Treaty (WPPT) of 1996.
B.
INTELLECTUAL PROPERTY LEGISLATION IN FORCE
Pursuant to its tradition of protecting intellectual property rights and adapting and
harmonizing domestic legislation with the international treaties to which it is a party, Paraguay has
made strenuous efforts to update its legislation in this field, as evidenced by the following lawscurrently in force:
Marks
The new Law on Marks, which is being brought into line with our international treaty
obligations, establishes important principles such as the following: protection of well-known marks,
border measures, procedures for the implementation of precautionary measures and criminal penalties,
geographical indications, trademark use, and the registration of collective and certification marks. ItIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 3
also includes provisions providing for the destructio n of infringing goods by judicial order, following
their seizure and without it being necessary to await the final ruling.
- Law No. 1294 of 6 August 1998
- Regulatory Decree No. 22,365 of 14 August 1998
Industrial designs
Industrial designs may be registered if they are new, are not used solely for technical
purposes, and are not contrary to public order, morality and proper practice.
- Law No 868 of 2 November 1981
- Regulatory Decree No. 30,007 of 5 January 1982
Patents for invention
On 21 November 2000, the National Congress approved the new Law on Patents for
Invention, which supersedes Law No. 773 of 23 December 1925. The Law was the subject of
extensive debate in the National Parliament and among the sectors directly concerned, in order to take
account of their interests and ensure that they are fully consistent with the obligations assumed by
Paraguay under the TRIPS Agreement and the Paris Convention. It should be pointed out that, on thebasis of this Law, patents for invention will be granted to sectors which previously received no
protection, such as pharmaceutical produc ts and agricultural chemical products.
In accordance with the grace period afforded to developing countries by the TRIPS
Agreement, Paraguay will grant patents for invention to sectors not previously protected as from10 January 2003. However, the Paraguayan Government has duly informed the WTO Secretariat of
its receipt of patent applications for the inventions concerned in accordance with Article 70.8(a) of the
TRIPS Agreement.
I apologize for the fact that the new Law on Patents for Invention was not circulated in
advance since, as you will have noted, it was approved by Congress only recently, on 21 November.
It should be pointed out that the replies to the questions raised by certain Members in
connection with the earlier Law, No. 773, are based on the new, recently approved Law on Patents for
Invention, which will enter into force this week, as soon as it has been enacted by the Executive.
I should also like to mention the fact that, during the period of consideration of this Law, the
Senate Chamber requested and obtained invaluable assistance from experts of the World Intellectual
Property Organization who, pursuant to the December 1995 Agreement between WIPO and WTO,
have assumed responsibility for technical and legal assistance to developing countries, in order to
bring their intellectual property laws into li ne with the rules of the TRIPS Agreement.
Lastly, we are convinced that the new legislati on on inventions will serve as an instrument of
industrial, technological and commercial development for Paraguay, remedying the gaps and
limitations in the current legislation, which dates back to 1925. The draft legislation covers the
following topics:
Copyright and related rights
It should be emphasized that copyright and related rights have always enjoyed constitutional
protection in Paraguay, as laid down in Article 110 of the current 1992 Constitution. TheIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 4
Government has also endeavoured to update the legal structures in this field and has replaced the
earlier Law No. 94/51 on protection of artistic, scientific and literary works, together with the
Regulatory Decree thereto, No. 6609/51, with the cu rrent Law No. 1328/98 on Copyright and Related
Rights, an up-to-date legislative text which takes account of all the concerns covered by internationaltreaties and conventions, in particular the topics raised in the Agreement on Trade-Related Aspects of
Intellectual Property Rights, otherwise known as the TRIPS Agreement.
The Paraguayan Government has at all times been concerned to protect intellectual property
rights, as is clear from a brief review of the conventions ratified by Paraguay in the area relating to
copyright and related rights, which have already been listed in the annex on ratification of treaties.
The TRIPS Agreement obliged Paraguay to amend the entire spectrum of intellectual property
laws, including the Laws on Marks and Copyright and Related Rights, both in full effect, which are
being brought into line with the provisions of the above-mentioned Agreement.
It can be affirmed that international treaties of the kind referred to in this statement form part
of the Paraguayan legal system, and their application has priority over domestic laws, as provided for
in the national Constitution itself.
We wish to stress that Paraguay is proud of its domestic legislation, particularly Law
No. 1328/98 on Copyright and Related Rights and the Regulatory Decree thereto, No. 5159/99 of
13 September 1999, which are advanced enactments. Pursuant to these statutory provisions, the
Paraguayan Government set up the National Directorate of Copyright which, within a short time, has
gained ground in the specific protection of intellectual property rights in this field, and is making a
positive contribution to the bold fight against counterfeiting of phonograms, videograms, software,
public performance of protected works, etc.
- Law No. 1328/98
- Regulatory Decree No. 5159/99
New plant varieties
The first regulations on seeds were Decree No. 23128 of 1 December 1972 and
Decree No. 24,251 of 7 February 1972, which did not deal with the protection of new plant varieties,
but merely regulated the production, certification, marketing and control of seeds.
Subsequently, in August 1994, the adoption of Law No. 385/94 on Seeds and Protection of
Cultivars entailed the repeal of the above-mentioned decrees. The Seeds Directorate (DISE) is thetechnical body responsible for enforcing the Law.
Chapter IV, "National Register of Protected Cultivars", of Law No. 385/94, and the regulation
thereto, Decree No. 7797/00, authorize the National Registry of Protected Cultivars within the Seeds
Directorate to safeguard the rights of plant breeders.
It also provides that any natural or legal person who produces a new plant variety is entitled to
apply for registration thereof in the above-mentioned register, once the requirements of
"distinctiveness, homogeneity, stability and novelty" have been fulfilled. Protection does not extend
to any product obtained through application of the variety.
The International Convention for the Protection of New Varieties of Plants (UPOV) was
approved by Law No. 988/96.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 5
Decree No. 10846 of 20 October 2000 provid es that MERCOSUR Decision CMC No. 1/99,
Cooperation and Facilitation Agreement on Protec tion of New Plant Varieties in the MERCOSUR
member States, shall have effect in the Republic of Paraguay.
C. ENFORCEMENT
With regard to the provisions of TRIPS Article 41, which refers to the need to establish
procedures for the enforcement of intellectual property rights, the relevant Paraguayan legislation
includes a Law on Marks, No. 1294/98, Law No. 1328 on Copyright and Related Rights and articles
inserted in the Criminal Code and the Civil Code relating to intellectual property, which make it
possible to adopt much more effective measures against any infringement of intellectual property
rights, ensuring fuller compliance with the provisions of the international treaties to which Paraguay isa party.
With regard to the need for implementation of fair and equitable procedures, Paraguayan
legislation provides for simple, clear procedures that are easy to understand and implement, with full
respect for the rules of due process, decisions on the merits based on written proceedings withadequate participation by all the parties, adherence to time-limits and assessment of the evidence, in
accordance with the principle of sound critical analysis, since the provisions of the Code of Civil
Procedure are also applicable in the this field on a supplementary basis.
At the same time, subsequent to the administrative proceedings implemented under the new
Law No. 1328/98, the parties are given the opportunity to continue defending their rights at another
level of proceedings, albeit one of a jurisdictional nature, that is to say before a judicial authority
within the existing system, without the need to establ ish a special court for intellectual property rights,
which are dealt with by the administrative authority, the first chamber of the Court of Audit, with the
possibility through this channel of reaching the highest level of jurisdiction, the Supreme Court ofJustice.
Fair and equitable proceedings
With regard to the article in question, holders of intellectual property rights may also avail
themselves of civil law procedures to secure recogn ition of such rights, with adherence to the rules of
due process, which has constitutional status.
Actions relating to the invalidity of disputed marks, the registration thereof and unfair
competition, defined by Law No. 1294/98 on Marks as any act contrary to honest practice in industry
and trade, must be initiated, conducted and resolved in civil proceedings, whether for the purpose of
securing cessation of the acts concerned or preventing their repetition, or in order to obtaincompensation for injury and prejudice.
In the field of copyright, the principle of fair and equitable proceedings is also applied to the
establishment of tariffs or duties payable by commercial firms for the public performance of protected
musical works.
Evidence
Under the relevant article, reference is made to evidence, which must be subject to conditions
that ensure the protection of confidential information. Paraguayan legislation on this subject providesfor freedom of evidence under which the parties may base their claims on solid evidence,
guaranteeing at all times the preservation of items of evidence in accordance with the principle of
sound critical analysis.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 6
In criminal proceedings relating to marks, expert evidence is the best starting-point for
precisely determining the apocryphal nature or otherwise of goods. The evidence in question is
always examined with due regard for the principle of due process and the right of defence, inasmuchas the relevant material is made known to the parties concerned, which may avail themselves of their
right to appoint an expert of their choice, or even to accept the opinion of the opposing party's expert,
thereby giving effect to the bilateral or adversarial principle, since the parties enjoy the full benefit of
the time allotted for producing evidence in disputed cases.
Injunctions
This article refers to the powers conferred on the judicial authorities to prevent imported
products which infringe an intellectual property right from entering the national territory. In this
connection, pursuant to the provisions of the TRIPS Agreement, Paraguayan legislation provides for
so-called "border" measures, these being precautionary measures designed to prevent the entry into
the country of goods that infringe intellectual property rights, with authority being given to thecustoms authorities, at the request of an interested party, to detain such goods.
With respect to the Law on Marks and Copyright, such measures may extend for a period of
up to ten days, without intervention by the courts.
Damages
With regard to the provisions of the relevant article, Paraguay's criminal legislation provides
for compensation for injury by means of procedures such as conciliation in the case of property
offences. This is one of the procedures most co mmonly used nowadays, since the victims of this type
of offence are usually mainly concerned about compensation for the damage caused to their interests.
Other remedies
The relevant article refers to other remedies such as the withdrawal of infringing goods and of
the means used for the manufacture or reproduction of those goods. In this connection, the relevant
articles of Law No. 1294/98 on Marks provide for pr ecautionary measures, as mentioned above in the
section relating to the article on injunctions.
Right of information
This point concerns the infringer informing on third persons who were involved in the
offence; in this connection, the Criminal Code clearly provides for sanctions against both the
perpetrator of the offence and any accomplices or accessories after the fact. The purpose of any
judicial investigation is to find all parties liable for the offence.
Indemnification of the defendant
Provided that a complaint is lodged concerning intellectual property, the complainant shall be
responsible for any false allegation, where proceedings are brought recklessly, in which case he shall
be required to compensate the defendant for any injury caused, or in consequence may be ordered to
pay costs.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 7
D. ACTION TO COMBAT PIRACY
Since 1991 the Government of the Republic of Paraguay has been more active in the fight
against the counterfeiting of goods, otherwise know n as piracy, with a view to protecting the
legitimate rights of producers and artists who were deprived of all protection on account of theenormous economic power generated by activities of this kind, which made it difficult for them to
develop and market their genuine products and creations.
As of this year, the Government, through the Mi nistry of Industry and Trade, has taken action
on numerous occasions to withdraw counterfeit goods from the market, especially in the case of
phonograms and videograms.
On the basis of the conviction that the fight against piracy will only be successful if the three
branches of Government pool their efforts, and give n the firm commitment to inter-institutional action
to eradicate this scourge, the National Council for the Protection of Intellectual Property Rights was
established by Decree No. 14.870 of 26 September 1996. The Council brings together the Ministries
of Industry and Trade, the Interior, Finance, Education and Worship, and Justice and Labour, apartfrom the municipalities of Asuncíón, Ciudad del Este and Encarnación, towns on the borders with
Argentina and Brazil.
Numerous operations have been carried out through the agency of the Council, the results of
which are attached as an annex to this report.
In addition to these operational activities, the Council has an educational role in making
people understand that those who market counterfeit goods, apart from committing an offence, cause
serious injury to the country.
It should be emphasized that the Judiciary and the State Attorney-General's Office have
constantly supported the work done by the National Council for the Protection of Intellectual Property
Rights. In this connection, the Attorney-General 's Office has set up two prosecution departments
specializing in intellectual property rights in the city of Asuncíon and one specialized prosecution
department for the frontier towns of Encarnación and Ciudad del Este, which concern themselves
exclusively with all aspects of the problem of judicial action to combat piracy, appropriate training
being an obvious requirement.
E.
PITFALLS IN THE APPLICATION OF THE TRIPS AGREEMENT
The effort required of the Paraguayan Governme nt for the purpose of bringing its intellectual
property legislation into line with the basic principles of protection enshrined in TRIPS was no easy
task, since it had to devote attention to the various sectors concerned by the new rules for theprotection of intellectual property rights. All interested sectors were constantly involved in the
achievement of that aim, from the standpoint of activities specific to both the Executive and the
Judiciary.
In the process of bringing its legislation into line with the TRIPS Agreement, Paraguay
confronted the same difficulties and uncertainties as the other developing countries, since it was
required, within a very short time, to understand and come to terms with technological advances to
which it had not yet had access.
In addition, the political upheavals that have beset Paraguay over the last four years, and
which are a matter of international public knowledge, have unnecessarily delayed fulfilment of the
commitments undertaken by Paraguay within the framework of the TRIPS Agreement.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 8
F. COOPERATION RECEIVED FROM DIFFERENT INTERNATIONAL ORGANIZATIONS
I should like take advantage of the opportunity afforded by this introductory statement to
express public acknowledgement of the extensive assistance which the World Intellectual PropertyOrganization (WIPO) has in recent years provided to Paraguay's Industrial Property and Copyright
Offices for purposes of their modernization, and in this connection I would place on record the
following:
- Under the programme of support for the sectoral investment programme, initiated in
March 1995 with financing from the Inter-American Development Bank, a subproject
entitled "Modernization of the Intellectual Property System" was carried out with theWorld Intellectual Property Organization (WIPO) as international executing agency
and with the following governmental counterpart agencies: the Industrial Property
Department of the Ministry of Industry and Trade and the Copyright Department of
the Ministry of Education and Culture. The following results were achieved:
- Updating of legislation; Law on Marks, Patents and Copyright, for which purpose
national and international consultants were hired.
- Institutional strengthening of the responsible administration, which consisted in the
automation of both directorates, with computer networks, scanners and updateddatabase.
- Advisory assistance to civil servants and to the scientific and technological
community; various seminars were held on the implementation of laws and the use
of special computer systems. Advisory services were also provided to law facultiesfor inclusion in the academic programme or the legal post-graduate curriculum.
Training seminars were held for members of the legal service (judges, prosecutors
and members of the Court of Appeal). Lastly, action was taken to strengthen the
collective management system introduced in Paraguay by the APA (Associated
Paraguayan Authors).
- The National Action Plan is currently being implemented, as is the WIPO Technical
Cooperation Project aimed at the modernization and institutional establishment of the
National Directorate of Industrial Property and the National Directorate of Copyright,
in support of the process of management of intellectual property rights, and in order
to encourage the promotion, dissemination, use and observance of intellectual
property rights.
______________
The representative of the European Communities said that his delegation was very pleased
with the results of the efforts deployed by Paraguay in implementation of the Agreement, as described
in the introductory statement.
The representative of the United States particularly appreciated the annex on enforcement
activities supplied by Paraguay. He pointed out that the United States had worked in close
collaboration with Paraguay for some years in order to resolve its concerns about significant levels of
piracy in that country. In that connection, it was hoped, that, with the implementation of the TRIPS
Agreement, a signficant reduction in the levels of piracy would be achieved. His delegation alsoIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 9
welcomed the recent adoption of the new Law on Patents, which had been pending for some time.
However, he regretted the decision not to extend patent protection to pharmaceutical or agricultural
chemical products before 2003. He understood that Paraguay's replies referred to the new Law, not
the earlier one. His delegation would study them carefully and would raise questions on the subjectwhen the review was completed.
_______________
II. REPLIES TO THE QUESTIONS POSED BY CANADA
1. What recourse do right holders have in respect of wilful trademark counterfeiting or
copyright piracy on a commercial scale, as required by Article 61 of the TRIPS Agreement?
Copyright
Without prejudice to any other remedies available to them, the holders of any of the rights
recognized in the Law, their representatives or collective management entities may request the
cessation of unlawful activity by the infringer and demand compensation for material and non-
material damage caused by the infringement or recovery of the profits obtained by the infringer from
commission of the unlawful act, together with payment of the costs of the proceedings.
Chapter II of Law 1328/98 refers to criminal penalties and Articles 166 -170 provide for
prison sentences or fines depending on the gravity of the offences, with prison sentences ranging from
six months to three years.
At the same time, compensation for material damage and injury covers not only the amount
which the right holder ought to have collected, but also a minimum surcharge equivalent to 100 per
cent of the said amount, unless the injured party can show proof of a higher level of damage, taking
into account the profits obtained by the infringer from the commission of the unlawful act.
Other remedies available under Law 1328/98 ar e the confiscation, seizure and destruction of
the infringing goods and of all materials and accessories used predominantly for the commission of
the offence, as established in Articles 159 and 160 of the Law.
Trademarks
Article 85 of Law 1294/98 on marks provides th at "The following measures may be ordered
in the final decision in an action for infringement:
(a) Cessation of the acts constituting the infringement;(b) … and compensation for damage and injury;
(c) attachment or seizure of the infringing products …;
(d) … destruction of the products, materials or means used for that purpose and a fine of
1,500-2,000 day units of the minimum wage, to be paid to the Industrial Property
Directorate."
Article 89 provides that "The following shall be liable to an incommutable prison sentence of
three years and a fine of 1,000-3,000 day units of the minimum wage:IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 10
(a) Anyone who counterfeits or alters a registered mark;
(b) anyone who fraudulently imitates a registered mark;(c) anyone who knowingly stocks, puts up for sale, sells or offers for sale or distribution
products or services bearing counterfeit, fraudulently imitated or unlawfully applied
marks;
(d) anyone who, with fraudulent intent, effects or orders the use, with respect to a product
or service, of a declaration or any false description relating to nature, quality,quantity, weight or measure, name of manufacturer or place or country of
manufacture or issue; and
(e) anyone who knowingly puts up for sale, sells or offers for sale products or services
with any of the false declarations referred to in the preceding subparagraph."
Article 96(b) provides that the Court may order precautionary measures which shall consist of
"… the seizure or attachment of goods, packaging, labels and other materials displaying the infringing
sign and of machinery and other elements that served to commit the offence. Under criminal
procedure, these shall be destroyed if their infringing status is confirmed by an expert appraisal
carried out in the context of the judicial proceedings to which the precautionary measure relates,
which shall be possible without the need to await the final judgement ."
2. What protection does your copyright legislation afford to "foreign works"?
Foreign works benefit from the same protection as is granted to domestic works, as stipulated
in Article 3 of Law 1328/98 in conformity with Articles 1 and 5 of the Berne Convention and with the
principle of national treatment established in the TRIPS Agreement. The above-mentioned Article 3
provides that "copyright protection shall extend to all intellectual works of a creative nature in
the literary or artistic field, regardless of their type, form of expression, merit or purpose, the
nationality or place of residence of the author or the respective right holder, or the place of
publication of the work".
III. REPLIES TO THE QUESTIONS POSED BY THE EUROPEAN COMMUNITIES
AND THEIR MEMBER STATES
A.
GENERAL PROVISIONS
1. Please describe if your legislation includes measures necessary to protect public health
and nutrition, and to promote the public interest in sectors of vital importance to your socio-
economic and technological development as mentioned under Article 8 of the TRIPS
Agreement. If yes, please explain how such measures are consistent with the provisions of the
TRIPS Agreement.
The Law on Patents provides for the granting of compulsory licences in public health
emergencies and for purposes of defence, national security, and the socio economic and technological
development of certain strategic sectors, as well as where exceptional circumstances might adversely
affect the national interest, in accordance with Article 8 of the TRIPS Agreement.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 11
With regard to products of plant origin, Article 1 of Law No. 385/94 on Seeds and the
Protection of Cultivars and its Regulatory Decree No. 7797 of 7 March 2000 take into account the
provisions of Article 8 of the TRIPS Agreement.
The purpose of this Law is to promote efficient cultivar breeding and seed production,
distribution, marketing and quality control, assure farmers and users in general of the identity and
quality of the seed they buy and protect the rights of breeders of new cultivars, in accordance with the
intraregional agreements signed or to be signed and the international regulations concerning seeds.
B. COPYRIGHT AND RELATED RIGHTS
2. Please state how your legislation provides for the protection of the exclusive rights of
authors in relation to their literary and artistic works, as specified in Article 9 of the TRIPS
Agreement which requires Members to comply with Articles 1-21 of the Berne Convention and
the Appendix to the B erne Convention (1971)).
Paraguay's Law on Copyright and Related Rights incorporates Article 9 of the TRIPS
Agreement:
Article 2. For the purposes of this Law, the following expressions and their various derived
forms shall have the meanings specified:
6. "Successor in title": the person, whether a natural person or legal entity, to whom
rights recognized by this Law are transferred, whether on death or by virtue of an
inter vivos transaction or legal mandate;
27. "Pseudonymous work": a work in which the author uses a pseudonym that does not
identify him as a natural person. A work in which the name used leaves the civil
identity of the author in no doubt is not considered a pseudonymous work;
34. "Publication": the production of copies made accessible to the public with the
consent of the owner of the corresponding rights provided that the availability of such
copies allows the reasonable needs of the public to be met, due regard being had to
the nature of the work;
Article 3. Copyright protection shall cover all intellectual works of creative character in the
literary of artistic field, regardless of their type, form of expression, merit or purpose, the nationality
or residence of the author or owner of the rights concerned and the place of publication of the work.
The rights recognized by this Law shall be independent of the ownership of the material
object in which the work is embodied and of the method of initial or subsequent fixation, and their
enjoyment or exercise shall not be made subject to the requirement of registration or compliance with
any other formality.
The works protected under this Law may likewise qualify for other intellectual property
protection regimes, such as patents, trademarks, privileged information on industrial processes or any
other comparable system, provided that the works or elements in question qualify for such protection
under the regimes concerned.
Article 4. The works to which the foregoing Article refers include the following, in
particular:IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 12
6. Audiovisual works, including cinematographic works, made and expressed by any
means or process;
8. works of three-dimensional art, including drawings, paintings, sculptures, engravings
and lithographs;
9. architectural plans and works;12. illustrations, maps, sketches, plans diagrams and three-dimensional works relating to
geography, topography, architecture or science;
14. collections of works such as encyclopaedias and anthologies of works or other
elements, such as databases, provided that such collections show originality in the
selection, coordination, or arrangement of their contents.
Article 5. Without prejudice to the rights subsisting in the original work and the appropriate
authorization, translations, adaptations, transformations or arrangements of existing works shall
likewise be eligible for protection.
Article 8. The following shall not qualify for copyright protection:
- The ideas contained in literary or artistic works, processes, operating methods or
mathematical concepts per se , or the ideological or technical content of scientific
works, or their industrial or commercial exploitation;
- official texts of legislative, administrative or judicial character, or translations thereof,
without prejudice to the obligation to respect the text and mention the source;
- news of the day; and- mere facts or data.Article 16. The copyright in translations and other works mentioned in Article 5 may subsist
even where the original works were in the public domain, but shall not generate any exclusive rights
in the said original creations, so that the author of the derived work may not object to others
translating, adapting or altering the said works or including them in the collection, provided that the
work is original and different from his own.
Article 17. The moral rights recognized by this Law are perpetual, inalienable, unattachable,
unrenounceable and imprescriptible.
Article 18. The following are moral rights:
- The right of disclosure;
- the right of authorship;- the right of integrity;- the right to withdraw the work from the market.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 13
Article 20. By virtue of the right of authorship the author has the right to be recognized as
such, by deciding that the work shall carry the appropriate particulars, and to determine whether
disclosure is to take place under his name, under a pseudonym or sign or anonymously.
Article 23. The exercise of the rights of authorship and integrity in works that have passed
into the public domain shall accrue without distinction to the heirs, to the National Directorate of
Copyright, to the relevant collective management body and to any person who proves a legitimate
interest in the work concerned.
Article 24. The author shall enjoy the exclusive right to exploit his work in any form or by
any process and profit thereby, save in the case of express legal exceptions.
Throughout the life of the author, three quarters of the remuneration that exploitation of the
work may generate shall be unattachable.
Article 25. Economic rights shall in particular include the exclusive right to do, authorize or
prohibit the following:
- Reproduction of the work by any means or process;- communication of the work to the public by any means;- distribution of copies of the work to the public;- importation of copies of the work into the national territory;
- translation, adaptation, arrangement or any other transformation of the work; and
- any other form of use of the work that is not provided for in the Law as an exception
to the economic rights, the foregoing list being merely declaratory and not
exhaustive.
Article 38. The intellectual works protected by this Law may be lawfully communicated in
the following cases without the need for the permissi on of the author or payment of any remuneration:
Where it is done in an exclusively domestic environment, provided that there is no direct or
indirect profit-making purpose;
where it is done in the public interest in the course of official events or religious ceremonies,
involving short musical passages or small parts of musical works, provided that the public
may attend the events free of charge;
in the case of single personal copies that are used solely for teaching purposes by teaching
staff at educational establishments;
where it is done in commercial establishments for the sole purpose of demonstrating receivers
or players or other similar apparatus to customers, or for the sale of the sound or audiovisual
materials incorporating the works;
where it is essential to the provision of judicial or administrative evidence.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 14
Article 39. The following is permitted without authorization by the author or payment of
remuneration in relation to works already disclosed:
Reproduction by reprographic means, for the purposes of teaching or the holding of
examinations at educational establishments, provided that there is no gainful intent and onlyto the extent justified by the objective pursued, of articles or short extracts from lawfully
published works, on condition that the use is in keeping with proper practice;
the reproduction of a single copy of a work by non-profit-making public libraries or archives,
where the copy is in the permanent collection, in order to preserve that copy and replace it in
the event of its being lost, destroyed or rendered unusable, or to replace the copy in the
permanent collection of another library or archive that has been lost, destroyed or rendered
unusable, provided that it is not possible to acquire such a copy in a reasonable time and onacceptable terms;
the reproduction of a work for judicial or administrative proceedings, to the extent justified
the aim pursued;
the reproduction of a work of art on permanent display in streets, squares or other public
places, or on the outer walls of buildings, where the artistic medium used is different fromthat used for the making of the original, provided that the name of the author and the title of
the work, if known, and the place in which it is located are mentioned;
the lending to the public of the lawful copy of a work expressed in writing by a library or
archive that does not pursue any director indirect profit-making purpose;
the reproduction of works in Braille or another specific form for the exclusive use of the
visually handicapped, provided that the reproduction is not done with gainful intent and the
copies are not used for profit-making purposes;
where the work is used as a sign, emblem or distinctive mark of a political party or non-
profit-making civil association or entity.
The reproduction provided for in this Article shall be allowed insofar as it does not interfere
with the normal exploitation of the work or unreasonably prejudice the legitimate interests of the
author.
Article 40. It shall be permissible, without the authorization of the author or payment of
remuneration, to make quotations from lawfully disclosed works, subject to the obligation to mention
the name of the author and the source, and on condition that the quotations are made in accordance
with proper practice and to the extent justified by the aim pursued.
Article 41. It shall likewise be lawful to do th e following without authorization or payment of
remuneration, provided that the name of the author and the source are mentioned and that
reproduction or disclosure has not been the subject of an express reservation:
Reproduction and distribution in the press, or transmission in any medium, of topical articles
on economic, social, artistic, political or religious issues that are published in mass
communication media or disclosed by broad casting, without prejudice to the author's
exclusive right to publish them separately, either singly or in a collection;IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 15
the dissemination, in connection with news reporting on current events in sound or
audiovisual media, of the images or sounds of works seen or heard in the course of the said
events, to the extent justified by the informatory purpose;
the dissemination in the press or transmission in any medium, as news of current events, of
speeches, dissertations, addresses, sermons and other works of similar character given in
public, and also speeches delivered in the course of judicial proceedings, to the extent
justified by the informatory purposes pursued and without prejudice to the rights that the
authors retain in the works disseminated with respect to their publication either singly or in a
collection;
the transmission by broadcasting or cable di stribution or any other known or as yet unknown
medium of the image of an architectural work, a work of fine art, a photograph or a work ofapplied art located permanently in a place open to the public.
Article 42. Any broadcasting organization ma y, without the permission of the author or
payment of any special remuneration, make ephemeral recordings, using its own facilities and for a
single use in its own broadcasts, of a work in which it has broadcasting rights. The recording shall be
destroyed within three months except where a longer period has been agreed upon with the author. It
may however be preserved in official archives, also without the permission of the author, where it
possesses exceptional documentary character.
Article 43. It shall be lawful, without the pe rmission of the author or payment of special
remuneration, for a broadcasting organization publicly to retransmit or distribute by cable a work
originally broadcast by it with the author's cons ent, provided that such public retransmission or
distribution takes place at the same time as the original broadcast and the work is broadcast or
distributed to the public without alteration.
Article 44. The exclusively personal copying of works published in graphic form or in the
form of sound or audiovisual recordings shall be lawful where the compensatory remuneration
referred to in Chapter IV of Title IV of this Law has been paid. The reproductions allowed under thisArticle shall not however extend to the following:
Reproduction of a work of architecture in the form of a building or other construction;
reproduction of the whole of a book or musical work in graphic form, or of the original or a
copy of a work of fine art executed and signed by the author;
a database or compilation of data.
Article 45. The exceptions provided for in the foregoing Articles shall be restrictively
interpreted, and may not apply to cases that are contrary to proper practice.
Article 46. The limitations on the rights of exploitation with respect to computer programs
shall be solely those provided for in Chapter II of Title VII of this Law.
Article 47. Economic rights shall subsist throughout the life of the author and for 70 years
thereafter, and shall be transferred on his death in accordance with the provisions of the Civil Code
[Código Civil ].
In the case of works of joint authorship, the term of protection shall be counted as from the
death of the last surviving co-author.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 16
Article 48. In the case of anonymous and pseudonymous works, the term shall be 70 years
following the year of disclosure except where, before that period expires, the author reveals his
identity, in which case the provisions of the foregoing Article shall apply.
Article 49. In the case of collective works, computer programs and audiovisual and broadcast
works, economic rights shall lapse after 70 years following first publication or, failing that,
completion. That limitation shall not effect the economic rights of each of the co-authors of
audiovisual and broadcast works in their personal contributions for the purposes of the second
paragraph of Article 12, or the enjoyment and exercise of the moral rights in those contributions.
Article 50. The periods provided for in this Chapter shall be calculated from the first of
January of the year following that of the death of the author, or where appropriate that of the
disclosure, publication or completion of the work.
Article 77. In the event of resale of works of three-dimensional art by public auction or
through a professional art dealer, the author, and on his death his heirs or legatees, shall enjoy the
inalienable and unrenounceable right to collect 5% (five per cent) of the resale price from the vendor
throughout the term referred to in Article 47.
The auctioneers or owners of trading establishments that have taken part in the resale shall
make it known within a period of two months to the corresponding management body and to the
author or his successors in title, as the case may be, and shall supply the necessary documentation for
the making of the appropriate settlement. When they are acting on behalf or on the instructions of the
vendor, they shall likewise be jointly liable with the vendor for payment of the royalty, to which end
they shall withhold the appropriate amount from th e price. In any event they shall be considered
depositaries of the amount of the said participation.
Actions claiming the amount arising from the resale shall be barred after one year from the
notification thereof. On expiry of that period without the amount of the participation having been
claimed, it shall be credited to the National Directorate of Copyright for the culture development fund.
Article 159. Cessation of the unlawful activity may include the following:
- Suspension of the infringing activity;- prohibition of the infringer from resuming that activity;- withdrawal from the market and de struction of the unlawful copies;
- the disablement of moulds, plates, matrices, negatives and other material intended
exclusively for the reproduction of unlawful copies and, where necessary the
destruction of such material; and
- the removal of the equipment used for the authorized communication to the public.Article 181. The rights in the works and other productions protected by virtue of earlier laws
shall benefit from the longer terms of protection recognized by this Law.
Works and other productions that have passed into the public domain on expiry of the term
provided for in the legislation repealed by this La w shall return to the private domain until such time
as the term provided for in this Law expires, without prejudice to rights acquired by third parties prior
to the entry into force thereof.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 17
Article 182. Works, performances, phonographic productions or radio broadcasts that were
not protected under the law now repealed but are protected by this Law shall automatically benefit
from the protection of the latter, without prejudice to ri ghts acquired by third parties prior to the entry
into force thereof, provided that new uses may not be initiated as from the said entry into force.
3. Please describe the protection accorded to authors of computer programs, databases or
compilations of data.
Article 2. For the purposes of this Law, the following expressions and their various derived
forms shall have the meaning specified:
"Computer program (software)": the expression of a set of instructions in the form of words,
codes or plans or in any other form, which, on being incorporated in an automated reading
device, is capable of making a computer carry out a task or produce a result. A computer
program also includes the technical documentation and users' manuals;
Article 4. The works to which the foregoing Arti cle refers include the following in particular:
1. Works expressed in the written form of books, magazines, pamphlets or other
writings, and any other works expressed by conventional letters, signs or marks;
2. oral works such as lectures, addresses and sermons; explanations used in teaching
and other works of a similar nature;
3. musical compositions with or without words;
4. dramatic and dramatico-musical works;
5. choreographic and mimed works;6. audiovisual works, including cinematographic works, made and expressed by any
means or process;
7. broadcast works;
8. works of three-dimensional art, including drawings, paintings, sculptures, engravings
and lithographs;
9. architectural plans and works;
10. photographic works and works expressed by a process analogous to photography;11. works of applied art;
12. illustrations, maps, sketches, plans, diagrams and three-dimensional works relating to
geography, topography, architecture or science;
13. computer programs;IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 18
14. collections of works such as encyclopedias and anthologies of works or other
elements, such as databases, provided that such collections show originality in the
selection, coordination or arrangement of their contents;
15. in general, any other intellectual production in the literary, artistic or scientific field
that possesses the characteristics of originality and is capable of being disclosed or
reproduced by any known or as yet unknown means or process.
The foregoing enumeration is merely declaratory and not exhaustive.
Article 67. Computer programs shall be protected on the same terms as literary works. That
protection shall extend to all their forms of expression, and to both operating programs and
application programs, whether in source code or in object code form.
The protection provided for in this Law shall extend to any successive versions of the
program, and also to derived programs.
Article 68. The producer of the computer program is the person, whether natural person or
legal entity, who takes the initiative and responsib ility for the work. It shall be presumed, in the
absence of evidence to the contrary, that the natural person or legal entity named as such in the usual
way on the work is the producer of the program.
Article 69. It shall be presumed, unless otherwise agreed, that the authors of the computer
program have assigned the economic rights recognized by this Law, without limitation and
exclusively, to the producer, that he is moreover in vested with the ownership of the rights referred to
in Article 22, and by implication with authority to decide on the disclosure of the program and to
exercise the moral rights in the work.
Unless otherwise agreed, the authors may not object to the producer making or authorizing
alterations to or successive versions of the program, or programs derived from it.
Article 70. For the purposes of this Law the storage of a computer program in the internal
memory of the apparatus by the lawful user for his exclusive personal use does not constitute
unlawful reproduction.
The above lawful use shall not extend to the exploitation of the program by two or more
persons through the installation of networks or workstations or another comparable process, except
where the express consent of the owner of the rights is obtained.
Article 71. The lawful user of a computer pr ogram may make an adaptation of that program
where essential for it to be used in a particular computer and consistent with the licence granted to the
lawful user; the adaptation shall be intended solely as a back-up copy to replace the lawfully acquired
copy where it cannot be used owing to damage or loss.
Reproduction of a computer program, including for personal use, shall require authorization
by the owner of the rights, with the exception of the back-up copy.
Article 72. The adaptation of a program by the lawful user, including the correction of errors,
shall not constitute transformation for the purposes of Article 31 insofar as it is intended exclusively
for personal use, except where there has been an express prohibition by the owner of the rights.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 19
The production of copies of the program so adapted for use by two or more persons or for
distribution to the public shall require express authorization by the owner of the rights.
Article 73. None of the provisions of this Chapter may be so interpreted as to allow its
application to prejudice unreasonably the legitimate interests of the owner of the rights or to becontrary to the normal exploitation of the computer program.
4. Please state whether your legislation provides for a rental right and, if so, the works to
which it applies.
Article 24. The author shall enjoy the exclusive right to exploit his work in any form or by
any process and to profit thereby, save in the case of express legal exceptions.
Throughout the life of the author, three quarters of the remuneration that exploitation of the
work may generate shall be unattachable.
5. Please describe the rights granted to performers, producers of phonograms (sound
recordings) and broadcasting organizations under your legislation.
Article 122. Performers shall enjoy the moral right:
To the recognition of their names in relation to their performances;
to oppose any distortion, mutilation or any other act in relation to their performances that is
detrimental to their prestige or reputation.
Article 123. Performers or their successors in title shall have the exclusive right to do,
authorize or prohibit the following:
Communication of their performances to the public, except where a performance used in that
communication:
- Constitutes a broadcast work in itself;
- has been fixed on a phonogram of videogram that has itself been made public;
- fixation and reproduction of their performances by any means or process; and
- reproduction of an authorized fixation where it is done for purposes different from
those for which the authorization was given.
Notwithstanding the provisions of this Article, performers may not object to the
communication of their performances to the public where it is done from a fixation made with theirprior consent and published for commercial purposes.
Article 124. Performers likewise have the right to equitable remuneration for the
communication to the public of the phonograms publishe d for commercial purposes that contain their
performances, which remuneration shall be shared equally with the phonogram producer, except
where the said communication is included among the exceptions provided for in Article 38 of thisLaw.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 20
Article 125. Orchestras, vocal ensembles and other groups of performers shall designate a
representative for the exercise of the rights recognized by this Law. In the absence of such
designation, the representation shall be exercised by the directors of the said groups.
The representative shall have the right to entrust the relevant parts of his mandate to a
collective management body.
Article 126. The term of the rights recognized in this Chapter shall be 50 years, calculated
from the year following that of the fixation of the performance.
In the case of orchestras and choral and other groups, the term shall be 50 years, counted from
the first of January of the year following that of the fixation of the performance.
Article 127. Phonogram producers shall have the exclusive right to do, authorize or prohibit
the following:
Direct or indirect reproduction of their phonograms;
distribution to the public, including exportation, rental, public lending and any other transfer
of possession for a consideration of copies of their phonograms;
importation of copies where they have not been authorized for the territory that they are to
enter;
digital communication by optical fibre, radio wave, satellite or any other system that has been
or may yet be created where such communication is equivalent to an act of distribution, in
that it enables the user to select the work and production by digital means;
inclusion of their phonograms in audiovisual works;
modification of their phonograms by technical means.The rights recognized in subparagraphs 1, 2, 3 and 4 shall extend to the person, whether
natural person or legal entity, who exploits the phonogram by virtue of an exclusive assignment or
licence.
Article 128. The producers of phonograms shall likewise have the right to receive
remuneration for the communication of the phonogram to the public by any means or process, exceptin the case of the lawful uses referred to in Article 38 of this Law, which remuneration shall be shared
equally with the performers.
Article 129. In the event of infringement of the rights recognized in this Chapter, the right to
bring legal action shall belong to the original owne r of the rights in the phonogram, to the person who
shows proof of the exclusive assignment or licensing to him of the rights in question or to the
collective management body that represents them.
Article 130. The protection granted to the phonogram producer shall be for 50 years, counted
from the first of January of the year following that of the first publication of the phonogram.
On expiry of the term of protection, the phonogram shall pass into the public domain as
provided in Title VI of this Law.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 21
Article 131. Broadcasting organizations shall have the exclusive right to do, authorize or
prohibit the following:
Retransmission of their broadcasts by any known or as yet unknown means or process;
recording on any sound or audiovisual medium of their broadcasts, including that of any
isolated image included in the broadcast or transmission; reproduction of their broadcasts.
Broadcasting organizations shall likewise have the right to receive equitable remuneration for
the communication to the public of their broadcasts or transmissions where it is done in places to
which that public has access against payment of an admission charge or entrance fee.
Article 132. For the purposes of the enjoyment and exercise of the rights provided for in this
Chapter, equivalent protection shall be accorded, as appropriate, to broadcasting stations that transmit
programs to the public by wire, cable, optical fibre or other comparable process.
Article 133. The protection provided for in this Chapter shall be for 50 years, counted from
the first of January of the year following that of the broadcast or transmission.
6. Please explain how the limitations, foreseen by Title V of the Law, preserve the
legitimate interests of the right holder.
Article 147. The National Directorate of Copyright shall have the following powers:
1. To direct, coordinate and supervise the implementation of the laws of the Republic
and the international treaties and conventions to which it is party in the field of
copyright and other rights recognized by this Law, and to ensure compliance withthem;
4. to institute civil actions and file criminal complaints in the name and on behalf of the
State regarding the enjoyment and exercise of the rights recognized by this Law, to
which end it may act through a representative;
9. to carry out, either ex officio or at the request of a party, supervisory and inspection
functions in relation to activities that might give rise to the assertion of the rights
recognized by this Law.
Follow-up question:
Please clarify how the Dirección Nacional del Derecho de Autor ensures that the
limitations, foreseen by Title V of the Law, pres erve the legitimate interests of the right holders.
The National Directorate of Copyright ensures that the limitations laid down in Title V of
Law No. 1328/98 preserve the legitimate interests of right holders on the basis of the content of theLaw which provides in Articles 38 to 44 that intellectual works may be communicated lawfully
without the necessity of authorization by the author or payment of any remuneration.
Accordingly, it can be affirmed that the National Directorate of Copyright guarantees
enforcement of the law in accordance with the powers conferred on it by the above-mentioned statute,since it is able to carry out, either ex officio or at the request of a party, supervisory and inspection
functions in relation to activities that might give rise to the exercise of the rights recognized by the
Law; it also has the power to institute civil actions and file criminal complaints on behalf of the StateIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 22
regarding the enjoyment and exercise of those same rights, as well as to apply sanctions provided for
in the Law.
7. Please state the terms of protection of each right described above and the work or
subject-matter to which it applies.
Article 47. Economic rights shall subsist throughout the life of the author and for 70 years
thereafter, and shall be transferred on his death in accordance with the provisions of the Civil Code.
Article 48. In the case of anonymous and pseudonymous works, the term shall be 70 years
following the year of disclosure except where, before that period expires, the author reveals hisidentity, in which case the provisions of the foregoing Article shall apply.
Article 49. In the case of collective works, computer programs and audiovisual and broadcast
works, economic rights shall lapse after 70 years following first publication or, failing that,
completion. That limitation shall not effect the economic rights of each of the co-authors ofaudiovisual and broadcast works in their personal contributions for the purposes of the second
paragraph of Article 12, or the enjoyment and exercise of the moral rights in those contributions.
Article 50. The periods provided for in this Chapter shall be calculated from the first of
January of the year following that of the death of the author, or where appropriate of the disclosure,publication or completion of the work.
Article 51. Where one of the authors of a work of joint authorship dies without heir, his
rights shall be added to those of the other co-authors.
Article 52. Works shall be considered posthumous where they were not disclosed in the
author's lifetime or where they were disclosed but the author, on his death, leaves them so altered or
corrected that they may be considered new works.
8. Please state how your legislation grants the retroactive protection provided pursuant to
Article 18 of the Berne Convention (which obligation is derived from Article 9 of the TRIPS
Agreement) and Article 14.6 of the TRIPS Agreement.
Article 181. The rights in the works and other productions protected by virtue of earlier laws
shall benefit from the longer terms of protection recognized be this Law.
Works and other productions that have passed into the public domain on expiry of the term
provided for in the legislation repealed by this La w shall return to the private domain until such time
as the term provided for in this Law expires, without prejudice to rights acquired by third parties prior
to the entry into force thereof.
Article 182. Works, performances, phonographic productions or radio broadcasts that were
not protected under the law now repealed but are protected by this Law shall automatically benefit
from the protection of the latter, without prejudice to ri ghts acquired by third parties prior to the entry
into force thereof, provided that new uses may not be initiated as from the said entry into force.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 23
Follow-up question:
Please describe how, and under what provision, Paraguayan legislation grants the
retroactive protection provided pursuant to Ar ticle 18 of the Bern Convention and Article 14.6
of the TRIPS Agreement to works and other subject-matter that are still under protection in
their country of origin.
Article 182 of the new Law grants the benefit of protection to works, whether or not they
were previously protected, and lays down the relevant procedures. This Article is consistent with
Article 180 on the national treatment that must be accorded to foreign intellectual works in Paraguay,
and these provisions must be applied in accordance with the provisions of the Bern Convention andthe TRIPS Agreement, since Paraguayan laws conform to Kelsen's pyramid in terms of order of
precedence: the National Constitution comes first, followed by international conventions, treaties and
agreements, and then by national laws. It is clear, therefore, that if it were necessary to protect works
and other subject-matter that are under protection in their country of origin, the National Directorate
of Copyright would do so directly pursuant to the Berne Convention and the TRIPS Agreement.
C. T
RADEMARKS
9. Please describe which elements are necessary to demonstrate use of the trademark when
registration of the licence is not taken into account pursuant to Article 32 of the Law No. 1294.
According to Article 29, a registered mark is deem ed to be used when the products or services
which it distinguishes have been put on sale or are available on the market under the corresponding
name, in the quantity and form which correspond to the nature of the products or services, the modes
of sale, and taking into account the size of the market.
Advertising the entry into the market of the products or services is also deemed to be use of
the mark, provided that such use actually occurs within four months following the start of the
advertising campaign.
D. GEOGRAPHICAL INDICATIONS
10. Please explain whether or not the defini tion of Article 57 of the Law No. 1294 is
applicable to all kinds of products.
Article 57 is applicable to all kinds of products.
11. Please confirm whether or not Articles 80 and 81 of the Law No. 1294 are applicable to
prevent any use which constitutes an act of un fair competition against a geographical indication
in addition to Article 60.
Yes, Articles 80 and 81 (c) are also applicable to prevent uses that constitute an act of unfair
competition against geographical indications.
12. Please confirm whether or not your trademark registration authority refuses a
trademark application if it contains a geographical indication pursuant to Article 2(k) of Law
No. 1294.
Under Article 2 (k) signs which consist of or contain a geographical indication, as defined in
Law 1294/98, may not be registered as trademarks; accordingly, the Industrial Property Directorate
will reject ex officio such an application.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 24
13. Please confirm whether or not that the protection granted by Article 80(d) of Law
No. 1294 is available for products other than wines and spirits.
Yes, the protection of Article 80 is applicable to all products.
14. Please explain how exceptions under Article 24 of the TRIPS Agreement are used in
your jurisdiction.
No exception is being used and no type of bilateral or multilateral negotiations has been
initiated.
It should be noted that international treaties take precedence over laws of the Republic in
constitutional rank and, consequently, the application of the TRIPS Agreement has priority.
15. Please provide examples, if any, of names considered as generic in your jurisdiction.
There are no examples to provide.
E. INDUSTRIAL DESIGNS
16. Please clarify if Law No. 1328/98 on copyright and related rights covers industrial
designs and state the corresponding articles.
No, the Law on Copyright does not protect industrial designs, since there is a law, Law
No. 868/82, specifically for that purpose.
17. Please clarify if the Law uses the criteria of independent creation to provide the
protection of designs.
Yes, Law 868/82 uses the criterion of independent creation.
18. Please mention whether or not your legislation provides for the right to issue a
compulsory licence for industrial designs.
The industrial design legislation does not provide for a compulsory licensing mechanism.
19. Please explain how the requirements for s ecuring protection of textile designs, in
particular with regard to any cost, examination or publication, do not unreasonably impair theopportunity to seek and obtain such protection.
Article 10. The application must contain the following information and be accompanied by
the documents mentioned:
(a) The name and address of the applicant and the name and address of his representative
or lawyer, where appropriate;
(b) notarized power of attorney or special or general power if the interested party does
not appear personally. The applicant or his representative must establish domicile inthe capital of the Republic.
A brief description of the design, in triplicate, headed by a title that summarises the design;IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 25
An indication of the kind or type of produ ct for which the design will be used;
Three graphic or photographic representations of the design, in colour if necessary;
Provided that the products are of the same type and are all similar, the registration application
may include up to ten different examples of the design, which must be specified and in each
case accompanied by the supporting documents mentioned in subparagraphs (d) and (e) of
this Article; and
the name, nationality, occupation and address of the designer.The registration fee is US$0.20.
20. Please give, if any, examples of exception s to the protection of industrial designs.
Title I, Chapter I, Industrial Designs
Article 3. An industrial design shall not be deemed to be new:If it is not distinguishable from similar designs;If, before the date of application for registration or validly claimed priority date, it was made
accessible to the public in any country and at any time, by description, use or any other
means. An industrial design shall not be deemed to be known to the public because in the
6 months prior to the filing date it featured in an official or officially recognized exhibition;and
Merely because it embodies secondary differences in appearance relative to other earlier
designs or refers to different categories of products.
F. P
ATENTS
Note: The questions relating to Law 773/25 creating the Patent Office will be answered on
the basis of the new Law on Patents.
21. Does the patent holder's exclusive right to "exploit" a patent, as provided for under
Article 1 of Law No. 773/25 creating the Patent Office (hereinafter referred to as "Law 773")
include his right to prevent third parties not having his consent from the acts of making, using,offering for sale, selling, or importing the patented product for these purposes, or where the patent
concerns a process, his right to prevent third parties not having his consent from the act of using
the process, and from the acts of using, offering for sale, selling, or importing for these purposes at
least the product obtained directly by that process?
Article 33 of the Law on Patents confers on the owner exclusive rights to exploit the
invention, in accordance with Article 28 of the TRIPS Agreement, including the right:
(a) Where the subject-matter of the patent is a product, to prevent third parties not having
the owner's consent from the acts of making, using, offering for sale or importing theproduct or subject-matter of the patent;IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 26
(b) where the subject-matter of the patent is a process, to prevent third parties not having
the owner's consent from the act of using the process, and from the acts of using,
offering for sale, selling or importing the product obtained directly by that process.
22. Please describe how and where your legislation defines the notions of: novelty,
inventiveness and industrial application.
The notion of industrial application is defined in Article 6 of the Law on Patents. Article 7
defines the concept of novelty and Article 8 the concept of an inventive step.
Article 6. Industrial application. An invention shall be deemed to be capable of industrial
application when it can be produced or used in any type of industry or productive activity. For these
purposes, the word "industrial" shall be understood in the broad sense and shall include, among other
things, handicrafts, agriculture, mining, fisheries and services.
Article 7. Novelty. An invention shall be deemed to be new, if it has not been anticipated in
the state of the art.
The state of the art shall comprise everything that has been disclosed or made available to the
public, anywhere in the world, by tangible publication, oral disclosure, sale or marketing, use or any
other means prior to the filing date of the patent application in the country or, where appropriate, priorto the filing date of the earlier application whose priority is invoked.
For the purpose of assessing the novelty of an invention, the contents of a patent application
pending before the Industrial Property Directorate having a filing date or, where appropriate, priority
application date earlier than that of the application under examination shall likewise be consideredpart of the state of the art, but only in so far as the said contents were included in the earlier
application when published.
The state of the art shall not include any disclosure made during the year preceeding the filing
date of the application in Paraguay or, where appropriate, in the year preceeding the date of the
application whose priority is invoked, provided that such disclosure was the direct or indirect results
of acts performed by the inventor himself or his successor in title, or of the non-performance of acontract, or of an unlawful act committed against either of them.
A disclosure resulting from a publication made by an industrial property office in a patent
granting proceeding shall not be included in th e exception for which the preceding paragraph
provides, unless the application forming the subject of the said publication was filed by someone whohad no right to obtain the patent or the publication was the result of an error attributable to the said
office.
Article 8. Inventive step. An invention shall be deemed to involve an inventive step if for a
person skilled in the technical field concerned the invention is neither obvious nor obviously derivedfrom the relevant state of the art.
23. Article 3.4 of Law 773 provides for a patent protection term of fifteen years. Please
explain how and when Paraguay intends to bring this provision into compliance with Article 33
of the TRIPS Agreement, which imposes a patent protection term of 20 years from the filingdate.
Under Article 29 of the Law on Patents, the patent protection term will be 20 years from the
filing date.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 27
24. Article 3.3 of Law 773 currently excludes pharmaceutical products from patentability.
Please explain: (i) how and where your legislation provides for the possibility for the filing of an
application for pharmaceutical patents, as prescribed by Article 70.8 of the TRIPS Agreement;and (ii) how and where your legislation provides for the granting of exclusive marketing rights
for pharmaceutical patents, as prescribed by Article 70.9 of the TRIPS Agreement.
Article 91 of the Law on Patents provides that applications for pharmaceutical patents may be
filed as from 1 January 1995, in accordance with the requirements of Article 70.8 of the TRIPS
Agreement.
Article 94 of the same Law provides for the granting of exclusive marketing rights during the
transition period in complete agreement with the provisions of Article 70.9 of the TRIPS Agreement.
25. Please explain whether Article 24 of Law 773 would allow the granting of a compulsory
licence for the mere reason that a patented pro duct is imported, and not manufactured locally?
Article 24 of Law 773 has been rescinded by the new Law on Patents.
26. Please explain where your legislation incorporates the requirements of Article 31 of the
TRIPS Agreement related to compulsory licensing.
Articles 48, 49 and 50 of the Law on Patents incorporate the requirements of Article 31 of the
TRIPS Agreement.
27. Please explain whether or not in your legislat ion, patent or otherwise, patent rights are
enjoyed without any exclusions. If exclusions a re provided for, please describe in detail how
these exclusions are applied in legal as well as practical terms.
Article 34. Limitations on the patent right and exhaustion of the right.
A patent shall not give the right to prevent:
(a) Acts carried out exclusively to experiment with the subject-matter of the patented
invention, for non-commercial purposes;
(b) acts carried out exclusively for teaching or scientific or academic research purposes;
(c) commercial acts carried out by a third party with respect to a product protected by the
patent once it has been lawfully introduced into the commerce of any country by the
owner of the patent or by another person having the consent of the owner or legally
empowered to do so;
(d) the invention may be used, before the expiration of the patent, for experimental
purposes and with a view to gathering information required for the approval of a
product by the competent authority, for marketing after the expiration of the patent;
and
(e) the rights conferred by a patent may not be asserted against someone who, in good
faith and before the filing date or, where appropriate, the priority date of the
corresponding patent application, was already producing the product or publicly usingIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 28
the process that constitutes the invention in the country, or had already made
preparations for such production or use.
28. Please explain whether or not plants, animals and essentially biological processes are
excluded from patentability in your legislation. If so, please explain the relevant section of your
legislation and explain its formulation.
Article 5. Subject-matter excluded from patent protection. The following subject-matter is
excluded from patent protection:
Inventions, the prevention of the commercial exploitation of which is necessary to protect the
ordre public or morality, protect human, animal or plant life or health or avoid serious
prejudice to the environment; and
plants and animals other than micro-organisms, and essentially biological processes for the
production of plants or animals other than non- biological and micro-biological processes.
Products or processes included in the state of the art, in accordance with the provisions of this
Law, may not form the subject-matter of a new patent merely because they have been put to a use
different from that contemplated by the initial patent.
29. Please explain whether and how micro-organ isms, non-essentially biological processes
and microbiological processes are protected in your legislation. Please explain, in this respect,
the relevant sections of your legislation.
Micro-organisms, non-essentially biological pr ocesses and microbiological processes may be
protected by patents, in accordance with Article 5(b) of the Law on Patents.
30. Please explain how your legislation provides for the reversal of the burden of proof in
relation to process patents.
If the subject-matter of a patent is a process for obtaining a new product, the judicial
authorities may require the defendant to prove that an identical product has not been obtained by thepatented process, as provided by Article 76 of the Law on Patents.
G.
LAYOUT -DESIGNS (TOPOGRAPHIES ) OF INTEGRATED CIRCUITS
31. Please describe how your legislation protects topographies.
The Government is preparing a draft law which will be submitted to the National Congress as
soon as possible for consideration and approval. This forms part of the process of modernization of
the intellectual property legislation and its adaptation to the TRIPS Agreement.
32. Please explain what protection your national legislation grants to right holders against
the unlawful importation, sale or distribution for commercial purposes of topographies
including integrated circuits or other articles in which a topography is incorporated in
accordance with Article 36 of the TRIPS Agreement.
See the response to question 31.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 29
33. Please explain how your legislation provi des for the derogation from Article 36 as
specified in Article 37 of the TRIPS Agreement where a person has no knowledge or reasonable
grounds to know, when acquiring an integrated circuit or an article incorporating such an
integrated circuit, that it contains an unlawful topography.
See the response to question 31.
34. Please state the term of protection granted by your legislation to topographies.
See the response to question 31.
H. UNDISCLOSED INFORMATION
35. Please explain whether or not your legislatio n grants a defined period of time for the
protection of undisclosed information. If so, please give the time-span.
The Government is in the process of drawing up a draft law that provides for the protection of
undisclosed information. Pending the approval of this law, the provisions of Article 39 of Section 7
"Protection of Undisclosed Information" of the TRIPS Agreement will be applied in accordance with
the constitutional priority accorded to treaties and international agreements.
36. Please explain how your legislation defines "undisclosed information".
See the response to question 35.
37. Please explain how your legislation de fines data submitted to governments or
governmental agencies.
See the response to question 35.
I. ENFORCEMENT
38. Please describe how your legislation provides for effective action against infringement of
intellectual property rights.
(a) Industrial designs
Chapter VIII, Article 32:
"Without prejudice to the remedy of amparo , the holder of a registration may take legal action
against any one who improperly exploits it industrially or commercially. The action shall bebrought before the commercial court, for cessation of exploitation and the award of damages."
(b) Copyright and related rights
Civil
Article 157. Any dispute that arises in connection with the implementation of this Law shall,
where no other procedure has been provided for, be investigated and settled in accordance with the
provisions of Title XII, on summary proceedings, of the Civil Procedure Code.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 30
The Civil Procedure Code [ Código Procesal Civil ] shall apply subsidiarily in all matters not
provided for in this Chapter.
Article 158. The owners of any of the rights recognized by this Law, or their representatives
or the collective management bodies concerned, may, without prejudice to such other actions as may
be available to them, seek the cessation of the unlawful activity of an infringer and demand
compensation for the material and moral damage caused by the violation, or the surrender of the
profits made by the infringer through the unlawful act, and the payment of procedural costs.
The compensation for material damage and prejudice shall include not only the amount that
should have been charged for the grant of the authorization, but also a minimum surchargecorresponding to 100 per cent (one hundred per cent) of the said amount, except where the aggrieved
party proves the existence of a greater prejudice, due account being taken of the income generated by
the infringer through the commission of the unlawful act.
Article 159. Cessation of the unlawful activity may include the following:
Suspension of the infringing activity;
prohibition of the infringer from resuming that activity;
withdrawal from the market and de struction of the unlawful copies;
the disablement of moulds, plates, matrices, negatives and other material intended exclusively
for the reproduction of unlawful copies and, where necessary, the destruction of suchmaterial;
the removal of the equipment used for the unauthorized communication to the public.
The court may likewise order the publication of the declaratory portion of the sentence, at the
infringer's expense, in one or more periodicals.
Article 160. The court, at the request of the National Directorate of Copyright, the owner of
the rights concerned, his representative or the corresponding management body, shall order the
immediate implementation of the necessary precautionary measures to prevent the commission of the
infringement or the continuation or repetition of a violation already committed, including the
following in particular:
Seizure of the revenue derived from the unlawful activity or, where appropriate, the amounts
payable in remuneration;
immediate suspension of the unlawful manufacturing, reproduction, distribution,
communication or importation activity, as the case may be;
confiscation of the copies produced or used and of the material or equipment used for the
infringing activity;
The precautionary measures provided for in this provision shall not preclude the adoption of
others provided for in ordinary legislation.
Article 161. The precautionary measures referred to in the foregoing Article shall be granted
by the judicial authority provided that evidence is given of the necessity of the measure or proof filedIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 31
that constitutes at least a presumption of the alleged violation of rights, without any counter-security
having to be provided.
The necessity of the measure or presumption of the alleged violation of rights may also arise
from the visual inspection that the court may order as a preparatory measure on the site of the
infringement.
Article 162. The precautionary measures mentioned in the foregoing Article shall be lifted by
the judicial authority where:
The person against whom the measure has been ordered provides security that is considered
sufficient by the court to guarantee the results of the proceedings, and the appeal has no
staying effect;
the party applying for the measures does not provide evidence of having started the procedure
leading to a decision on the merits of the case within a period of 30 consecutive days fromtheir having been ordered or implemented.
Article 163. The preventive measures provided for in the foregoing Article shall be applied
without prejudice to the obligation on the Directorate General of Customs to proceed with the seizure
at the border of all copies constituting a violation of any of the rights provided for in this Law, and tosuspend the free circulation of such material when attempts are made to import it into the territory of
the Republic.
The seizure measures shall not apply to a copy having no commercial character that is carried
in personal baggage.
Article 164. The user of the works, perfor mances, productions, broadcasts and other
intellectual property recognized by this Law shall be considered guilty of negligent delay where he
fails to make the payments specified in the tariffs laid down for the form of use concerned, or the
compensatory remuneration, within the ten consecutiv e days following a judicial or notarial summons
to do so.
Article 165. Owners of copyright may exercise all the rights relating to civil actions and
procedures provided for in this Chapter against a person who possesses, uses, designs, manufactures,
imports, exports or distributes, whether by sale, rental, lending or other means, any device or
computer program, or against a person who offers or renders a service whose purpose or effect is to
permit or facilitate the avoidance of coding technology.
Criminal
Article 166. A penalty of imprisonment for a term of six months to one year or a fine of 5 to
50 minimum salary units shall be imposed on anyone who, having been authorized to publish a work,
does so fraudulently in one of the following ways:
Without mentioning the name of the author, translator, adapter, compiler or arranger on the
copy;
prints the name with additions or deletions that adversely affect the author's reputation as such
or that of the translator, adapter, compiler or arranger, as the case may be;IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 32
publishes the work with abridgements, additions, deletions or any other changes made
without the consent of the owner of the rights;
publishes a number of works separately when authorization has been given for them to be
published together, or publishes them together when only their separate publication has beenauthorized.
Article 167. A penalty of imprisonment for a term of six months to three years or a fine of
100 to 200 minimum salary units shall be imposed in the following cases on anyone who:
Improperly uses the title of a work in breach of Article 6 of this Law;
makes an alteration to the work in violation of the provisions of Article 30 of this Law;
communicates to the public a work in violation of the provisions of Article 27, an audiovisual
recording provided for in Article 134 or a photographic image provided for in Article 135 of
this Law;
distributes copies of the work in breach of the rights provided for in Article 28, of
phonograms in violation of Article 127, of an audiovisual recording as provided for in
Article 134 or of a photographic image provided for in Article 135 of this Law;
imports copies of the work not intended for the national territory in violation of the provisions
of Article 29, or of phonograms, in violation of the provisions of Article 127 of this Law;
retransmits, by any wire or optical wireless means, a radio broadcast or a transmission by
wire, cable, optical fibre or other comparable process in breach of the provisions of
Articles 25, 26, 131 or 132 of this Law;
communicates to the public performances or phonograms that are intended solely for private
performance;
being the assignee or licensee authorized by the owner of the rights concerned, reproduces or
distributes a greater number of copies than that permitted by the contract, or communicates,
reproduces or distributes the work, performance; production or broadcast after the expiry ofthe agreed period of authorization;
makes known to any other person an unpublished or undisclosed work that he has received in
confidence from the owner of the copyright, or anyone else in the latter's name, without the
consent of the said owner;
manufactures, imports, sells, rents or in any other way brings into circulation devices or
products, or renders any service, the purpose or effect of which is to block, evade, eliminate,
deactivate or circumvent in any way the technical devices that the owners have set in place toprotect their rights.
Article 168. A prison term of two to three years or a fine of 200 to 1,000 minimum salary
units shall be imposed in the following cases on anyone who:
Improperly attributes to himself the status of hol der, whether original or derived, of any of the
rights recognized by this Law, and by virtue of that improper attribution causes the competentauthority to suspend the act of communication, reproduction, distribution or importation ofIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 33
the work, performance, production or broadcast, or any other of the intellectual property
protected by this Law;
makes false statements concerning the certification of income, the repertoire used, the identity
of the authors, authorizations supposedly obtained or the number of copies, or commits anyother adulteration of particulars that is liable to prejudice any of the owners of rights protected
by this Law;
reproduces, in breach of the provisions of Article 26, protected works in the original or a
developed form, in their entirety or in part, save in the cases of lawful reproduction
exhaustively specified in Chapter I of Title V, or, in the case of computer programs, save in
the exceptional cases specified in Articles 70 and 71 of this Law;
brings into the country, stores, distributes by means of sale, rental or lending or in airy other
manner brings into circulation unlawful reproductions of protected works;
reproduces or copies by any means the performance of a performer, a phonogram, a radio
broadcast or transmission by wire, cable, optical fibre or other comparable process, or who
brings into the country, stores, distributes, exports, sells, rents or in any other way brings into
circulation such unlawful reproduction;
enters in the Register of Copyright and Related Rights a work, performance, production,
broadcast or any other intellectual property protected by this Law that belongs to another
person, as if it were his own or as if it were that of a person different from the true owner of
the rights;
manufactures, imports, sells, rents or in any other way brings into circulation devices or
systems that are of prime importance in the unauthorized decrypting of an encrypted
programme-carrying satellite signal or in facilitating unauthorized reception of a programme
broadcast or otherwise communicated to the public in coded form.
Article 169. The decision of the criminal judge or court shall order the destruction of the
unlawful copies and where appropriate the disablement or destruction of the moulds, plates, matrices,negatives and other material intended for the reproduction thereof.
As a subsidiary penalty, the judge or court may order the publication of the conclusions of the
sentence in one or more periodicals at the expense of the infringer.
Article 170. A prison term of two to three years or a fine of 100 to 200 minimum salary units
shall be imposed on anyone who possesses, uses, designs, manufactures, imports, exports ordistributes either by sale or by rental, lending or other means, any device or computer program, or on
anyone who offers or renders a service, the objective of which is to permit or facilitate the evasion of
coding technology.
Border measures
Article 171. The owner of a right protected by this Law who has good reason to believe that
preparations are being made for the importation or exportation of goods that infringe those rights may
apply to the customs authority to have the said importation or exportation suspended at the time of
clearance. The application and the order issued by the customs authority shall be subject to the
conditions and guarantees applicable to precautionary measures.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 34
Article 172. Any person who applies for the institution of border measures shall provide the
customs authorities with the necessary information and a sufficiently accurate description of the
merchandise for it to be recognized.
Article 173. When the applicable conditions have been met and guarantees provided, the
customs authority shall either order or refuse su spension and inform the applicant accordingly. The
decision of the customs authority shall got constitute a final judgment.
Article 174. Where suspension has been carried out, the customs authorities shall
immediately inform the importer or exporter of the merchandise and the party applying for one
measure.
Article 175. Where 10 working days elapse from the time at which suspension has been
notified to the party applying for the measure without the latter having informed the customs
authorities that the appropriate court action has been initiated, or that the court has ordered
precautionary measures to prolong the suspension, the latter shall be lifted and the merchandise heldshall be cleared.
Article 176. Once the appropriate court action has been initiated, the party affected by it may
apply to the court for reconsideration of the suspension order, and shall be heard to that end. The court
may decide to amend, revoke or confirm the suspension.
Article 177. For the purpose of justifying the prolongation of the suspension of the
merchandise held by the customs authorities, or in support of a court action, the court shall allow the
owner of the rights to inspect the merchandise. The importer or exporter shall have the same right. In
allowing the inspection, the court shall make the n ecessary arrangements for confidential information
of any kind to be protected, where applicable.
Article 178. Where evidence of an infringement has been found, the complainant shall be
informed of the name and address of the sender, importer or exporter and consignee of the
merchandise, and of the amount of merchandise affected by the suspension order.
Article 179. In the case of counterfeit goods that have been seized by the customs authorities,
neither the re-exportation of the goods in the same condition nor the application of a different customs
procedure to them shall be allowed.
The customs authority is empowered to retain the goods and suspend clearance, at the request
of the party concerned, but it is the judicial authority that determines whether there has been aninfringement of trademark law and that investigates, orders precautionary measures and finds the act
punishable.
Precautionary measures
Article 160. The court, at the request of the National Directorate of Copyright, the owner of
the rights concerned, his representative or the corresponding management body, shall order the
immediate implementation of the necessary precautionary measures to prevent the commission of the
infringement or the continuation or repetition of a violation already committed, including the
following in particular:
Seizure of the revenue derived from the unlawful activity or, where appropriate, the amounts
payable in remuneration;IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 35
immediate suspension of the unlawful manufacturing, reproduction, distribution,
communication or importation activity, as the case may be;
confiscation of the copies produced or used and of the material or equipment used for the
infringing activity.
The precautionary measures provided for in this provision shall not preclude the adoption of
others provided for in ordinary legislation.
Article 161. The precautionary measures referred to in the foregoing Article shall be granted
by the judicial authority provided that evidence is given of the necessity of the measure or proof filed
that constitutes at least a presumption of the alleged violation of rights, without any counter-security
having to be provided.
The necessity of the measure or presumption of the alleged violation of rights may also arise
from the visual inspection that the court may order as a preparatory measure on the site of the
infringement.
Article 162. The precautionary measures mentioned in the foregoing Article shall be lifted by
the judicial authority where:
The person against whom the measure has been ordered provides security that is considered
sufficient by the court to guarantee the results of the proceedings, and the appeal has no
suspensive effect;
the party applying for the measures does not provide evidence of having started the procedure
leading to a decision on the merits of the case within a period of 30 consecutive days from
their having been ordered or implemented.
Article 163. The preventive measures provided for in the foregoing Article shall be applied
without prejudice to the obligation on the Directorate General of Customs to proceed with the seizure
at the border of all copies constituting a violation of any of the rights provided for in this Law, and to
suspend the free circulation of such material when attempts are made to import it into the territory of
the Republic.
The seizure measures shall not apply to a copy having no commercial character that is carried
in personal baggage.
Article 164. The user of the works, perfor mances, productions, broadcasts and other
intellectual property recognized by this Law shall be considered guilty of negligent delay where he
fails to make the payments specified in the tariffs laid down for the form of use concerned, or thecompensatory remuneration, within the 10 consecutiv e days following a judicial or notarial summons
to do so.
Article 165. Owners of copyright may exercise all the rights relating to civil actions and
procedures provided for in this Chapter against a person who possesses, uses, designs, manufactures,imports, exports or distributes, whether by sale, rental, lending or other means, any device or
computer program, or against a person who offers or renders a service whose purpose or effect is to
permit or facilitate the avoidance of coding technology.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 36
(c) Marks
Article 84. Owners of the right to exclusive use of a registered mark or trade name may bring
proceedings before the judicial authorities against any person who infringes their right. The
following shall constitute infringement of the right of the owner of a registered mark:
(a) Affixing or placing a mark or similar distinctive sign on products for which the mark
has been registered or on products related to the services for which the mark has been
registered, or on containers, wrapping, or packaging for such products;
(b) removing or altering the mark for commercial purposes after it has been affixed or
placed on the products;
(c) manufacturing labels, containers, wrapping or other materials which reproduce or
contain the mark or trade name, and marketing or possessing such materials;
(d) filling or reusing containers, wrapping or packaging bearing the mark or trade name
for commercial purposes:
(e) using in trade an identical or similar sign to the mark or trade name for any products
or services if such use may cause confusion or a risk of association with the owner of
the registration;
(f) using in trade an identical or similar sign to the mark or trade name for any products,
services or activities if they might cause unjust economic or commercial prejudice to
the owner because they weaken the distinctive character or the commercial or
advertising value of the sign or take undue advantage of the reputation of the sign or
its owner; and
(g) publicly using an identical or similar sign to the mark or trade name, even for
non-commercial purposes, if this might weaken the distinctive character or the
commercial or advertising value of the sign or take undue advantage of its reputation.
Article 85. The final judgement in a case of infringement may order that the following
measures be taken inter alia :
(a) Cessation of acts constituting the infringement;
(b) payment of costs and court costs, as well as compensation for damages;
(c) the attachment or confiscation of the infringing products, including containers,
packaging, labels, printing or advertising material and other materials resulting from
the infringement, as well as materials and devices mainly used to commit the
infringement;
(d) a ban on the import or export of the infringing products, materials or devices; and
(e) the measures required to prevent the continuation or repetition of the infringement,
including the destruction of the products, materials or devices used for this purpose,
and a minimum fine of 500 to 2,000 day units of the minimum wage to be paid to the
Industrial Property Directorate.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 37
Article 86. In the case of products bearing a counterfeit mark, the mere deletion or removal
of the mark shall not suffice to allow such products to be put on sale.
Article 87. At any time during the proceedings, the competent judicial authority may order
the defendant to furnish information in his possession concerning persons who have taken part in
producing or marketing the infringing products or services.
Article 88. The limitation period for action for infringement shall be two years after the
owner has been reliably informed of the infringement or four years after the latest infringement was
committed.
(d) Patents
Article 73. Civil action to claim patent rights. Where a patent or utility model has been
applied for or obtained by someone with no right to obtain it or to the detriment of another party that
also possesses that right, the person affected may claim his rights from the competent judicial
authority and request that the application being processed or the patent be transferred to him or that hebe recognized as co-applicant or co-owner of the right. The payment of damages may be requested in
the same claim.
The right to bring a patent claim action shall lapse ten years after the granting of the patent or
two years from the date of first exploitation of the invention or utility model in the country, whichever
period expires first. If the patent was obtained in bad faith, the right of action shall not lapse.
Article 74. Civil action for infringement of patent rights. The owner of a patent may bring an
action, before the competent judicial authority, against any one performing acts in infringement of the
rights deriving from the patent, as established in Article 33 of this Law.
In the case of joint-ownership, any of the joint owners may bring an action for patent
infringement without the consent of the others being necessary, except where otherwise agreed among
the joint owners.
(e) Seeds
With regard to actions to prevent and oppose infringement of breeders' rights, Law
No. 385/94 sets out, in Chapter X on infringements and sanctions, the breeders' rights in the event of
an infringement and the administrative penalties applicable. Specifically, in the preamble to the Law
on Seeds and the Protection of Cultivars, it is made clear that the provisions of the Civil Code, which
includes commercial provisions (Civil and Commercial), are applicable to infringements of breeder's
rights. This includes the general provisions on the awarding of damages.
39. Please explain whether or not your legislation provides for a mechanism to appeal to
judicial bodies of final administrative decisions.
The following provisions show that the judicial review of final administrative intellectual
property decisions complies with the requirements of the TRIPS Agreement.
Copyright and related rights
Article 151. Decisions of the Ministry of Industry and Commerce. An administrative law
appeal may be filed against the final decision within ten working days.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 38
Marks
Article 129. Decisions of the Director of the I ndustrial Property Directorate. Administrative
law appeals against such decisions may be lodged within ten working days.
Patents
Article 65. Decisions. The decision of the Di rector of the Industrial Property Directorate
exhausts administrative channels. An administrative law appeal against such a decision may be made
to the judicial authorities within ten working days.
Industrial designs
Article 39. Decisions of the Ministry of I ndustry and Commerce. An administrative law
appeal may be made within the following ten working days.
40. Please describe how your legislation authorizes judges to order production of evidence
by the opposing party. Please give precise information on what measures are taken to ensure
the protection of confidential information.
The judges and prosecutors in intellectual property right infringement cases must furnish the
defendant with copies.
41. Please quote provisions of your legislation which authorize judges to order a defendant
to desist from an infringement.
If the accused reaches an agreement with the victim, in 25 days the court may declare the
abatement of the criminal proceedings and hence order the case to be dismissed.
Code of Criminal Procedure, Article 25.10. In the case of punishable acts committed against
personal property or blatant punishable acts, full compensation, provided prior to the proceedings, for
the private or social damage caused, shall cause th e criminal proceedings to lapse, subject to the
approval of the victim or the public prosecutor, as appropriate.
42. Please quote what provisions of your legislation authorize judges to order the payment
to the right holder of adequate damages to compensate the injury which he has suffered.
Code of Criminal Procedure, Article 439. Redress procedure: Once the court has passed
sentence or imposed a preventive measure or found the defendant unfit to plead, the plaintiff or the
Office of the Attorney General may request the court to order that the damage caused be made good
or appropriate compensation paid.
43. Please quote what provisions of your legislation authorize judges to order the payment
of the right holder's expenses by the infringer.
Copyright and related rights: Article 158
Patents: Articles 78 and 79Marks: Article 85(b) and (e)Industrial designs: Article 32IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 39
44. Please explain if and how judges have the authority to order that infringing goods are
placed outside channels of commerce or destroyed.
Copyright and related rights – civil actions and procedure
Article 159. "Cessation of the unlawful activity may include the following:
1. Suspension of the infringing activity;
2. prohibition of the infringer from resuming that activity;
3. withdrawal from the market and destruction of the unlawful copies;
4. the disablement of moulds, plates, matrices, negatives and other material intended
exclusively for the reproduction of unlawful copies and, where necessary, the
destruction of such material;
5. the removal of the equipment used for the unauthorized communication to the public.
The court may likewise order the publication of the declaratory portion of the sentence, at the
infringer's expense, in one or more periodicals.
Article 160. The court, at the request of the National Directorate of Copyright, the owner of
the rights concerned, his representative or the corresponding management body, shall order the
immediate implementation of the necessary precautionary measures to prevent the commission of the
infringement or the continuation or repetition of a violation already committed, including thefollowing in particular:
1. Seizure of the revenue derived from the unlawful activity or, where appropriate, the
amounts payable in remuneration;
2. immediate suspension of the unlawful manufacturing, reproduction, distribution,
communication or importation activity, as the case may be;
3. confiscation of the copies produced or used and of the material or equipment used for
the infringing activity.
The precautionary measures provided for in this provision shall not preclude the adoption of
others provided for in ordinary legislation.
Article 161. The precautionary measures referred to in the foregoing Article shall be granted
by the judicial authority provided that evidence is given of the necessity of the measure or proof filedthat constitutes at least a presumption of the alleged violation of rights, without any counter-security
having to be provided.
The necessity of the measure or presumption of the alleged violation of rights may also arise
from the visual inspection that the court may order as a preparatory measure on the site of the
infringement.
Article 162. The precautionary measures mentioned in the foregoing Article shall be lifted by
the judicial authority whereIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 40
1. The person against whom the measure has been ordered provides security that is
considered sufficient by the court to guarantee the results of the proceedings, and the
appeal has no staying effect;
2. the party applying for the measures does not provide evidence of having started the
procedure leading to a decision on the merits of the case within a period of
30 consecutive days from their having been ordered or implemented.
Article 163. The preventive measures provided for in the foregoing Article shall be applied
without prejudice to the obligation on the Directorate General of Customs to proceed with the seizureat the border of all copies constituting a violation of any of the rights provided for in this Law, and to
suspend the free circulation of such material when attempts are made to import it into the territory of
the Republic.
The seizure measures shall not apply to a copy having no commercial character that is carried
in personal baggage.
Marks – precautionary measures, Law No. 1294, Chapter II
Article 96. Precautionary measures shall consist of the following:- Attachment or confiscation of the products, packaging, labels and other materials
which bear the infringing sign and the equipment and other devices used to commit
the offence. In criminal courts, these shall be destroyed if an expert taking part in the
judicial proceedings to which the preventive measure relates confirms that they areinfringing objects, without it being necessary to await the final judgment.
45. Please quote what provisions of your legislation authorize judges to indemnify a
defendant in the event of abuse by the plaintiff.
Code of Criminal Procedure, Article 439. Redress procedure: Once the court has passed
sentence, imposed a preventive measure or decided that the defendant is unfit to plead, the plaintiff orthe Office of the Attorney General may request the court to order that the damage caused be made
good or the appropriate compensation paid.
Article 443: Once the petition has been accepted, the court shall lift the reparation or
indemnification order, as requested.
46. Please explain how your legislation implements Article 50 of the TRIPS Agreement.
Patents
Article 83 of the Law on Patents provides for provisional measures in accordance with the
terms of Article 50 of the TRIPS Agreement.
Marks
Articles 95, 96 and 97 provide for provisional measures in accordance with the terms of
Article 50 of the TRIPS Agreement.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 41
Copyright and related rights
Article 160. "The court, at the request of the National Directorate of Copyright, the owner of
the rights concerned, his representative or the corresponding management body, shall order theimmediate implementation of the necessary precautionary measures to prevent the commission of the
infringement or the continuation or repetition of a violation already committed, including the
following in particular:
Seizure of the revenue derived from the unlawful activity or, where appropriate, the amounts
payable in remuneration;
Immediate suspension of the unlawful manufacturing, reproduction, distribution,
communication or importation activity, as the case may be;
Confiscation of the copies produced or used and of the material or equipment used for the
infringing activity.
The precautionary measures provided for in this provision shall not preclude the adoption of
others provided for in ordinary legislation."
47. Please identify the competent authorities in your jurisdiction who receive requests from
right holders for an application to suspend the release of counterfeit goods by the customs
authorities.
The judicial authorities must receive requests from right holders to suspend the release of
goods with counterfeit marks or pirated copyright.
48. Please indicate whether or not procedures are available to suspend the exporting of
counterfeit goods.
Law No. 1294/98 on Marks, Chapter III Border Measures, Article 108: Products bearing
false marks which have been seized by the customs authorities shall not be re-exported in the same
state nor placed under a different customs procedure.
Law No. 328 on Copyright and Related Rights, Article 179: In the case of counterfeit goods
that have been seized by the customs authorities, neither the re-exportation of the goods in the same
state nor the application to them of a different customs procedure shall be allowed.
49. Please quote what provisions of your legisl ation authorize the competent authorities to
order the destruction or disposal of infringing goods.
Copyright and related rights
Article 159. "Cessation of the unlawful activity may include the following:
Suspension of the infringing activity;
prohibition of the infringer from resuming that activity;
withdrawal from the market and de struction of the unlawful copies;IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 42
the disablement of moulds, plates, matrices, negatives and other material intended exclusively
for the reproduction of unlawful copies and, where necessary, the destruction of such
material;
the removal of the equipment used for the unauthorized communication to the public.The court may likewise order the publication of the declaratory portion of the sentence, at the
infringer's expense, in one or more periodicals.
Article 160. The court, at the request of the National Directorate of Copyright, the owner of
the rights concerned, his representative or the corresponding management body, shall order the
immediate implementation of the necessary precautionary measures to prevent the commission of the
infringement or the continuation or repetition of a violation already committed, including the
following in particular:
Seizure of the revenue derived from the unlawful activity or, where appropriate, the amounts
payable in remuneration;
immediate suspension of the unlawful manufacturing, reproduction, distribution,
communication or importation activity, as the case may be; confiscation of the copies
produced or used and of the material or equipment used for the infringing activity;
The precautionary measures provided for in this provision shall not preclude the adoption of
others provided for in ordinary legislation.
Article 161. The precautionary measures referred to in the foregoing Article shall be granted
by the judicial authority provided that evidence is given of the necessity of the measure or proof filed
that constitutes at least a presumption of the alleged violation of rights, without any counter-securityhaving to be provided.
The necessity of the measure or presumption of the alleged violation of rights may also arise
from the visual inspection that the court may order as a preparatory measure on the site of the
infringement.
Article 162. The precautionary measures mentioned in the foregoing Article shall be lifted by
the judicial authority where:
1. The person against whom the measure has been ordered provides security that is
considered sufficient by the court to guarantee the results of the proceedings, and the
appeal has no staying effect;
2. the party applying for the measures does not provide evidence of having started the
procedure leading to a decision on the merits of the case within a period of
30 consecutive days from their having been ordered or implemented.
Article 163. The preventive measures provided for in the foregoing Article shall be applied
without prejudice to the obligation on the Directorate General of Customs to proceed with the seizure
at the border of all copies constituting a violation of any of the rights provided for in this Law, and to
suspend the free circulation of such material when attempts are made to import it into the territory of
the Republic.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 43
The seizure measures shall not apply to a copy having no commercial character that is carried
in personal baggage.
Marks
Law No. 1294, Chapter II – Precautionary Measures, Article 96(b)
Article 96. Precautionary measures shall consist of the following:Attachment or confiscation of the products, packaging, labels and other materials which bear
the infringing sign and the equipment and other de vices used to commit the offence. In criminal
proceedings, these shall be destroyed if an expert taking part in the judicial proceedings to which thepreventive measure relates confirms that they are infringing objects, without it being necessary to
await the final judgment.
50. Please indicate whether or not your legislation provides for a de minimis imports
exception.
Paraguayan legislation does not contain any such provision.
51. Please explain how your legislation implements Article 61 of the TRIPS Agreement.
Criminal sanctions. Copyright and related rights
Article 166. A penalty of imprisonment for a term of six months to one year or a fine of five
to 50 minimum salary units shall be imposed on anyone who, having been authorized to publish a
work, does so fraudulently in one of the following ways:
Without mentioning the name of the author, translator, adapter, compiler or arranger on the
copy;
prints the name with additions or deletions that adversely affect the author's reputation as such
or that of the translator, adapter, compiler or arranger, as the case may be;
publishes the work with abridgements, additions, deletions or any other changes made
without the consent of the owner of the rights;
publishes a number of works separately when authorization has been given for them to be
published together, or publishes them together when only their separate publication has been
authorized.
Article 167. A penalty of imprisonment for a term of six months to three years or a fine of
100 to 200 minimum salary units shall be imposed in the following cases on anyone who:
Improperly uses the title of a work in breach of Article 6 of this Law;makes an alteration to the work in violation of the provisions of Article 30 of this Law;
communicates a work to the public in violation of the provisions of Article 27, an audiovisual
recording provided for in Article 134 or a photographic image provided for in Article 135 of
this Law;IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 44
distributes copies of the work in breach of the rights provided for in Article 28, of
phonograms in violation of Article 127, of an audiovisual recording as provided for in
Article 134 or of a photographic image provided for in Article 135 of this Law;
imports copies of the work not intended for the national territory in violation of the provisions
of Article 29, or of phonograms, in violation of the provisions of Article 127 of this Law;
retransmits, by any wire or wireless means, a radio broadcast or a transmission by wire, cable,
optical fibre or other comparable process in bre ach of the provisions of Articles 25, 26, 131 or
132 of this Law;
communicates to the public performances or phonograms that are intended solely for private
performance;
being the assignee or licensee authorized by the owner of the rights concerned, reproduces or
distributes a greater number of copies than that permitted by the contract, or communicates,
reproduces or distributes the work, performance; production or broadcast after the expiry of
the agreed period of authorization;
makes known to any other person an unpublished or undisclosed work that he has received in
confidence from the owner of the copyright, or anyone else in the latter's name, without the
consent of the said owner;
manufactures, imports, sells, rents or in any other way brings into circulation devices or
products, or renders any service, the purpose or effect of which is to block, evade, eliminate,
deactivate or circumvent in any way the technical devices that the owners have set in place to
protect their rights.
Article 168. A prison term of two to three years or a fine of 200 to 1,000 minimum salary
units shall be imposed in following cases on anyone who:
Improperly attributes to himself the status of hol der, whether original or derived, of any of the
rights recognized by this Law, and by virtue of that improper attribution causes the competentauthority to suspend the act of communication, reproduction, distribution or importation of
the work, performance, production or broadcast, or any other of the intellectual property
protected by this Law;
makes false statements concerning the certification of income, the repertoire used, the identity
of the authors, authorizations supposedly obtained or the number of copies, or commits any
other adulteration of particulars that is liable to prejudice any of the owners of rights protectedby this Law;
reproduces, in breach of the provisions of Article 26, protected works in the original or a
developed form, in their entirety or in part, save in the cases of lawful reproduction
exhaustively specified in Chapter I of Title V, or, in the case of computer programs, save inthe exceptional cases specified in Articles 70 and 71 of this Law;
brings into the country, stocks, distributes by means of sale, rental or lending or in any other
manner brings into circulation unlawful reproductions of protected works;
reproduces or copies by any means the performance of a performer, a phonogram, a radio
broadcast or transmission by wire, cable, optical fibre or other comparable process, or whoIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 45
brings into the country, stores, distributes, exports, sells, rents or in any other way brings into
circulation such unlawful reproduction;
enters in the Register of Copyright and Related Rights a work, performance, production,
broadcast or any other intellectual property protected by this Law that belongs to another
person as if it were his own, or as if it were that of a person different from the true owner of
the rights;
manufactures, imports, sells, rents or in any other way brings into circulation devices or
systems that are of prime importance in the unauthorized decrypting of an encrypted
programme-carrying satellite signal or in facilitating unauthorized reception of a programmebroadcast or otherwise communicated to the public in coded form.
Article 169. The decision of the criminal judge or court shall order the destruction of the
unlawful copies and where appropriate the disablement or destruction of the moulds, plates, matrices,
negatives and other material intended for the reproduction thereof.
As a subsidiary penalty, the judge or court may order the publication of the conclusions of the
sentence in one or more periodicals at the expense of the infringer.
Article 170. A prison term of two to three years or a fine of 100 to 200 minimum salary units
shall be imposed on anyone who possesses, uses, designs, manufactures, imports, exports or
distributes either by sale or by rental, lending or other means, any device or computer program, or onanyone who offers or renders a service, the objective of which is to permit or facilitate the evasion of
coding technology.
Marks
Law 1294, Title IV, Chapter I – Civil and Criminal Proceedings for Infringements:Article 89. "The following shall be liable to an incommutable term of imprisonment of one to
three years and a minimum fine of 1,000 to 3,000 day units of the minimum wage:
- Persons who falsify or adulterate a registered mark;
- persons who fraudulently imitate a registered mark;
- persons who knowingly store, put on sale, sell or offer for sale or distribute products
or services bearing a mark that is falsified, fraudulently imitated or unlawfully
affixed;
- persons who, with fraudulent intent, affix or cause to be affixed on a product or
service a false declaration or designation regarding the nature, quality, quantity,
number, weight or measure, the manufacturer's name, the place or country in whichthe product or service has been manufactured or supplied; and
- persons who knowingly put on sale, sell or offer for sale products or services bearing
any of the false declarations mentioned in the preceding subparagraph.
Article 90. The penalty defined in the preceding Article shall also apply to persons who make
fraudulent use of a trade name.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 46
Article 91. For an offence to have occurred, it shall not be necessary for the falsification,
imitation or fraudulent affixing of the mark to apply to all the goods; affixing on a single specimen
shall suffice.
Article 92. The penalty laid down in Article 89 shall also apply to persons who, through
fraudulent or malicious conspiracy or any other unfair method, try to divert the customers of a
commercial or industrial establishment for their own profit or for that of a third party.
Article 93. The offences listed in Articles 89 and 90 are liable to public criminal proceedings.
Article 94. The limitation period for criminal proceedings shall be two years. The provisions
in the Criminal Code shall apply subsidiarily where there are no specific provisions in this Law."
Patents
Article 75. Criminal proceedings for infringement of patent rights. In accordance with
Article 184 of the Penal Code and related provisions, a patent holder may bring an appropriate actionbefore the judicial authority against any person or persons who infringe any of the rights protected by
this Law.
Criminal Code, Article 184 (subparagraph 4 repealed) does not depend on a complaint being
made by the victim; is publicly prosecutable.
Law 1444, Article 18,15.
IV. REPLY TO THE QUESTION POSED BY JAPAN
A.
COPYRIGHT AND RELATED RIGHTS
1. Please explain exceptions or exemptions of the national treatment and most-favoured-
nation treatment under the Copyright and Neighbouring Rights Law, if any, as permitted in
Articles 3 and 4 of the TRIPS Agreement.
Law No. 1328/98, Article 3. "Copyright protection shall cover all intellectual works of
creative character in the literate or artistic field, regardless of their type, formal expression, merit or
purpose, the nationality or residence of the author or owner of the rights concerned and the place ofpublication of the work".
Law No. 1328/98, Article 180. "Works, artistic performances, phonographic productions,
radio broadcasts or transmissions by wire, cable, optic fibre or other comparable process, audio visual
recordings, photographic fixations and other intellectual property of foreign origin shall enjoy nationaltreatment in the Republic of Paraguay, regardless of the nationality or residence of the owner of the
rights concerned or the place where the material was published or disclosed".
Note. There are no exceptions or exemptions in the Law on Copyright and Related Rights
that waive the application of the principle of national treatment or the most-favoured-nation clause,within the meaning of Articles 3 and 4 of the TRIPS Agreement.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 47
V. REPLIES TO THE QUESTIONS POSED BY SWITZERLAND
A. PATENTS
1. Are all categories of products subject to patent protection under your law or are there
any exceptions? If so, please explain in deta il what these exceptions are and how they apply.
Under the new Patent Law, all fields of technology benefit from patent protection, in
accordance with Article 27 of the TRIPS Agreement.
The only products not subject to patent protection are those which do not comply with the
requirements of Article 70.8 of the TRIPS Agreement. These are listed in Article 5 of the new Patent
Law.
Article 5. Subject-matter excluded from patent protection. The following subject-matter is
excluded from patent protection:
- Inventions whose commercial exploitation must be prevented to protect ordre public
or morality, to protect human, animal, or plant life or health or to avoid serious
prejudice to the environment; and
- plants and animals other than micro-organisms, and essentially biological processes
for the production of plants or animals other than non-biological and microbiologicalprocesses.
Products or processes included in the state of the art, within the meaning of this Law, may not
form the subject-matter of a new patent merely because they have been put to a use different from that
contemplated by the original patent.
2. Does your law, in accordance with Articl e 27.1 in combination with Article 31 of the
TRIPS Agreement, recognize importation as "working a patent" (and therefore preclude
compulsory licences)?
Importation is recognized as "working" in the new Patent Law.
3. Does your law make compulsory licences subject to the conditions enumerated in
Article 31 of the TRIPS Agreement? If exception s are provided for, please describe in detail
what these exceptions are and how they apply in your law.
Chapter VI on compulsory licences and other us e without authorization of the right holder,
Articles 47, 48, 49 and 50 of the new Patent Law, impl ements the conditions enumerated in Article 31
of the TRIPS Agreement.
Patent Law:
Article 47. "Compulsory licence application procedure and requirements": The applicant for
a compulsory licence or other use without authorization of the right holder shall satisfy the Industrial
Property Directorate that he has previously requested an ordinary licence from the holder and has
been unable to obtain one on reasonable commercial terms and within a reasonable period of time.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 48
This requirement may be waived in cases of national emergency or circumstances of extreme
urgency or in cases of public non-commercial use, but in such cases the patent holder shall be
informed of the granting of the licence without delay.
The compulsory licence application shall indicate the conditions on which the licence is being
sought.
The compulsory licence application shall be sent to the patent holder for a fixed period of
30 calendar days, upon the expiry of which, if there has been express objection, it shall be deemed to
have been accepted.
Once this procedure has been completed, the Industrial Property Directorate shall, within a
mandatory period of 30 calendar days, issue a reasoned decision granting or rejecting the compulsory
licence application submitted.
The decision granting the compulsory licence or other use without authorization of the patent
holder shall be entered in the register of the Industrial Property Directorate and published. It shall
take effect against third parties as from registration.
In all cases, decisions relating to use not authorized by the patent holder shall be subject to
judicial review as shall the question of the corresponding remuneration, where appropriate. Duringjudicial review precautionary measures that affect the validity or terms of the licence granted may not
be imposed and may only be considered in the corresponding judgement. Appeals based on
administrative acts relating to the granting of compulsory licences or other use shall not have
suspensive effect.
Article 48. Conditions relating to the compulso ry licence. The patent holder who is the
subject of a compulsory licence shall receive adequate remuneration according to the circumstances of
the case, the economic value of the licence and the average royalties paid in the sector concerned
under commercial licensing agreements between independent parties. In the absence of agreement,
the amount and method of payment of the remuneration shall be fixed by the administrative authority.
Anyone applying for a compulsory licence must show that he possesses the technical and
economic capacity to proceed with its exploitation. The technical and economic capacity shall be
assessed by the corresponding national authority designated by the Industrial Property Directorate for
each specific branch of activity, which shall produce a corresponding report.
A compulsory licence may not be exclusive, may not be assigned or sub-licensed and may
only be transferred with the enterprise or establishment or with that part of the enterprise or
establishment which exploits the licence.
Licences shall be granted predominantly for the supply of the domestic market.
The holder of a compulsory licence or his successor-in-title may bring legal proceedings, in
his own name, against infringers of the patent. The holder of the patent shall receive prior notification
of this action and shall have the option to join the proceedings.
Article 49. Grant of a compulsory licence. The decision to grant a compulsory licence shall
stipulate, where appropriate:
(a) The scope of the licence, including its duration and the acts for which it is granted,
which shall be limited to the purposes for which it was sought;IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 49
(b) the amount and method of payment of the remuneration due to the patent holder. For
the purposes of determining the amount, the circumstances of the case, the economic
value of the licence and the average royalties paid in the sector concerned under
commercial licensing agreements between independent parties shall be taken intoaccount; and
(c) the conditions necessary for the licence to fulfil its purpose.If the patent protects semi-conductor technology, use shall be authorized only in accordance
with the provisions of subparagraph (a) of the preceeding paragraph and only for public non-
commercial use.
Once a compulsory licence has been granted, the patent holder shall be obliged to provide the
licensee with all the information necessary to exploit the subject-matter of the licence.
Article 50. Revocation and modification of a compulsory licence. A compulsory licence may
be revoked, in whole or in part, by the judicial authority, at the request of any interested party, if the
beneficiary of the licence does not fulfil his obligations or if the circumstances which led to the
granting of the licence cease to exist and are unlikely to recur. In this latter case, the judicial authority
may take the steps necessary to provide adequate protection for the legitimate interests of the licensee
affected by the revocation.
A compulsory licence may be modified by the judicial authority, at the request of an
interested party, if justified by new facts or circumstances, and in particular if the patent holder has
granted contractual licences on terms more favourable than those accorded to the beneficiary of the
compulsory licence.
4. Does your legislation provide for the principal of the reversal of burden of proof in a
process patent litigation? Please name the relevant law and explain the relevant sections.
Article 76, Title III "On actions for the infringe ment of rights", Chapter I "On the principal
actions", Article 76 - provision concerning reversal of the burden of proof.
Article 76. "Burden of proof": for the purposes of civil proceedings, if the subject-matter of
a patent is a process for obtaining a new product, the judicial authority may require the defendant to
prove that the identical product has not been obtained by the patented process, subject to the
protection of undisclosed information concerning the invention.
For the purposes of this provision, a product shall be new if it fulfils the requirements of
Article 7 of this Law.
This provision shall be adopted with due guarantees for the legitimate interests of the
defendant in his production, which shall not be restricted other than by court order, and with dueconsideration for his trade secrets.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 50
B. PROTECTION OF UNDISCLOSED INFORMATION
5. Please explain in detail if your legislation ensures that undisclosed and confidential test
data or other data submitted by an applicant to the responsible State agency in the procedure
for market authorization of a pharmaceutical or of an agricultural chemical products isprotected against disclosure and against unfair commercial use by a competitor, for example by
prohibiting a second applicant from relying on, or fr om referring to the original data of the first
applicant, when applying subsequently for market authorization for his own product. Does
your legislation provide for exceptions to this ? If yes, under what conditions would such
exceptions apply?
A draft law based on Article 39 of the TRIPS Agreement is being prepared for submission to
Congress.
VI. REPLIES TO THE QUESTIONS POSED BY THE UNITED STATES
A. G
ENERAL
1. With respect to each form of intellectu al property covered by Part II of the TRIPS
Agreement, including plant variety protection, please explain the manner in which the laws of
Paraguay ensure that nationals of other WTO Members receive national treatment and most-
favoured-nation treatment as required by Articles 3 and 4 of the TRIPS Agreement. Please cite
to the relevant provisions of law.
As required by Articles 3 and 4 of the TRIPS Agreement, the principles of national treatment
and most-favoured-nation treatment are incorporated in the intellectual property legislation. Under
Article 141 of the Constitution, international agreements approved by act of Congress form part of the
domestic legal system. Article 137 of the Constitution establishes an hierarchical legal system in
which treaties, conventions and international agreements that have been approved and ratified rankimmediately after the Constitution and above national legislation passed by Congress and other legal
provisions of lower rank, so that Articles 3 and 4 of the TRIPS Agreement are automatically applied.
The following provisions also relate to national treatment and most-favoured-nation
treatment:
(a) Copyright: Article 3 of Title II "Subject -matter of Copyright" of Law No. 1328/98 on
Copyright and Related Rights;
(b) Trademarks: Articles 4 to 14 of Chapter II "Registration. Registration Formalities
and Right of Ownership of Marks" of Law 1294/98 on Marks. Article 23 of
Chapter V "Procedure. Law 1294 on Marks";
(c) Industrial designs: Article 10 (a) and (b) of Chapter II "Registration Requirements
and Formalities" of Law 868 on Industrial Designs;
(d) Seed and Protection of Cultivars: Article 1 of Chapter I, General Provisions,
"Purpose" of Law 385 on Seed and Protection of Cultivars.
Moreover, with respect to compliance with Articles 3 and 4 of the TRIPS, Article 33 of the
aforementioned Law states:IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 51
"The filing of an application for registration of a variety in any country with which the
Republic has a corresponding bilateral or multilateral agreement shall give the applicant
priority for a period of 12 months in which to register it in the National Register of Protected
Cultivars".
In addition there is the procedure laid down in Article 20 of Decree 7797 of 7 March 2000,
which reads:
"In order to benefit from the right of priority under Article 33 of Law No. 385/94, the
interested party must expressly claim his right of priority in the application, and within three
(3) months of the date of the subsequent application, must supply a copy of the documentswhich constitute the first application, which copy shall be certified by the competent national
authority with which the application was filed, together with samples or other evidence that
the variety which is the subject-matter of both applications is the same."
B.
COPYRIGHT AND RELATED RIGHTS
2. Please explain how Paraguay's copyright law protects computer programs as literary
works and compilations of data as required by Article 10 of the TRIPS Agreement and cite to
the relevant provisions of the law.
Law No. 1328/98
Article 2.33. "Computer program (software)", the expression of a set of instructions in the
form of words, codes or plans or in any other form, which, on being incorporated in an automated
reading device, is capable of making a computer carry out a task or produce a result. A computer
program also includes the technical documentation and users' manuals;
Article 4. The works to which the foregoing Article refers include the following, in
particular:
13. Computer programs.Article 27. Communication to the public may in particular be effected by means of:
7. Access by telecommunication to an electronic data-retrieval system, including computer databases,
servers, or other memory storage devices where they incorporate or constitute protected works.
Article 67. Computer programs shall be protected on the same terms as literary works. That
protection shall extend to all their forms of expression, and to both operating programs andapplication programs, whether in source code or in object code form. The protection provided for in
this Law shall extend to any successive versions of the program, and also to derived programs.
Article 68. The producer of the computer program is the person, whether natural person or
legal entity, who takes the initiative and responsibil ity for the work. It shall be presumed, in the
absence of evidence to the contrary, that the natural person or legal entity named as such in the usual
way on the work is the producer of the program.
Article 70. For the purposes of this Law the storage of a computer program in the internal
memory of the apparatus by the lawful user for his exclusive personal use does not constituteunlawful reproduction. The above lawful use shall not extend to the exploitation of the program by
two or more persons through the installation of networks or workstations or another comparable
process, except where the express consent of the owner of the rights is obtained.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 52
Article 71. The lawful user of a computer pr ogram may make an adaptation of that program
where essential for it to be used in a particular computer and consistent with the licence granted to the
lawful user; the adaptation shall be intended solely as a back-up copy to replace the lawfully acquiredcopy where it cannot be used owing to damage or loss. Reproduction of a computer program,
including for personal use, shall require authorization by the owner of the rights, with the exception of
the back-up copy.
Article 72. The adaptation of a program by the lawful user, including the correction of errors,
shall not constitute transformation for the purposes of Article 31 insofar as it is intended exclusively
for personal use, except where there has been an ex press prohibition by the owner of the rights. The
production of copies of the program so adapted for use by two or more persons or for distribution to
the public shall require express authorization by the owner of the rights.
Article 73. None of the provisions of this Chapter may be so interpreted as to allow its
application to prejudice unreasonably the legitimate interests of the owner of the rights or to becontrary to the normal exploitation of the computer program.
Article 23, Decree No. 5159/99 "Regulations of Law No. 1328/98". For the purpose of
registering computer programs, software, and da tabases which are exploited commercially or by
remote transmission, extracts of their content and a written description of their structure, organizationand characteristic principles which, in the judgement and at the risk of the applicant, enable the work
to be sufficiently individualized shall be deposited. For the purpose of registering an unpublished
work in the form of a computer program, software or database, the applicant shall submit in a signed
and sealed envelope the expressions of the work he judges appropriate and sufficient to identify his
creation and ensure the confidentiality of his information.
3. Article 11 of the TRIPS Agreement requires that in most circumstances rental rights be
provided with respect at least to computer programs and cinematographic works and
Article 14.4 requires that rental rights be provided to producers of phonograms. Please
describe how Paraguay's law on copyright and neighbouring rights ensures that the required
rental rights are provided and cite to the relevant provisions of law.
Article 69. It shall be presumed, unless otherwise agreed, that the authors of the computer
program have assigned the economic rights recognized by this Law, without limitation and
exclusively, to the producer, that he is moreover in vested with the ownership of the rights referred to
in Article 22, and by implication with authority to decide on the disclosure of the program and to
exercise the moral rights in the work. Unless otherwise agreed, the authors may not object to theproducer making or authorizing alterations to or successive versions of the program, or programs
derived from it.
4. Please identify the term of protection availa ble with respect to wo rks and with respect to
each form of neighbouring rights under Paraguay's law on copyright and neighbouring rightsand cite to the relevant provisions of law.
Article 47. Economic rights shall subsist throughout the life the author and for 70 years
thereafter, and shall be transferred on his death in accordance with the provisions of the Civil Code
[Código Civil ]. In the case of works of joint authorship, the term of protection shall be counted as
from the death of the last surviving co-author.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 53
Article 48. In the case of anonymous and pseudonymous works, the term shall be 70 years
following the year of disclosure except where, before that period expires, the author reveals his
identity, in which case the provisions of the foregoing Article shall apply.
Article 49. In the case of collective works, computer programs and audiovisual and broadcast
works, economic rights shall lapse after 70 years following first publication or, failing that,
completion. That limitation shall not effect the economic rights of each of the co-authors of
audiovisual and broadcast works in their personal contributions for the purposes of the second
paragraph of Article 12, or the enjoyment and exercise of the moral rights in those contributions.
Article 50. The periods provided for in this Chapter shall be calculated from the first of
January of the year following that of the death of the author, or where appropriate that of the
disclosure, publication or completion of the work.
5. Article 13 of the TRIPS Agreement obliges WTO Members to confine any limitations or
exceptions to copyrights to certain special cases th at do not conflict with the normal exploitation
of the work and do not unreasonably prejudice the legitimate interests of the right holder.
Please describe any and all limitations and exceptions to copyrights provided under Paraguay's
law on copyrights and neighbouring rights and cite to the relevant provision of law. Please
indicate how Paraguay ensures that those limitations and exceptions do not conflict with the
normal exploitation of works and do not unreasonably prejudice the legitimate interests of theright holder.
Law 1328, Title V, Chapter I "Limitations on Exploitation Rights"
Article 38. The intellectual works protected by this Law may be lawfully communicated in
the following cases without need for the permissi on of the author or payment of any remuneration:
Communication in an exclusively domestic environment, provided that there is no direct or
indirect profit-making purpose;
communication in the public interest in the course of official events or religious ceremonies
involving short musical passages or small parts of musical works, provided that the public
may attend the events free of charge;
in the case of single, personal copies that are used solely for teaching purposes. by teaching
staff at educational establishments;
communication within commercial establishments for the sole purpose of demonstrating
receivers or players or other similar apparatus to customers, or for the sale of the sound or
audiovisual materials incorporating the works;
communication essential to the provision of judicial or administrative evidence.
Article 39. The following is permitted without authorization by the author or payment of
remuneration in relation to works already disclosed:
Reproduction by reprographic means, for the purposes of teaching or the holding of
examinations at educational establishments, provided that there is no gainful intent and only
to the extent justified by the objective pursued, of articles or short extracts from lawfullypublished works, on condition that the use is in keeping with proper practice;IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 54
the reproduction of a single copy of a work by non-profit-making public libraries or archives,
where the copy is in the permanent collection, in order to preserve that copy and replace it in
the event of its being lost, destroyed or rendered unusable, or to replace the copy in the
permanent collection of another library or archive that has been lost, destroyed or renderedunusable, provided that it is not possible to acquire such a copy in a reasonable time and on
acceptable terms;
the reproduction of a work for judicial or administrative proceedings, to the extent justified by
the aim pursued;
the reproduction of a work of art on permanent display in streets, squares or other public
places, or on the outer walls of buildings, where the artistic medium used is different from
that used for the making of the original, provided that the name of the author and the title ofthe work, if known, and the place in which it is located are mentioned;
the lending to the public of the lawful copy of a work expressed in writing by a library or
archive that does not pursue any direct or indirect profit-making purpose;
the reproduction of works in Braille or another specific form for the exclusive use of the
visually handicapped, provided that the reproduction is not done with gainful intent and thecopies are not used for profit-making purposes;
where the work is used as a sign, emblem or distinctive mark of a political party or non-
profit-making civil association or entity.
The reproduction provided for in this Article shall be allowed insofar as it does not interfere
with the normal exploitation of the work or unreasonably prejudice the legitimate interests ofthe author.
Article 40. It shall be permissible, without the authorization of the author or payment of
remuneration, to make quotations from lawfully disclosed works, subject to the obligation to mention
the name of the author and the source, and on condition that the quotations are made in accordance
with proper practice and to the extent justified by the aim pursued.
As regards copyright:
Article 41. It shall likewise be lawful to perf orm the following acts without authorization or
payment of remuneration, provided that the name of the author and the source are mentioned and that
reproduction or disclosure has not been the subject of an express reservation:
Reproduction and distribution in the press, or transmission in any medium, of topical articles
on economic, social, artistic, political or religious issues that are published in mass
communication media or disclosed by broad casting, without prejudice to the author's
exclusive right to publish them separately, either singly or in a collection;
the dissemination, in connection with news reporting on current events in sound or
audiovisual media, of the images or sounds of works seen or heard in the course of the saidevents, to the extent justified by the informatory purpose;
the dissemination in the press or transmission in any medium, as news of current events, of
speeches, dissertations, addresses, sermons and other works of similar character given in
public, and also speeches delivered in the course of judicial proceedings, to the extentIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 55
justified by the informatory purposes pursued and without prejudice to the rights that the
authors retain in the works disseminated with respect to their publication either singly or in a
collection;
the transmission by broadcasting or cable di stribution or any other known or as yet unknown
medium of the image of an architectural work, a work of fine art, a photograph or a work of
applied art located permanently in a place open to the public.
Article 42. Any broadcasting organization ma y, without the permission of the author or
payment of any special remuneration, make ephemeral recordings, using its own facilities and for a
single use in its own broadcasts, of a work in which it has broadcasting rights. The recording shall be
destroyed within three months except where a long er period has been agreed upon with the author. It
may however be preserved in official archives, also without the permission of the author, where itpossesses exceptional documentary character.
Article 43. It shall be lawful, without the pe rmission of the author or payment of special
remuneration, for a broadcasting organization publicly to retransmit or distribute by cable a work
originally broadcast by it with the author's consent, provided that such public retransmission ordistribution takes place at the same time as the original broadcast and the work is broadcast or
distributed to the public without alteration.
Article 44. The exclusively personal copying of works published in graphic form or in the
form of sound or audiovisual recordings shall be lawful where the compensatory remunerationreferred to in Chapter IV of Title IV of this Law has been paid. The reproductions allowed under this
Article shall not however extend to the following:
Reproduction of a work of architecture in the form of a building or other construction;
reproduction of the whole of a book or musical work in graphic form, or of the original or a
copy of a work of fine art executed and signed by the author;
a database or compilation of data.
Article 45. The exceptions provided for in the foregoing Articles shall be restrictively
interpreted, and may not be applied to cases that are contrary to proper practice.
Law 1328, Title VII, Chapter II "Computer Programs"
Article 69. It shall be presumed, unless otherwise agreed, that the authors of the computer
program have assigned the economic rights recognized by this Law, without limitation and
exclusively, to the producer, that he is moreover in vested with the ownership of the rights referred to
in Article 22, and by implication with authority to decide on the disclosure of the program and to
exercise the moral rights in the work.
Unless otherwise agreed, the authors may not object to the producer making or authorizing
alterations to or successive versions of the program, or programs derived from it.
Article 70. For the purposes of this Law the storage of a computer program in the internal
memory of the apparatus by the lawful user for his exclusive personal use does not constitute
unlawful reproduction.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 56
The above lawful use shall not extend to the exploitation of the program by two or more
persons through the installation of networks or workstations or another comparable process, except
where the express consent of the owner of the rights is obtained.
Article 71. The lawful user of a computer pr ogram may make an adaptation of that program
where essential for it to be used in a particular computer and consistent with the licence granted to the
lawful user; the adaptation shall be intended solely as a back-up copy to replace the lawfully acquired
copy where it cannot be used owing to damage or loss. Reproduction of a computer program,
including for personal use, shall require authorization by the owner of the rights, with the exception of
the back-up copy.
Article 72. The adaptation of a program by the lawful user, including the correction of errors,
shall not constitute transformation for the purposes of Article 31 insofar as it is intended exclusively
for personal use, except where there has been an express prohibition by the owner of the rights.
The production of copies of the program so adapted for use by two or more persons or for
distribution to the public shall require express authorization by the owner of the rights.
Article 73. None of the provisions of this Chapter may be so interpreted as to allow its
application to prejudice unreasonably the legitimate interests of the owner of the rights or to be
contrary to the normal exploitation of the computer program.
Article 75. An author of architectural works may not object to such alterations as may prove
necessary in the course of construction or thereafter. Where the alterations are made without the
author's consent, the latter may repudiate his authorship of the altered work, and the owner shall be
prohibited from mentioning the name of the author of the original project in the future.
Paraguay ensures that the limitations and exceptions do not conflict with the normal use of the
works and do not unreasonably prejudice the legitimate interests of the owner. Thus, in accordance
with Law No. 1328/98, the National Directorate of Copyright is authorized to coordinate the
application of laws and international treaties and conventions in the field of copyright and other rights
recognized by the Law, as well as to institute civil actions and file criminal complaints and carry out,
either ex officio or at the request of a party, supervisory and inspection functions in relation toactivities that might give rise to assertion of the rights recognized by the Law.
6. Please describe in detail the rights provided under Paraguay's law on copyright and
neighbouring rights to performers, broadcasters and producers of phonograms and cite to the
relevant provisions of law.
Law No. 1328/98
Article 122. Performers shall enjoy the moral right:
To the recognition of their names in relation to their performances;
to oppose any distortion, mutilation or any other act in relation to their performances that is
detrimental to their prestige or reputation.
Article 123. Performers or their successors in title shall have the exclusive right to carry out,
authorize or prohibit the following:IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 57
Communication of their performances to the public, except where a performance used in that
communication:
- Constitutes a broadcast work in itself;- has been fixed on a phonogram or videogram that has itself been made public;- fixation and reproduction of their performances by any means or process;- reproduction of an authorized fixation where it is done for purposes different from
those for which the authorization was given.
Notwithstanding the provisions of this Article, performers may not object to the
communication of their performances to the public where it is done from a fixation made with their
prior consent and published for commercial purposes.
Article 124. Performers likewise have the right to equitable remuneration for the
communication to the public of the phonograms publishe d for commercial purposes that contain their
performances, which remuneration shall be shared equally with the phonogram producer, except
where the said communication is included among the exceptions provided for in Article 38 of this
Law.
Article 125. Orchestras, vocal ensembles and other groups of performers shall designate a
representative for the exercises of the rights reco gnized by this Law. In the absence of such
designation, the representation shall be exercised by the directors of the said groups.
The representative shall have the right to entrust the relevant parts of his mandate to a
collective management body.
Article 128. The producers of phonograms shall likewise have the right to receive
remuneration for the communication of the phonogram to the public by any means or process, except
in the case of the lawful uses referred to in Article 38 of this Law, which remuneration shall be shared
equally with the performers.
Article 129. In the event of infringement of the rights recognized in this Chapter, the right to
bring legal action shall belong to the original owne r of the rights in the phonogram, to the person who
proves the exclusive assignment or licensing to him of the rights in question or to the collective
management body that represents them.
Article 131. Broadcasting organizations shall have the exclusive right to do, authorize or
prohibit the following:
Retransmission of their broadcasts by any known or as yet unknown means or process;
recording on any sound or audiovisual medium of their broadcasts, including that of any
isolated image included in the broadcast or transmission; and
reproduction of their broadcasts.Broadcasting organizations shall likewise have the right to receive equitable remuneration for
the communication to the public of their broadcasts or transmissions where it is done in places to
which that public has access against payment of an admission charge or entrance fee.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 58
Article 132. For the purposes of the enjoyment and exercise of the rights provided for in this
Chapter, equivalent protection shall be accorded, as appropriate, to broadcasting stations that transmit
programs to the public by wire, cable, optic fibre or other comparable process.
7. Article 18 of the Berne Convention, as incorporated into the TRIPS Agreement by
Article 9.1 of the TRIPS Agreement, requires that copyright be restored for works that are still
are protected under copyright in their country of origin and have not had a full term or
protection in Paraguay. Please describe in de tail how Paraguay has implemented this obligation
and cite to the relevant provisions of law.
Paraguay has implemented these obligations as may be seen from the following Articles:
Article 181. The rights in the works and other productions protected by virtue of earlier laws
shall benefit from the longer terms of protection recognized by this Law.
Works and other productions that have passed into the public domain on expiry of the term
provided for in the legislation repealed by this La w shall return to the private domain until such time
as the term provided for in this Law expires, without prejudice to rights acquired by third parties prior
to the entry into force thereof.
Article 182. Works, performances, phonographic productions or radio broadcasts that were
not protected under the law now repealed but are protected by this Law shall automatically benefit
from the protection of the latter, without prejudice to ri ghts acquired by third parties prior to the entry
into force thereof, provided that new uses may not be initiated as from the said entry into force.
This protection is provided without any distinction being made between nationals and
foreigners, in accordance with Article 3 of Law 1328/98.
8. Article 14.6 of the TRIPS Agreement requires that protection be restored for
phonograms that are still under protection of copyright or neighbouring rights law in their
country of origin and that have not had a full term of protection in Paraguay. Please describe in
detail how Paraguay has implemented this obligation and cite to the relevant provisions of law.
Under Paraguay's system of legal precedence, international treaties and conventions rank
above national law, so that once a convention has been ratified compliance with its provisions is
mandatory in Paraguayan territory.
C. TRADEMARKS
9. Please describe in detail the subject-matter that can comprise a trademark under
Paraguay's trademark law and cite to the relevant provisions of law.
According to Article 1 of Law 1294, marks are any signs used to distinguish products and
services. They may consist of one or more words, mottos, emblems, monograms, seals, vignettes,
reliefs, names, fanciful word forms, letters and numbers in distinctive shapes or combinations, and
arrangements of colours, labels, containers and wrapping. They may also consist of the shape,
presentation or packaging of products or their contai ners or wrapping or the mode or place in which
the corresponding products or services are provided. This list is merely indicative.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 59
10. Please describe in detail the procedure that must be followed to register a trademark in
Paraguay, citing the relevant provisions of the tr ademark law and describe the rights that the
owner of a registered mark acquires with registration.
Procedure for registering a trademark
Article 4. Applications for registration of marks shall be filed with the Industrial Property
Directorate, which shall issue the corresponding receipt.
Article 5. For the purposes of registration, applications shall be in writing and shall include
the following:
Name, domicile and signature of the applicant a nd of his agent or attorney, where applicable;
name of the mark or its reproduction in the case of figurative, mixed or three-dimensional
marks; for other signs, a graphic representation thereof;
specification of the products or services that are to be distinguished by the mark, with an
indication of their class; and
a power of attorney or a general or special power if the applicant does not appear in person.
The applicant or his attorney shall elect domicile in the capital of the Republic of Paraguay.Legal persons shall be represented by an attorney, who shall be an approved industrial
property agent.
Article 6. In the public interest, the Industrial Property Directorate may refuse to register an
identical mark or a mark that is very similar to another mark registered for the same product orservice, notifying the applicant accordingly, even if the owner of the registered mark gives his
consent. Where total rejection is not justified, the registration applied for may be granted for only
some of the products or services indicated in the application or may be restricted to certain products or
services.
Article 7. Registration of marks shall only be granted for a single class of the official
nomenclature. Registration of marks in several classes shall required a separate application for eachclass.
Article 8. Specification of the products shall not be required where registration of a mark is
sought for all the products included in one of the classes of the official nomenclature. In the case of
applications for service marks, specification shall be compulsory.
Article 9. Owners of registrations may at any time request that the list of products or services
covered by the registration of the mark be curtailed or restricted or that a material error in the
registration granted be rectified.
Article 10. Where the designation on a label or drawing whose registration is being sought
shows the name of a product or service, the mark shall only be valid for the product or service
indicated thereon.
Article 11. The Industrial Property Directorate shall assign a date of filing to the application.
As a minimum, the latter shall contain the identifi cation and address of the applicant, together with
the requirements, specified in subparagraphs (b) and (c) of Article 5, which shall distinguish the mark.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
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Article 12. The right of priority to obtain registration of a mark shall be determined by the
date and time of filing with the Industrial Property Directorate. Priority may be claimed in the
application for registration on the basis of a prior registration application for the same mark and the
same products or services as a result of any filing in a State bound by a treaty or agreement to whichParaguay is also a party.
Article 13. Following completion of the legal requirements and at the expiry of the
prescribed periods, if none of the impediments to registration laid down in this Law applies, the
Industrial Property Directorate shall register the mark subject to payment of the relevant taxes and
fees. If registration is refused, the decision shall be substantiated.
Article 14. The Industrial Property Directorate shall issue a certificate of registration of the
mark containing the relevant information, as well as the information required by the regulatory
provisions.
Rights that the owner of a mark acquires with registration
Article 15. Registration of marks pursuant to this Law shall give their owners the right to
take the necessary action and measures before the competent judicial authorities against any person
who infringes their rights. It shall also grant the right to oppose the registration or use of any other
sign which may directly or indirectly cause confusion or any association between the products orservices, irrespective of the class in which they appear, provided that they are related to each other.
Article 18. Owners of marks for products or se rvices registered abroad shall enjoy the
guarantees provided by the Law after the marks have been registered in Paraguay. Owners or their
duly authorized agents shall be the only persons entitled to apply for registration.
Article 19. Registration of marks shall be valid for ten years and may be extended
indefinitely for further ten-year periods, provided that their renewal is requested within the year
preceding their expiry and subject to completion of the same formalities as those required for
registration. The new term shall be computed from the date of expiry of the preceding registration.
Renewal may be requested within a grace period of six months after expiry, subject to payment of the
surcharge specified, in addition to the corresponding renewal fee.
Other rights enjoyed by the owner of a mark include those established in Chapter VI of the
Law on Marks which deals with "Licences to use marks" (Articles 31-38) and Chapter VII of the
same Law which concerns "Assignment and transfer of rights in marks" (Articles 39-45).
Article 31. Owners of registered marks may grant written licensing contracts to use a mark,
either for all or some of the products or services it covers.
Article 39. Rights in registered marks or marks that are the subject of registration
applications may be assigned or transferred in respect to all or some of the products or services forwhich the application has been filed or the mark registered.
11. Please explain in detail how Paraguay's trademark and other laws provide for the
protection of well-known trademarks and service marks, citing the relevant provisions of law.
Article 2(g) reads: "Signs which constitute a reproduction, imitation, translation,
transliteration or transcription in full or in part of an identical or similar distinctive sign, well-known
to the public in the corresponding sector and belonging to a third party, irrespective of the products or
services to which the sign is applied, if its use and registration are liable to cause confusion or a riskIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 61
of association with this third party or mean taking advantage of the reputation of the sign or
weakening its distinctive character, irrespective of the manner or way in which the sign was made
known, may not be registered as trademarks."
Article 18 reads: "Owners of marks or products or services registered abroad shall enjoy the
guarantees provided by the Law after the marks have been registered in Paraguay.
Owners or their duly authorized agents shall be the only persons entitled to apply for
registration."
It should be noted that, constitutionally, in Paraguay in accordance with Kelsen's pyramid
international treaties take precedence over legislation, so that Article 6 bis of the Paris Convention
and Article 60.2 and 3 of the TRIPS Agreement apply.
12. Please describe in detail any limitations or special requirements that apply to trademark
rights under Paraguay's laws and indicate how those limitations take account of the legitimateinterests of the owner of the trademark and of third parties.
Articles 27, 28, 29 and 30 of the Paraguayan legislation impose limitations on trademark
rights and refer to the use of the registered mark.
Article 27. Use of marks shall be compulsory . At the request of the party concerned,
registration of a mark may be cancelled in the following cases:
(a) Where its use has not commenced within five years immediately following its
registration;
(b) where its use has been suspended for more than five consecutive years;(c) where, during the periods specified in the two preceding subparagraphs, it has been
used with substantial changes in its original distinctive character as defined on the
relevant registration certificate.
Cancellation shall not apply where use of the mark, or where applicable non-use of the mark,
has been justified by means of a final and enforceable judicial decision in previous proceedings within
the same period of five years specified in subparagraphs (a) and (b). Cancellation shall not apply
where absence of use is due to substantiated reasons of force majeure .
Registered marks not used in one class shall not be cancelled if the same mark has been used
when marketing a product or supplying a service in other classes.
Proceedings for cancellation due to failure to use shall be brought before the civil and
commercial judicial authorities. Persons who obtain a favorable decision on cancellation shall have apreferential right to registration if they file an application within three months following the date on
which the decision in question became final.
Article 28. Owners of registered marks shall be responsible for proving use of the mark. Use
shall be substantiated by any means of proof allowed by the law which shows that the mark has beenpublicly and effectively used.
Article 29. Registered marks shall be deemed to be used when the products or services which
they distinguish have been put on sale or are available on the market under the corresponding name,IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
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in the quantity and form which correspond to the nature of the products or services, the modes of sale,
and taking into account the size of the market.
Advertising the entry into the market of the products or services shall also be deemed use of
the mark, provided that such use actually occurs within four months following the start of the
advertising campaign.
Article 30. Use of registered marks must be in the form in which they are registered, but if
such use differs in detail or in secondary elements this shall not be grounds for cancelling registration.
Use in relation to one or several products or services in a class shall imply justification of use for all
the products or services in the class.
13. Please indicate the length of the initial term of protection for a registered trademark
under Paraguay's trademark law and describe the conditions for renewing the registration and
the period of the renewal. Please cite to the relevant provisions of Paraguay's law.
Article 19. Registration of marks shall be valid for ten years and may be extended
indefinitely for further ten-year periods, provided that their renewal is requested within the year
preceding their expiry and subject to completion of the same formalities as those required for
registration. The new term shall be computed from the date of expiry of the preceding registration.
Renewal may be requested within a grace period of six months after expiry, subject to
payment of the surcharge specified, in addition to the corresponding renewal fee.
D. GEOGRAPHICAL INDICATIONS
14. Please describe in detail how and under what laws geographical indications are
protected in Paraguay and cite to the relevant provisions of law.
Geographical indications are protected by the following Articles of Title I, Chapter XI of
Law 1294/98 on Marks:
Article 57. Geographical indications are any signs which identify products as having
originated in a country, region, locality or any other place, if the special characteristic of the productor its reputation can mainly be attributed to its geographical origin.
Article 58. Only producers, manufacturers or craftsmen carrying out their activities in the
place designated by the geographical indication may use the indication in trade for the product it
identifies. They shall have the right to prevent the geographical indication being used to identifyproducts of the same type which do not originate in the place designated by the indication.
Article 59. Use of a geographical indication in trade shall mean its use in advertising or any
other trade documentation relating to the sale, presentation or offer of products or services.
Article 60. Any interested party may bring legal proceedings to prevent the use of any means
which, in designating or presenting any product, i ndicate or suggest that the product comes from a
geographical region other than its actual place of origin, or any other use which constitutes an act of
unfair competition.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 63
15. Does the law of Paraguay regarding geographical indications provide for any of the
exceptions to protection of geographical indica tions contained in Article 24 of the TRIPS
Agreement, and, if so, please describe the way in which the exception is applied and cite to the
relevant provisions of law.
Title I, Chapter XI on Geographical Indications of Law 1294/98 on Marks does not provide
for any of the exceptions to protection of geographical indications contained in Article 24 of the
TRIPS Agreement.
E. INDUSTRIAL DESIGNS
16. Please describe in detail the way in which industrial designs, including textile designs,
are protected under Paraguay's laws and cite to the relevant provisions of law.
Industrial designs are protected by the following Articles of Law 868/81 and
Decree 30.007/82:
Article 1. Any combination of lines and col ours or any three-dimensional arrangement of
lines and colours intended to give a special appearance to an industrial or craft product and used as a
model for its manufacture shall be deemed to be an industrial design.
Article 2. Industrial designs may be registered if they are new, not used merely for obtaining
a technical effect and are not contrary to ordre public or morality.
Article 4. The right to obtain legal protection belongs to the creator of the design or his
successors in title. The creator is presumed de facto to be whoever first applies or claims priority for
registration and, accordingly, for the rights accorded by this Law.
Article 5. Rights in industrial designs created by persons in dependent employment shall be
determined in accordance with the provisions of the Labour Code concerning inventions, the creator
always having the right to be mentioned in the Register.
Article 6. The rights accorded by this Law shall be independent of any that may be obtained
under the legal copyright regime, subject only to the limitation established in Article 41 of this Law.
Article 7. The protection granted by registration shall run for five years from the date of
filing of the application and may be renewed for two consecutive periods of the same duration.
Article 8. The owner of an industrial design registered abroad shall have a period of six
months from registration in the country of origin to assert his priority right by filing the corresponding
registration application, subject to the provisions of this Law.
Remark: With reference to Article 2 and textile designs, the provision relates to the
ornamentation and patterns on the fabric or designed into it, i.e. not to the fibre or the fabric in itself,however novel.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
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F. PATENTS
17. Please explain whether or not inventions within the categories specified below are
eligible to be patented under Paraguay's law if they are novel, involve an inventive step, and are
industrially applicable:
(a) Process inventions which, in whole or in part, consist of steps that are performed
by a computer and are directed by a computer program;
Computer programs are protected on the same terms as literary works in accordance with
Title VII, Chapter II "Computer Programs" of La w No. 1328/99 on Copyright and Related Rights and
Article 10 of the TRIPS Agreement.
(b) Product inventions consisting of elements of a computer-implemented invention
including:
(i) machine-readable computer program code stored on a tangible medium
such as a floppy disk, computer ha rd drive or computer memory; or
(ii) a general purpose computer whose novelty over the prior art arises
primarily due to its combination with a specific computer program;
(i) (ii) If they meet the requirements of Article 3 of the Patent Law, they are patentable.
(c) process inventions that facilitate the conduct of business;
They are protected by copyright like any intellectual creation.
(d) micro-organisms of all kinds.
Provided they meet the requirements of Article 3 of the Patent Law, micro-organisms are
patentable under Article 5(b) of that Law.
Follow-up questions
1. Please explain whether and how an invention involving the innovative use of a product,
previously patented for a different use, may be patented if that use is new, involves an inventive
step, and has industrial applicability.
If the use it is wished to patent is not covered by the state of the art or is in the public domain,
according to the definition provided by the applicant, it may be protected under the Law on Patents
for Invention, Law No. 1630 of 29 November 2000, provided that it meets the requirements laid down
in Article 3 of that Law, which provides as follows:
"Article 3. Patentable subject-matter. New inventions of products or processes that involve
an inventive step and have industrial applicability shall be patentable."
2. We would be interested to learn of the reasons that have caused Paraguay to decide to
delay until 1 January 2003 providing patent protection for agricultural chemicals andpharmaceutical products.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 65
As was mentioned in the introductory statement, the process of updating national legislation
on intellectual property, in particular the Law on Patents for Invention, was the subject of extensive
discussion with all the sectors concerned.
Paraguay has availed itself of the right granted to it by Article 65.4 of the TRIPS Agreement,
in accordance with the agreement reached at the tim e of ratification of the instruments resulting from
the Uruguay Round. Furthermore, we have foregone the five-year delay allowed under the provision
in question, and this decision to grant patents for areas of technological subject-matter not previously
protectable, and to start doing so from 1 January 2003, is directly related to a sovereign decision on
national policy in this field.
18. Please identify any exceptions to the righ ts conferred by a patent in Paraguay and
indicate the manner in which the law of Par aguay ensures that such exceptions do not
unreasonably conflict with a normal exploitation of the patent and do not unreasonably
prejudice the legitimate interests of the patent ow ner, taking account of the legitimate interests
of third parties.
The only exceptions to the rights conferred by patents are those laid down in Article 34 of the
Patent Law.
Article 34. Limitations on the patent right and exhaustion of the right.A patent shall not confer the right to prevent:(a) Acts carried out exclusively to experiment with the subject-matter of the patented
invention, for non-commercial purposes;
(b) acts carried out exclusively for the purposes of teaching or scientific or academic
research;
(c) commercial acts carried out by a third party with respect to a product protected by the
patent once it has been lawfully introduced into the commerce of any country by the
owner of the patent or by another person having the consent of the owner or beinglegally empowered to do so;
(d) the invention being used before the expiration of the patent for experimental purposes
and with a view to gathering information required for the approval of a product by the
competent authority, for marketing afte r the expiration of the patent; and
(e) the rights conferred by a patent may not be asserted against someone who, in good
faith and before the filing date or, where appropriate, the priority date of the
corresponding patent application, was already producing the product or publicly using
the process that constitutes the invention in the country, or had already madepreparations for such production or use.
19. Please describe any provisions for compulsory licensing of patents in Paraguay's law
and explain how Paraguay ensures that each of the conditions in Article 31 of the TRIPS
Agreement is met in relation to any compulsory li cences. Please cite to the relevant provisions
of law.
Chapter VI of the Patent Law, recently approved by Congress, concerns compulsory licences
and other use without authorization of the right holder. Articles 42, 43, 44, 45 and 46 of Chapter VIIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 66
"On compulsory licences and other use without author ization of the right holder" of Paraguay's draft
Patent Law specify the grounds for granting compulsory licences. Articles 48, 49 and 50 of the same
draft "Conditions relating to compulsory licensing" incorporate the requirements under Article 31 of
the TRIPS Agreement.
Article 42. Compulsory licences and other use for non-exploitation. Any interested party
may request a compulsory licence from the Industrial Property Directorate three years after the grant
of the patent or four years after the filing of the application, whichever is the later, if the invention has
not been exploited or no serious and effective preparations have been made to exploit it or if
exploitation has been suspended for a period of more than one year, provided that the non-use is not
attributable to force majeure .
In addition to those recognized as such by law, grounds for claiming force majeure shall be
deemed to include objective difficulties of a techni cal and legal nature, such as delay in obtaining the
patent from the Industrial Property Directorate, which lie outside the control of the patent holder and
render the exploitation of the invention impossible.
If they lie outside the control of the patent holder, lack of technical or economic resources and
the economic non-viability of exploitation shall also be deemed to be sufficient justification.
For these purposes, the exploitation of the patent by a licensee or representative shall be
deemed to be exploitation by the holder.
Article 43. Compulsory licences or other use wi thout authorization of the holder for reasons
of public interest. The Government may, without the authorization of the patent holder, grant
compulsory licences or other use, the scope and duration of which shall be fixed in the correspondingdecree, in health emergencies or for reasons of defence or national security, for the socio economic
and technological development of certain strategic sectors and where exceptional circumstances may
harm the national interest.
Article 44. Compulsory licences for anti-competitive practices. By express resolution, the
Industrial Property Directorate may grant compulso ry licences if the competent authority, in the
proceeding that accords the holder the right of defence and other guarantees, has determined that thelatter has engaged in anti-competitive practices, abuse of the rights conferred by the patent or abuse of
a dominant market position.
For the purposes of this Law, the following, among others, shall be deemed to be anti-
competitive practices:
(a) The fixing of comparatively excessive prices with respect to the international market
average for the patented product;
(b) the existence of offers to supply the mark et at prices significantly lower than those
offered by the patent holder;
(c) refusal to supply the local market adequately and regularly with the raw materials or
the patented product on reasonable commercial terms;
(d) hindering commercial or productive activities;
(e) if the efficient national exploitation of a patented invention that contributes to
technological development is impeded or prevented by the patent holder; andIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 67
(f) the other cases contemplated by special laws.
Article 45. Licences to exploit dependent patents. A compulsory licence shall be granted to
permit the exploitation of a new patent - second patent - which cannot be exploited without infringing
another patent - first patent, provided that the following conditions are fulfilled:
(a) The invention claimed in the second patent involves an important technical advance
in relation to the invention claimed in the first patent;
(b) the owner of the first patent is entitled to obtain a cross-licence on reasonable terms to
use the invention claimed in the second patent; and
(c) the use authorized in respect of the first patent is non-assignable except with the
assignment of the second patent.
Article 46. Compulsory licence application procedure and requirements. The applicant for a
compulsory licence or other use without authorization of the right holder shall satisfy the Industrial
Property Directorate that he has previously requested an ordinary licence from the holder and has
been unable to obtain one on reasonable commercial terms and within a reasonable period of time.
This requirement may be waived in cases of national emergency or circumstances of extreme
urgency or in cases of public non-commercial use, but in such cases the patent holder shall be
informed of the granting of the licence without delay.
The compulsory licence application shall indicate the conditions on which the licence is being
sought.
The compulsory licence application shall be sent to the patent holder for a fixed period of
30 days, upon the expiry of which, if there has been no express objection, it shall be deemed to have
been accepted.
Once this procedure has been completed, the Industrial Property Directorate shall, within a
mandatory period of 30 calendar days, issue a reasoned decision granting or rejecting the compulsory
licence application submitted.
The decision granting the compulsory licence or other use without authorization of the patent
holder shall be entered in the register of the Industrial Property Directorate and published. It shalltake effect against third parties as from registration.
In all cases, decisions relating to use not authorized by the patent holder shall be subject to
judicial review, as shall the question of the corresponding remuneration, where appropriate. During
judicial review precautionary measures that affect the validity or terms of the licence granted may notbe imposed and may only be considered in the corresponding judgement.
Appeals based on administrative acts relating to the granting of compulsory licences or other
use shall not have suspensive effect.
Article 48. Conditions relating to the compulso ry licence. The patent holder who is the
subject of a compulsory licence shall receive adequate remuneration according to the circumstances of
the case, the economic value of the licence and the average royalties paid in the sector concernedIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 68
under commercial licensing agreements between independent parties. In the absence of agreement,
the amount and method of payment of the remuneration shall be fixed by the administrative authority.
Anyone applying for a compulsory licence must show that he possesses the technical and
economic capacity to proceed with its exploitation. The technical and economic capacity shall be
assessed by the corresponding national authority designated by the Industrial Property Directorate for
each specific branch of activity, which shall produce a corresponding report.
A compulsory licence may not be exclusive, may not be assigned or sub-licensed and may
only be transferred with the enterprise or establishment or with that part of the enterprise or
establishment which exploits the licence.
Licences shall be granted predominantly for the supply of the domestic market.The holder of a compulsory licence or his successor-in-title may bring legal proceedings, in
his own name, against infringers of the patent. The holder of the patent shall receive prior notificationof this action and shall have the option to join the proceedings.
Article 49. Grant of a compulsory licence. The decision to grant a compulsory licence shall
stipulate, where appropriate:
(a) The scope of the licence, including its duration and the acts for which it is granted,
which shall be limited to the purposes for which it was sought;
(b) the amount and method of payment of the remuneration due to the patent holder. For
the purposes of determining the amount, the circumstances of the case, the economicvalue of the licence and the average royalties paid in the sector concerned under
commercial licensing agreements between independent parties shall be taken into
account; and
(c) the conditions necessary for the licence to fulfil its purpose.If the patent protects semiconductor technology, use shall be authorized only in accordance
with the provisions of subparagraph (a) of the preceding paragraph and only for public non-
commercial use.
Once a compulsory licence has been granted, the patent holder shall be obliged to provide the
licensee with all the information necessary to exploit the subject-matter of the licence.
Article 50. Revocation and modification of a compulsory licence. A compulsory licence may
be revoked, in whole or in part, by the judicial authority, at the request of any interested party, if the
beneficiary of the licence does not fulfil his obligations or if the circumstances which led to the
granting of the licence cease to exist and are unlikely to recur. In this latter case, the judicial authority
may take the steps necessary to provide adequate protection for the legitimate interests of the licensee
affected by the revocation.
A compulsory licence may be modified by the judicial authority, at the request of an
interested party, if justified by new facts or circumstances, and in particular if the patent holder hasgranted contractual licences on terms more favourable than those accorded to the beneficiary of the
compulsory licence.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 69
20. Please indicate the number of compulsory licences issued under Paraguay's patent law
in each of the last five years.
No compulsory licence has been granted in the last five years.
21. Article 33 of the TRIPS Agreement requires that patents have a term of protection that
does not end before a period of 20 years measured from the date of filing. Please describe the
term of protection for patents available under Paraguay's patent law and indicate if there is any
variation in that term, based upon the area of technology to which the patent relates. If so,
please indicate what the variations are and for what technologies and describe Paraguay's plans
to bring its law into compliance with Articl e 27.1, which prohibits discrimination in the
enjoyment of patent rights based on the field of technology.
Patents have a term of protection of 20 years from the filing date.
22. Please verify that the terms of all patents in existence in Paraguay on 1 January 2000,
will not end before the expiration a period of twenty years measured from the date of filing.
The Constitution of the Republic of Paraguay establishes the principle of non-retroactivity of
laws except for those of a criminal nature that favour the defendant. Therefore patents granted under
the new law will have a term of 20 years.
23. Please describe in detail any limited exceptions to patent rights that exist under
Paraguay's laws and indicate what safeguards are used to ensure that such limited exceptions
do not unreasonably conflict with a normal exploitation of the patent and do not unreasonably
prejudice the legitimate interests of the pate nt owner, taking into account the legitimate
interests of third parties.
The only exceptions to the subject-matter protected by patents are those for which Article 5 of
the Patent Law provides.
Article 5. Subject-matter excluded from patent protection. The following subject-matter is
excluded from patent protection:
(a) Inventions whose commercial exploitation must be prevented in order to protect
public order or morality, protect human, animal or plant life or health or to avoid
serious prejudice to the environment; and
(b) plants and animals other than micro-organisms, and essentially biological processes
for the production of plants or animals ot her than non-biological and micro-biological
processes.
Products or processes included in the state of the art, within the meaning of this Law, may not
form the subject-matter of a new patent merely because they have been put to a use different from that
contemplated by the initial patent.
International treaties rank above the laws of the Republic and take precedence over them.
This is the safeguard which ensures that there will be no conflict with the normal exploitation of thepatent and no prejudice to the legitimate interests of the owner or third parties.
In the Paraguayan legislation on the protection of new plant varieties, the existing exception is
established by Articles 34 and 36 of Law No. 385/94, which read:IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
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Article 34. The protection of a cultivar shall not prevent third parties from using it for
experimental purposes or for creating a new cultivar, which may be registered in the name of its
creator without the consent of the breeder of the original cultivar used to obtain it, provided that theoriginal cultivar is not used permanently to produce the new one.
Article 36. The Ministry of Agriculture and Livestock, at the proposal of the Seeds
Directorate and subject to the opinion of the National Seeds Council, shall declare the protected
cultivar of "limited public use" if this is found necessary to ensure an adequate supply of seeds, and
the breeder is not satisfactorily meeting public needs. The proposal shall include the duration of the
limited use declaration. If necessary, this period may be extended by a new resolution, in accordancewith the procedure laid down in this Article.
Article 9 of Law No. 988/96: Limitation on the exercise of protected rights, which reads:The free exercise of the exclusive right granted to the breeder may be limited only for reasons
of public interest.
When this limitation is imposed to ensure the dissemination of the variety, the interested State
of the Union shall adopt all the measures necessary for the breeder to receive fair remuneration.
Article 5 of Law No. 988/96: Protected Righ ts: Scope of protection, subparagraph 3, which
reads:
It shall not be necessary to obtain the author ization of the breeder to use the variety as an
initial source of variation with a view to the creation of other varieties nor for marketing the latter.On the other hand, such authorization shall be required if it is necessary to make repeated use of the
variety for the commercial production of the other variety.
Article 22 of Decree 7797/00, which reads: Th e declaration of "Limited Public Use" of a
cultivar provided for in Article 36 of Law No. 385/94 shall have effect for a period of not more than
two (2) years. This period may be extended by another period of equal length only by means of a new
reasoned resolution of the Ministry of Agriculture and Livestock, subject to the opinion of theNational Seeds Commission (CONASE).
24. Please describe in detail the manner in which plant varieties are protected under
Paraguay's laws and cite to the relevant provisions.
In Paraguay, plant varieties are protected by Law No.385/94 on Seeds and Protection of
Cultivars (Chapter IV, National Registry of Protected Cultivars).
Article 22. The National Registry of Protected Cultivars is hereby established within the
Seeds Directorate for the purpose of safeguarding breeders' rights.
Article 23. The rights of the breeder consist in the production and marketing of seed of the
protected variety being subject to the prior author ization of the breeder, except in the circumstances
envisaged in Article 37. The authorization granted by the breeder shall be communicated by the latter
to the Seeds Directorate.
Article 24. Varieties and lines of the following species are protected by this Law: Cotton
(Gossypium spp), rice (Oriza sativa L.), canola (Brassica napus), sunflower (Helianthus annus L.),
maize (Zea mays L.), soya (Glycine max (L.) MERRIL), sorghum (Sorghum spp.) and wheatIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
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(Triticum spp.). The species mentioned in this Article may be included in the Register by resolution
of the Ministry of Agriculture and Livestock, at the proposal of the Seeds Directorate, subject to a
report by the Cultivar Qualification Technical Committee, in so far as the needs of national
agriculture so require.
Article 25. Cultivars may be registered in the National Register of Protected Cultivars if they
meet the requirements laid down in Article 12 and, moreover, fulfil the condition of:
Novelty: A variety shall not be deemed to be new for the purposes of this Law if prior to the
filing of the registration application it has been sold or disposed of to third parties by or with the
consent of the breeder within the national territory, or within the territory of another State has beensold or disposed of to third parties by or with the consent of the breeder for more than six years prior
to the filing of the registration application in the case of vines, forest trees, fruit trees and ornamental
trees or more than four years in the case of other species.
Varieties disposed of to third parties for trial purposes shall not affect the right of the breeder
to protection.
Article 26. For registration in the National Register of Protected Cultivars the cultivar must
have a unique denomination that enables it to be distinguished from any other. The denomination
may not consist solely of numbers or be a source of error or confusion with respect to thecharacteristics of the cultivar or the identity of the breeder. Other requirements relating to the
denomination shall be specified in the regulations.
Article 28. The denomination of a protected va riety may not be the subject of a trademark.
This shall not prevent the breeder from adding a trademark to the denomination of a variety formarketing purposes.
The names of varieties that enter into public use shall have this same character, even in cases
in which they are registered as trademarks.
Article 29. The request for registration in the National Register of Protected Cultivars shall
have the character of a sworn statement and must be endorsed by an agricultural or forestry engineerwith a national or validated degree, enrolled in the National Register of Agricultural and Forestry
Engineers. It shall list the requirements mentioned in Articles 12 and 25 and indicate the progenitors
of the new cultivar. The other requirements of the application shall be specified in the regulations.
Article 30. The Technical Committees referred to in Article 16 shall assess the cultivars
whose registration is requested by verifying and/or ascertaining compliance with the requirements of
Articles 12 and 25.
If the assessment is favourable, the Ministry of Agriculture and Livestock, at the proposal of
the Seeds Directorate, shall grant a breeder's certificate valid for 15 to 20 years, depending on thespecies or group of species and in accordance with the regulations. The certificate shall include the
dates of issue and expiry.
The Seeds Directorate may, if it thinks fit, cultivate the variety or carry out other necessary
tests or take into account the results of cultivation trials and other tests already carried out for thepurpose of confirming compliance with Articles 12 and 25. Moreover it may require the breeder to
provided any necessary information, document or material, which must be available to the
implementing authority as long as the breeder's certificate remains in effect.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
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Under Decree No. 7797/2000:
Article 16. The variety denomination (Article 26 of Law No. 385/94) shall be different from
any denomination designating a pre-existing variety of the same botanical species or a similar species.
In the event of it being registered in another State, whether in a register of protected varieties
or in a register or list of varieties suitable for marketing, the denomination proposed for the variety
must be identical.
The proposed denomination shall not infringe the prior rights of third parties. If, under a prior
right, a person who is obliged to use a variety denomination is prohibited from using it, DISE shallrequire the breeder to propose another denomination for the variety within not more than thirty (30)
days of being notified of the rejection.
If the proposed denomination is found not to satisfy the requirements mentioned in this
Article, DISE shall refuse to register it and shall require the breeder to propose another denominationwithin the time-limit previously indicated.
Article 17. The application and registration in the National Register of Protected Cultivars
(Article 29 of Law No. 385/94) shall have the char acter of a sworn statemen t and shall comply with
the following requirements:
Name, identity number and address of the plant improver, if a person. Name and address of
the breeder and his national representative legally registered in the country, where appropriate.
Common and scientific names of the species. Proposed name of the variety. Establishment and place
where the variety was bred.
The description shall include the morphological, physiological, sanitary, penological,
phytochemical and industrial or technological characteristics that enable identification. It shall be
accompanied by drawings, photographs or any other technical element generally accepted for
illustrating the morphological aspects.
Justification of novelty, indicating the date of commencement of marketing of the variety in
the country or abroad.
Justification of distinctiveness, indicating the reasons why the variety is considered new and
unprecedented, and different from existing varieties.
Verification of stability, the date on which the variety was multiplied for the first time as
such, with confirmation of its stability or durability.
Indication of the progenitors of the new cultivar.
The origin, domestic or foreign, and in the latter case the country of origin, the date of
registration of the cultivar in the ownership register of the country of origin and a copy of the
corresponding certificate of ownership.
The mechanism of reproduction or propagation.Additional information on the species as required under DISE regulations.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
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All documentation submitted with the application shall be certified by the competent
authority and, in the case of documents of foreign origin authorizing the exercise of a particular kind
of right inherent in the variety whose registration is requested (certificates, powers, contracts, etc.),
accompanied by a translation made by an approved public translator, Paraguayan consularcertification of the country of origin and appropriate authentication.
Once the Ministry of Agriculture and Livestock has taken a favourable registration decision,
DISE shall proceed to register the cultivar in the RNCP and shall grant a breeder's certificate, subject
to payment by the interested party of the application and registration fees specified in Article 1 (b) of
Decree 19.975/98 and these Regulations, together with the annual maintenance fee stipulated in that
Decree.
Through DISE, the Ministry of Agriculture and Livestock shall issue procedural rules for the
registration of cultivars in the corresponding Register.
The rules to be issued shall not affect the right of third parties to raise objections, as they
think fit.
Law No. 988/96 approving the International Convention for the Protection of New Varieties
of Plants (UPOV, Act of 1978).
Statistics on the Protection of Cultivars
Protected Varieties
Species Varieties Year Origin
2 1997 Domestic Soya
3 2000 Foreign
1 1999 Domestic Cotton
1 1999 Foreign
Forage 4 2000 Domestic
Tomatoes 1 2000 Domestic
Applications Being Processed
Species Varieties Origin
Soya 14 Foreign
Wheat 3 Domestic
Cotton 5 ForeignIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
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Applications Rejected
Species Varieties Year Origin
Cotton 2 1999 Argentina
G. LAYOUT DESIGNS (TOPOGRAPHIES ) OF INTEGRATED CIRCUITS
25. Please describe how Paraguay implements the obligations of Section 6, Part II of the
TRIPS Agreement and cite to relevant provisions of law.
The national government is preparing a draft law which will be submitted to the National
Congress for consideration and approval as soon as possible. This is part of the process of
modernizing the intellectual property legisl ation and adapting it to the TRIPS Agreement.
H. PROTECTION OF UNDISCLOSED INFORMATION
26. Paragraph 2 of Article 39 of the TRIPS Agreement requires Members to provide
protection for all undisclosed information, including technical know-how and commercial
information, which meets certain criteria. This protection must endure as long has the
conditions identified in paragraph 2 of Article 39 are met and protection cannot be conditionedon registration. Please explain how Paraguay fu lfils this obligation and cite to the relevant
provisions of law.
The national Government is preparing a draft law that provides for the protection of
undisclosed information. Pending the approval of this law, which is consistent with the provisions of
Section 7 "Protection of Undisclosed Information, Article 39 of the TRIPS Agreement, the saidprovisions will be applied in keeping with the constitutional status accorded to international treaties
and agreements.
27. Please describe in detail the measures that can be taken by judicial authorities in
Paraguay to protect the confidentiality of undisclosed information furnished by a party to the
court during legal proceedings, as required by Article 42 of the TRIPS Agreement, when the
information has been provided either to enfor ce rights in such information, or for other
purposes.
See the response to question 26.
28. Paragraph 3 of Article 39 of the TRIPS Agreement requires that Members protect
certain test data associated with requests to obtain approval to market pharmaceutical and
agricultural chemical products from disclosure and from "unfair commercial use." Please
explain how Paraguay implements this obligation, and in particular, please explain procedures
if any have been implemented to give practical effect to this obligation.
See the response to question 26.
29. Please explain in detail how Paraguay protects against disclosure test and other data
submitted to obtain marketing approval for pharmaceutical and agricultural chemical products
and cite to the relevant provisions of law.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
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See the response to question 26.
Follow-up question:
3. Please explain if and how the law of Par aguay prevents relevant Ministries from relying
on earlier submitted undisclosed data of one party to approve another party's request for
marketing approval of its agricultural, chemical or pharmaceutical product which is bio-
equivalent to the product of the first party.
Paraguay complies with Article 39.3 of the TRIPS Agreement by enforcing the obligation to
protect such data against unfair commercial use, as well as against disclosure.
However, our delegation will in due course provide a fuller reply within the time-limit laid
down in Annex 1, Procedure for Review of Legislation.
I. ENFORCEMENT
30. Please describe in detail what civil actions and what civil remedies are available under
Paraguay's laws to right holders of each kind of intellectual property covered by Part II of the
TRIPS Agreement, including plant variety protectio n, that permit effective action against any
act of infringement to prevent infringement and deter further infringement, and cite to the
provisions of law providing for those remedies.
Industrial designs
Law 868 – Chapter VIII
Article 32. "Without prejudice to petition for amparo , the holder of a registration has a right
of action against anyone who improperly exploits it, industrially or commercially. The action shall be
brought before the Commercial Court, for cessa tion of exploitation and the award of damages".
Copyright and related rights
Law 1328/98, Chapter I "Civil Action and Procedure"
Article 157. Any dispute that arises in connection with the implementation of this Law shall,
where no other procedure has been provided for, be investigated and settled in accordance with the
provisions of Title XII, on summary proceedings, of the Civil Procedure Code.
The Civil Procedure Code [ Código Procesal Civil ] shall apply subsidiarily in all matters not
provided for in this Chapter.
Article 158. The owners of any of the rights recognized by this Law, or their representatives
or the collective management bodies concerned, may without prejudice to such other actions as may
be available to them, seek the cessation of the unlawful activity of an infringer and demandcompensation for the material and moral damage caused by the violation, or the surrender of the
profits made by the infringer through the unlawful act, and the payment of procedural costs.
The compensation for material damage and prejudice shall include not only the amount that
should have been charged for the grant of the authorization, but also a minimum surchargecorresponding to 100% (one hundred per cent) of the said amount, except where the aggrieved partyIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 76
proves the existence of a greater prejudice, due account being taken of the income generated by the
infringer through the commission of the unlawful act.
Article 159. Cessation of the unlawful activity may include the following:Suspension of the infringing activity;prohibition of the infringer from resuming that activity;withdrawal from the market and de struction of the unlawful copies;
the disablement of moulds, plates, matrices, negatives and other material intended exclusively
for the reproduction of unlawful copies, and where necessary, the destruction of such
materials;
the removal of equipment used for the unauthorized communication to the public.The court may likewise order the publication of the declaratory portion of the sentence, at the
infringer's expense, in one or more periodicals.
Article 160. The court, at the request of the National Directorate of Copyright, the owner of
the rights concerned, his representative or the corresponding management body, shall order the
immediate implementation of the necessary precautionary measures to prevent the commission of the
infringement or the continuation or repetition of a violation already committed, including the
following in particular:
Seizure of the revenue derived from the unlawful activity or, where appropriate, the amounts
payable in remuneration;
immediate suspension of the unlawful manufacturing, reproduction, distribution,
communication or importation activity, as the case may be; and
confiscation of the copies produced or used and of the material or equipment used for the
infringing activity.
The precautionary measures provided for in this provision shall not preclude the adoption of
others provided for in ordinary legislation.
Article 161. The precautionary measures referred to in the foregoing Article shall be granted
by the judicial authority provided that evidence is given of the necessity of the measure or proof filed
that constitutes at least a presumption of the alleged violation of rights, without any counter-security
having to be provided.
The necessity of the measure or presumption of the alleged violation of rights may also arise
from the visual inspection that the court may order as a preparatory measure on the site of the
infringement.
Article 162. The precautionary measures mentioned in the foregoing Article shall be lifted by
the judicial authority where:IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 77
The person against whom the measure has been ordered provides security that is considered
sufficient by the court to guarantee the results of the proceedings, and the appeal has no
staying effect;
the party applying for the measures does not provide evidence of having started the procedure
leading to a decision on the merits of the case within a period of 30 consecutive days from
their having been ordered or implemented.
Article 163. The preventive measures provided for in the foregoing Article shall be applied
without prejudice to the obligation on the Directorate General of Customs to proceed with the seizure
at the border of all copies constituting a violation of any of the rights provided for in this Law, and tosuspend the free circulation of such material when attempts are made to import it into the territory of
the Republic.
The seizure measures shall not apply to a copy having no commercial character that is carried
in personal baggage.
Article 164. Owners of copyright may exercise all the rights relating to civil actions and
procedures provided for in this Chapter against a person who possesses, uses, designs, manufactures,
imports, exports or distributes, whether by sale, rental, lending or other means, any device or
computer program, or against a person who offers or renders a service whose purpose or effect is topermit or facilitate the avoidance of coding technology.
Marks
Article 84. Owners of the right to exclusive use of a registered mark or trade name may bring
proceedings before the judicial authorities against any person who infringes their right. The following
shall constitute infringement of the right of the owner of a registered mark:
Affixing or placing a mark or similar distinctive sign on products for which the mark has been
registered or on products related to the services for which the mark has been registered, or on
containers, wrapping, or packaging for such products;
removing or altering the mark for commercial purposes after it has been affixed or placed on
the products;
manufacturing labels, containers, wrapping or other materials which reproduce or contain the
mark or trade name, and marketing or possessing such materials;
filling or reusing containers, wrapping or packaging bearing the mark or trade name for
commercial purposes;
using in trade an identical or similar sign to the mark or trade name for any products or
services if such use may cause confusion or a risk of association with the owner of the
registration;
using in trade an identical or similar sign to the mark or trade name for any products,
services or activities if they might cause unjust economic or commercial prejudice to theowner because they weaken the distinctive char acter or the commercial or advertising value
of the sign or take undue advantage of the reputation of the sign or its owner; andIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 78
publicly using an identical or similar sign to the mark or trade name, even for non-
commercial purposes, if this might weaken the distinctive character or the commercial or
advertising value of the sign or take undue advantage of its reputation.
Article 85. The final judgement in a case of infringement may order that the following
measures be taken inter alia :
Cessation of acts constituting the infringement;payment of costs and court costs, as well as compensation for damages;
the attachment or confiscation of the infringing products, including containers, wrapping,
labels, printing or advertising material and other materials resulting from the infringement, as
well as materials and devices mainly used to commit the infringements;
a ban on the import or export of the infringing products, materials or devices; andthe measures required to prevent the continuation or repetition of the infringement, including
the destruction of the products, materials or devices used for this purpose, and a minimum
fine of 500 to 2,000 days wages to be paid to the Industrial Property Directorate.
Article 86. For the products bearing a falsified mark, the simple deletion or removal of the
mark shall not suffice to allow these products to be put on sale.
Article 87. At any time during the proceedings, the competent judicial authority may order
the defendant to furnish information in his possession concerning persons who have taken part inproducing or marketing the infringing products or services.
Article 88. The limitation period for action for infringement shall be two years after the
owner has been reliably informed of the infringement or four years after the latest infringement was
committed.
Patents
Article 73. Civil action for claiming patent rights. Where a patent or utility model has been
applied for or obtained by someone having no right to obtain it, or to the detriment of another party
who also possesses that right, the party affected may claim the right from the competent judicial
authority and request that the application being processed or the patent be transferred to him or that hebe recognized as co-applicant or co-owner of the right. The award of damages may be requested in
the same action.
The right of action shall lapse ten years after the date of granting of the patent or two years
from the date of first exploitation of the invention or utility model in the country, whichever periodexpires first. Where the patent was obtained in bad faith, the right of action shall not lapse.
Article 74. Civil action for infringement of pate nt rights. The holder of a patent may bring
the appropriate action before the competent judicial authority against anyone acting in violation of the
rights deriving therefrom as established in Article 33 of this Law.
In case of co-ownership, anyone of the co-owners may bring action for patent infringement
without having to obtain the consent of the other parties, unless otherwise agreed among the co-
owners.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 79
Protection of cultivars
With respect to action to prevent and suppress infringements of breeders' right, Chapter X on
Infringements and Sanctions of Law No. 385/94 specifies the breeder's rights in the event of an
infringement and the monetary penalties to be applied by the administrative authority. Specifically, in
the preamble to Law No. 385/94 on Seeds and the Protection of Cultivars it is stated that the rules of
the Civil Code shall be applicable. The text of the latter contains the civil and commercial rules on
infringements of breeders' rights, including the general rules on the award of damages.
31. Please state whether decisions on the merit in court proceedings are provided in writing
and if those written opinions are available to the public so that people can become familiar with
the law.
Court decisions are always in writing. In accordance with the New Penal Code and the New
Code of Criminal Procedure, introduced in March 2000, proceedings are oral and public. In
accordance with Transition Law 1.444/99, with respect to precautionary measures, indemnificationsettlements, accelerated procedure and additional stay of proceedings are put partially into effect in
the Code of Criminal Procedure.
Under the New Code of Criminal Procedure conciliation will enter into effect (Article 311).
Decisions are provided in writing and are public. Access to these decisions is available to
everyone.
32. Please describe what civil provisional measures are available to right holders under
Paraguay's laws, describe the procedures that must be followed and cite the relevant provisions
of law.
Industrial models
Articles 34, 35, 36, 37 and 38 of Chapter VIII
Article 34. "Articles or parts thereof incorporat ing industrial designs found to be in violation
by the courts shall be destroyed, unless the owner of the registered design agrees to take them at costto set against the amount due by way of indemnificat ion and restitution. Destruction and seizure shall
not extend to goods delivered by the infringer to buyers in good faith".
Article 35. "The offences listed in Article 33 shall be privately prosecutable. No civil or
criminal action may proceed unless the initial complaint is accompanied by the certificate ofregistration of the design invoked as the basis for the civil or criminal action".
Article 36. "As a preliminary measure prior to the institution of court proceedings and as
proof of the illegal act, the owner of a design regi stration who has knowledge that in a shop, factory or
other premises designs which he owns are being exploited for industrial or commercial purposes mayrequest the court, having posted sufficient security, to seize a copy of the infringing articles.
The court shall issue the relevant order within 24 hours and shall appoint a bailiff to make the
seizure; at the same time a detailed inventory shall be taken of the articles found to be in violation."
Article 37. "If the holder of these articles is not the manufacturer thereof, he shall provide the
owner of the design with such explanations as may be necessary to enable him to take legal actionIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 80
against the illegal manufacturer. If the holder should refuse to provide such information or should
provide false or misleading information, such holder may not thereafter allege good faith."
Article 38. "If the defendant should express the desire to continue industrial or commercial
exploitation of the design in dispute, the plaintiff may initiate a separate action to demand the posting
of security to allow such exploitation to proceed without interruption. If no such security is posted,
the plaintiff may petition for the suspension of exploitation and the attachment of any questionable
articles in the possession of the defendant, provided he posts real-property security in the amount to
be determined by the court taking into consideration the value of the goods involved."
Marks
Law 1294, Chapter I - Civil and Criminal Proceedings for Infringement, Articles 85, 86 and
87.
Article 85. The final judgement in a case of infringement may order that the following
measures be taken inter alia :
Cessation of acts constituting the infringement;Payment of costs and court costs; as well as compensation for damages;The attachment or confiscation of the infringing products, including containers, wrapping,
labels, printing or advertising material and other materials resulting from the infringement, as
well as materials and devices mainly used to commit the infringement;
A ban on the import or export of the infringing products, materials or devices; and
The measures required to prevent the continuation or repetition of the infringement, including
the destruction of the products, materials or devices used for this purpose, and a minimum
fine of 500 to 2,000 days' wages to be paid to the Industrial Property Directorate:
Article 86. For products bearing a falsified mark, the simple deletion or removal of the mark
shall not suffice to allow these products to be put on sale.
Article 87. At any time during the proceedings, the competent judicial authority may order
the defendant to furnish information in his possession concerning persons who have taken part in
producing or marketing the infringing products or services.
Copyright and related rights
Law 1328/98, Title XIV – Judicial Action and Procedure, Articles 159, 160, 161 and 162.
Article 159. Cessation of the unlawful activity may include the following:
Suspension of the infringing activity;prohibition of the infringer from resuming that activity;withdrawal from the market and de struction of the unlawful copies;IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 81
the disablement of moulds, plates, matrices, negatives and other material intended exclusively
for the reproduction of unlawful copies and, where necessary, the destruction of such
material;
the removal of the equipment used for the unauthorized communication to the public.
The court may likewise order the publication of the declaratory portion of the sentence, at the
infringer's expense, in one or more periodicals.
Article 160. The court, at the request of the National Directorate of Copyright, the owner of
the rights concerned, his representative or the corresponding management body, shall order theimmediate implementation of the necessary precautionary measures to prevent the commission of the
infringement or the continuation or repetition of a violation already committed, including the
following in particular:
Seizure of the revenue derived from the unlawful activity or, where appropriate, the amounts
payable in remuneration;
immediate suspension of the unlawful manufacturing, reproduction, distribution,
communication or importation activity, as the case may be;
confiscation of the copies produced or used and of the material or equipment used for the
infringing activity;
the precautionary measures provided for in this provision shall not preclude the adoption of
others provided for in ordinary legislation.
Article 161. The precautionary measures referred to in the foregoing Article shall be granted
be the judicial authority provided that evidence is given of the necessity of the measure or proof filed
that constitutes at least a presumption of the alleged violation of rights, without any counter-security
having to be provided.
The necessity of the measure or presumption of the alleged violation of rights may also arise
from the visual inspection that the court may order as a preparatory measure on the site of the
infringement.
Article 162. The precautionary measures mentioned in the foregoing Article shall be lifted by
the judicial authority where:
The person against whom the measure has been ordered provides security that is considered
sufficient by the court to guarantee the results of the proceedings, and the appeal has no suspensive
effect; the party applying for the measures does not provide evidence of having started the procedure
leading to a decision on the merits of the case within a period of 30 consecutive days from theirhaving been ordered or implemented.
Patents
Chapter 3 - Provisional measures, Articles 80, 81 and 82.Article 80. Adoption of provisional measures. In judicial proceeding for patent infringement,
at the request of a party and if the application is prima facie plausible, the court may order provisional
measures for the purpose of preventing further injury, obtaining or preserving evidence, ensuring theIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 82
effectiveness of the action and compensation for in jury, and preventing other infringements. The
applicant shall provide proper security for the provisional measures requested. The party affected
may continue production subject to the provision of security or other sufficient assurance.
Provisional measures may be requested before, after or upon bringing the action.
Provisional measures include:(a) Immediate cessation of the acts that constitute the infringement;(b) attachment or confiscation of the products resulting from the infringement and of the
materials and means used predominantly for committing the infringement;
(c) suspension of the importation or exportation of the products, materials or means
referred to in subparagraph (b).
At any moment during the proceedings, the competent judicial authority may order the
defendant to provide any information he may have concerning persons involved in the production or
marketing of the infringing products or processes.
Article 81. Guarantees and conditions relating to provisional measures. A provisional
measure shall only be ordered if the applicant can prove his lawful right to act and the existence of the
right infringed and provide evidence that reliably supports a presumption of infringement or the
imminence thereof. The court may require the pe rson requesting the measure to provide security or
sufficient assurance before ordering the measure.
Anyone requesting a provisional measure in respect of particular goods shall provide the
information necessary and a description sufficiently precise to enable the goods to be identified.
Code of Civil Procedure - Provisional Measures and Counter-Security, Articles 691 to 730.Article 691. TIMELINESS. Provisional measures may be requested before or after an action
is brought, unless it follows from the law that an action must be brought first.
Article 692. POWERS OF THE COURT. To prevent the owner of the goods suffering
unnecessary injury or inconvenience the court may order a provisional measure different from that
requested or limit the measure, taking into account the importance and nature of the right it is
intended to protect.
Article 694. ENFORCEMENT AND APPEAL. Once a provisional measure has been
ordered, it shall be enforced without further formalities and without it being necessary to hear the
opposing party, who in any case shall be notified, personally or by cedula , within three days of its
execution.
Decisions granting provisional measures shall be appealable without suspensive effect. Those
ending provisional measures shall also be appealable but with suspensive effect.
Article 695. AUTHORIZATION TO REQUEST THE ASSISTANCE OF THE POLICE
AND SEARCH PREMISES. The order issued by the court to ensure the enforcement of a provisional
measure shall authorize the officials responsible for enforcing it to seek the assistance of the police
and search premises, in the event of resistance.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
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Article 696. MODIFICATION. The person requesting the measure may ask for the
provisional measure ordered to be extended, improved or replaced, if it can be shown that it does not
properly provide the intended protection.
Article 697. PROVISIONAL NATURE. Provisiona l measures shall continue in effect only
as long as the circumstances which justify them continue to exist. Whenever these circumstances
cease to exist, the lifting of the measure may be requested.
Article 698. REPLACEMENT OR REDUCTION AT THE REQUEST OF A PARTY. At
any time the person affected may request that a provisional measure be reduced or replaced by
another if the measure ordered is excessive or vexatious. It shall also be possible to provide securitysufficient to avoid any of the provisional measures governed by this Code or to have such measure
lifted immediately. This security shall consist of a deposit, bond, pledge or other equivalent
assurance.
Article 699. INDUSTRIAL OR COMMERCIAL ESTABLISHMENTS. If the measure
concerns movables, goods or raw materials necessary for the operation of commercial, industrial or
related establishments, the court may authorize, without further formalities, such action as may be
necessary to avoid jeopardizing the marketing or manufacturing process.
Article 700. INITIATION OF PROCEEDINGS. Provisional measures ordered and made
effective before trial shall lapse automatically by law if, in the case of an enforceable obligation, a
complaint is not filed within ten days of execution. Whoever obtained the measure shall be liable for
the costs and any damage or injury caused and the measure may not be requested again on the same
grounds.
Article 701. LAPSE. Registrable provisional measures shall expire automatically by law five
years after their registration in the corresponding register, unless, at the request of a party, they are
reregistered before the expiry of the term, by order of the court hearing the case.
Article 702. LIABILITY. Without prejudice to the provisions of Article 700, if a provisional
measure is ordered lifted on any grounds which show that the applicant abused or exceeded his lawful
right to obtain it, the ruling shall order him to pay damages, if the other party so requests.
The amount of damages shall be determined under the summary hearing procedure.Article 703. PROVISIONAL MEASURE ORDERED BY A COURT LACKING
JURISDICTION. Courts shall, as a matter of cour se, refrain from ordering provisional measures in
cases over which they have no jurisdiction, but should they not do so the measure shall be valid
provided that it was ordered in accordance with the provisions of this Code, without that signifying an
extension of the court's jurisdiction to hear any subsequent proceedings.
Article 704. COUNTER-SECURITY. The nature and amount of the security mentioned in
Article 693(c) as a condition for ordering a provisional measure shall be carefully assessed by the
court or tribunal, taking into account the degree of credibility of the right and the circumstances of the
case.
It may be provided by the party concerned or by a third party.Article 705. EXEMPTION FROM COUNTER-SECURITY. Security shall not be required if
the measure was obtained by:IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 84
- The State, a department of government, a municipality or a person duly accredited, in
accordance with the provisions of the Civil Code or special laws; or
- a person entitled to go to law free of cost or exempted from the obligation under this
Code.
Article 706. INCREASED COUNTER-SECURITY. At any stage of the proceedings, the
party against which a provisional measure has been applied may request that the security be increased,
by summarily proving that it is insufficient. The court shall decide, subject to notification of the other
party.
Article 707. APPLICABILITY. Attachment may be requested by a creditor owed a debt in
money or in kind who finds himself in any of the following situations:
- The existence of the credit is confirmed by a public or private instrument attributed to
the debtor with summary attestation of the signature by two witnesses;
- where the petition is based on a bilateral contract, its existence is demonstrated in the
same way as in the previous subparagraph, in which case it must also be shown,
summarily, that the petitioner has fulfilled the agreement, unless he offers to fulfil it
or is no longer bound by it;
- the debt is justified by commercial records kept in due and proper form by the
petitioner or derives from an agent's bill in accordance with his records, where such
records can be used as evidence;
- where the debt is subject to a suspensive condition or is not yet due, the petitioner
summarily shows that the debtor is endeavouring to dispose of, conceal or remove his
goods or provided that he can show, in the same way, that for some reason his debtor
has become significantly less creditworthy since contracting the obligation.
Article 708. OTHER CASES. The following may also request attachment:
- A co-heir, joint owner or partner, may reque st preventive seizure of the assets of the
estate or jointly owned or partnership property, if the credibility of the right and the
risk involved in delay can be demonstrated and sufficient counter-security is
provided;
- the owner or main tenant of urban or rural property, whether or not there is a lease,
with respect to things subject to the privileges to which he is entitled by law. He shall
attach to his petition the title deed or lease, if any, or notify the tenant in order that he
may make the necessary statements beforehand;
- a person recognized by law as having preferential claims on certain movables or
immovables, provided that the credit is substantiated in the manner laid down in
subparagraph (b) of the preceding Article;
- a person who has to file suit for recovery of possession, to claim an inheritance, to
break a will or for fictitious disposal in respect of the subject of the petition, during
the proceedings, provided that documents confirming the credibility of the claim are
produced; andIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 85
- a purchaser requesting the enforcement of a contract of sale, in respect of the goods
forming the subject of the contract, if the right is credible.
Article 709. PROCEEDINGS IN PROGRESS. Du ring the proceedings, attachment may be
ordered:
- If one of the parties has been declared to be in default, in the circumstances of
Article 72;
- provided that the credibility of the right is the result of direct admission or implied
confession or arises from the answer to the complaint or counter-claim; and
- where the petitioner has obtained a favourable ruling, even if it has been appealed.In these cases, counter-security shall not be required.
Article 710. MODE OF EXECUTION. Where g oods have to be attached, the attachment
shall be carried out in the manner prescribed in the executory process. It shall be restricted to the
goods necessary to cover the debt claimed and costs.
Until the property attached has been ordered confiscated or taken into receivership, the debtor
may continue to make normal use of it.
Article 711. SUSPENSION. The execution of the attachment may be suspended only if the
debtor hands over the sum specified in the order.
Article 712. DEPOSIT. The goods attached shall be deposited at the disposal of the court,
but in the case of chattels in the home of the person whose goods are attached, the latter shall always
be made the depositary thereof, unless, in special circumstances, this is not possible.
Article 713. OBLIGATIONS OF THE DEPOSITA RY. The depositary of attached goods
must place them at the disposal of the court within two days of having been served notice. If he fails
to do so, without good reason, the judge shall refer the case to the criminal jurisdiction.
Article 714. PRIORITY OF THE FIRST ATTACH ER. A creditor who has obtained the
attachment of his debtor's goods, not assigned to credits secured by lien, shall have the right to collect
the whole of his credit, interest and costs with priority over other creditors, except in the case of
bankruptcy.
Subsequent attachments shall only concern the balance that remains after payment of the
debts relating to previous attachments.
Article 715. EFFECT. Acts of disposal of the attached goods shall not have effects
prejudicial to the attaching creditor and the creditors joined in the execution, except for the effects of
bona fide possession in respect of movables not recorded in public registers.
Article 716. NON-ATTACHABLE GOODS. The following may never be attached:
- The beds of the debtor, his wife and children, clothing and essential household goods,
including refrigerators, stoves, fans, radios, television sets or family musical
instruments, sewing and washing machines, and tools of the trade, unless the credit
corresponds to the selling price thereof;IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 86
- tombs, unless the credit corresponds to the selling price, or to the price of building the
tomb or supplying the materials;
- more than 25 per cent of professional fees, commissions, salaries, wages and
pensions, unless otherwise provided by special laws;
- claims for alimony and legal costs;- public property and revenue; and
- other goods exempted from attachment by law.
The goods listed may not be subject to execution.No other goods shall be exempted. Article 717. LIFTING OF THE ORDER EX OFFICIO AT ANY TIME. If any of the goods
listed in the preceding Article are improperly attached, the attachment may be released, at the request
of the debtor, his wife or children, as well as ex officio, even though the corresponding order has been
issued.
Article 718. APPLICABILITY. In all cases in which, an attachment order having been
issued, it cannot be made effective because the debtor is not known to have goods or those goods do
not cover the amount of the claim, the creditor may request that the debtor be generally prohibited
from disposing of or encumbering his goods. The measure shall be entered in the correspondingregister.
Article 719. EFFECTS. The prohibition shall only have effect from the date of registration.
It shall not confer priority over subsequent registrations.
While the restraining order remains in effect, the person subject thereto may not dispose of or
encumber goods which were in his possession at the time of the measure or which he may acquirethereafter.
Article 720. CESSATION OF THE MEASURE. The restraining order shall be cancelled if
the debtor produces sufficient goods for attachment or provides sufficient security.
Article 721. APPLICABILITY. Movables or livestock forming the subject of the proceeding
may be sequestered, if necessary, to safeguard or preserve them so as to ensure the effectiveness of
the final judgement. This shall also be permissible if attachment alone is not sufficient to ensure the
protection of the right invoked by the petitioner.
Article 722. DEPOSITARY, REMUNERATION AND INVENTORY. The court shall
appoint as depositary the person best suited for that purpose, shall fix his remuneration and shall order
an inventory, if necessary.
Article 723. APPLICABILITY. Registration of a suit may be requested if it concerns the
ownership of immovables or other registrable goods or the establishment, declaration, modification or
exhaustion of some real right or if actions are brought in connection with such goods, provided that
the right invoked is credible and the judgement must be enforced against third parties. If the case isIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
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dismissed, this measure shall lapse with the end of the proceedings. If the claim is allowed, it shall be
maintained until the judgement has been enforced.
Article 724. EFFECTS. Once the action has been registered, the judgement in the
corresponding proceedings shall be effective against third parties, if the goods have been encumbered
or disposed of, without those third parties being able to seek protection in the presumption of good
faith.
Article 725. MAINTENANCE OF STATUS QUO. In any type of proceedings. A
prohibition may be placed on making changes, provided that:
- There is a risk that a change in the factual or legal situation might affect the
judgement or make its enforcement ineffectual or impossible;
- a precautionary effect cannot be obtained by means of any other provisional measure.
Article 726. PROHIBITION ON CONTRACTING. A prohibition on making contracts with
respect to certain goods may be requested if appropriate under the law or a contract or necessary to
secure the enforcement of the judgment or the goods forming the subject of the action. The judge
shall specify what constitutes the subject of the prohibition, ordering, in the case of registrable goods,
that the measure be entered in the appropriate registers. Moreover, interested parties and the thirdparties mentioned by the petitioner shall be notified.
Article 727. INTERVENTION. If no other adequate provisional measure is available to
secure the rights it is intended to protect or the measure ordered proves ineffective, at the request of a
party, an administrator may be appointed to intervene in the management of a commercialestablishment, an industrial enterprise or liquid assets.
Article 728. RECEIVERSHIP. Receivership may be ordered only at the request of a partner
or joint owner, provided that the following requirements are met:
- Proceedings have been initiated to remove the manager; and
- there is risk in delay;
Article 729. POWERS OF THE ADMINISTRATOR OR RECEIVER. The writ of
intervention shall establish the powers of the administrator which shall be limited to those strictly
necessary to secure the right it is intended to protect.
In the case of receivership, the court shall determine the powers of the receiver, taking into
account the nature of the business and the circumstances of the case. The person appointed should be,
as far as possible, someone familiar with the branch of business in which the company is engaged.
33. Please describe in detail the procedures under Paraguay's laws, at least with respect to
counterfeit trademarked goods and pirated copyrighted works, that allow right holders to
request customs authorities not to release goods into free circulation and cite to the relevant
provisions of law. Please indicate if the cust oms authorities have ex officio authority to take
such action.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 88
Copyright and related rights
Article 171. The owner of the a right protected by this Law who has good reason to believe
that preparations are being made for the importation or exportation of goods that infringe those rightsmay apply to the customs authority to have the said importation or exportation suspended at the time
of clearance. The application and the order issued by the customs authority shall be subject to the
conditions and guarantees applicable to precautionary measures.
Article 172. Any person who applies for the institution of border measures shall provide the
customs authorities with the necessary information and a sufficiently accurate description of the
merchandise for it to be recognized.
Article 173. When the applicable conditions have been met and guarantees provided, the
customs authority shall either order or refuse susp ension and inform the applicant accordingly. The
decision of the customs authority shall not constitute a final judgment.
Article 174. When suspension has been carried out, the customs authorities shall immediately
inform the importer or exporter of the merchandise and the party applying for the measure.
Article 175. Where ten working days elapse from the time at which suspension has been
notified to the party applying for the measure without the latter having informed the customsauthorities that the appropriate court action has been initiated, or that the court has ordered
precautionary measures to prolong the suspension, the latter shall be lifted and the merchandise held
shall be cleared.
Article 176. Once the appropriate court action has been initiated, the party affected by it may
apply to the court for reconsideration of the suspension order, and shall be heard to that end. The
court may decide to amend, revoke or confirm the suspension.
Article 177. For the purposes of justifying the prolongation of the suspension of the
merchandise held by the customs authorities, or in support of a court action, the court shall allow the
owner of the rights to inspect the merchandise. The importer or exporter shall have the same right. In
allowing the inspection, the court shall make th e necessary arrangements for the confidential
information of any kind to be protected, where applicable.
Article 178. Where evidence of an infringement has been found, the complainant shall be
informed of the name and address of the sender, importer or exporter and consignee of the
merchandise affected by the suspension order.
Article 179. In the case of counterfeit goods that have been seized by the customs authorities,
neither the re-exportation of the goods in the same state nor the application of a different customs
procedure to them shall be allowed.
Marks
Article 100. Owners of registered marks who have substantiated reasons for assuming that
the import or export of products infringing their rights is imminent may request the customs
authorities to suspend the import or export at the time of shipment. The conditions and guaranteesapplicable to precautionary measures shall also apply to such requests and orders.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
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Article 101. Persons requesting the imposition of measures at the border shall furnish the
customs authorities with the information necessary and a sufficiently clear description of the goods to
allow them to be recognized.
Article 102. After the applicable conditions and guarantees have been met, the customs
authorities shall order or reject suspension and shall notify the applicant accordingly. The decision by
the customs authorities shall not constitute the final judgement.
Article 103. After suspension has been impose d, the customs authorities shall immediately
notify the importer or exporter of the goods and the person requesting the measure accordingly.
Article 104. If, within ten working days counted from the date on which he was notified of
the suspension, the person requesting the measure has not informed the customs authorities that legal
proceedings for infringement have been initiated or that a judge has ordered precautionary measures
to extend the suspension, the suspension shall be lifted and the goods released.
Article 105. Following initiation of the legal proceedings for infringement, the person
affected may request the judge to reconsider the suspension order and shall be given a hearing for this
purpose. The judge may modify, annul or confirm the suspension.
Article 106. In order to show cause for the extension of the suspension of the goods held by
the customs authorities or to justify the infringement proceedings, the judge shall allow the owner of
the right to inspect the goods. The importer or exporter of the goods shall be given the same right.
When permitting inspection, the judge may take th e necessary steps to protect any confidential
information, where appropriate.
Article 107. When it has been proved that an offence has been committed, the name and
address of the consignor, the importer or exporter and the consignee of the goods shall be notified to
the plaintiff, together with the volume of the goods suspended.
Article 108. Products bearing false marks which have been seized by the customs authorities
shall not be re-exported in the same state nor made subject to a different customs procedure.
Article 109. Owners of registered marks may register the mark with the Directorate General
of Customs to allow the latter to verify the legitimacy of the products to be shipped. The register of
the Directorate General of Customs shall be regulated by the Executive.
Article 110. After a mark has been registered with the Directorate-General of Customs, the
owner may ask to be notified of requests for the shipment of products bearing the registered mark notmanufactured by him. The owner may also require that the shipment of such products be suspended
until their legitimacy has been proved.
Article 111. Registration with the Directorate General of Customs shall not be compulsory in
order to exercise any of the rights under this Law.
34. Please indicate whether border enforcemen t is available with regard to other forms of
intellectual property rights and cite to the relevant provisions of law.
The measures described in Article 33 apply to all infringements against any intellectual
property right.
35. Please describe in detail how Paraguay implements the remaining provisions of
Section 4 of Part III of the TRIPS Agreement, citing to the relevant provisions of law.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
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Patents
Article 83 of the Patent Law provides for provisional measures in accordance with the terms
of Article 50 of the TRIPS Agreement.
Marks
Articles 95, 96 and 97 provide for provisional measures in accordance with the terms of
Article 50 of the TRIPS Agreement.
36. Please describe in detail the criminal actions and remedies that are available under
Paraguay's laws with respect to counterfeit trademarked goods and pirated copyrighted works
and cite to the relevant provisions of law.
Copyright and related rights
Article 166. A penalty of imprisonment for a term of six months to one year or a fine of 5 to
50 minimum salary units shall be imposed on anyone who, having been authorized to publish a work,
does so fraudulently in one of the following ways:
- Without mentioning the name of the author, translator, adapter, compiler or arranger
on the copy;
- prints the name or additions or deletions that adversely affect the author's reputation
as such or that of the translator, adapter, compiler or arranger, as the case may be;
- publishes the work with abridgements, additions, deletions or any other changes made
without the consent of the owner of the rights;
- publishes a number of works separately when authorization has been given for them
to be published together, or publishing them together when only their separate
publication has been authorized.
Article 167. A penalty of imprisonment for a term of six months to three years or a fine of
100 to 200 minimum salary units shall be imposed in the following cases on anyone who:
- Improperly uses the title of a work in breach of Article 6 of this Law;- makes an alteration to the work in violation of the provisions of Article 30 of this
work;
- communicates to the public a work in violation of the provisions of Article 27, an
audiovisual recording provided for in Article 134 or a photographic image provided
for in Article 135 of this Law;
- distributes copies of the work in breach of the rights provided for in Article 28, of
phonograms in violation of Article 127, of an audiovisual recording as provided for inArticle 134 or of a photographic image as provided for in Article 135 of this Law;IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 91
- imports copies of the work not intended for the national territory, in violation of the
provisions of Article 29, or of phonograms, in violation of the provisions of
Article 127 of this Law;
- retransmits, by any wire or wireless means, a radio broadcast or a transmission by
wire, cable, optical fibre or other comparable process in breach of the provisions of
Articles 25, 26, 131 or 132 of this Law;
- communicates to the public performances or phonograms that are intended solely for
private performance;
- being the assignee or licensee authorized by the owner of the rights concerned,
reproduces or distributes a greater number of copies that that permitted by the
contract, or communicates, reproduces or distributes the work, performance,
production or broadcast after the expiry of the agreed period of authorization;
- makes known to any other person an unpublished or undisclosed work that he has
received in confidence from the owner of the copyright, or anyone else in the latter's
name, without the consent of the said owner;
- manufactures, imports, sells, rents or in any other way brings into circulation devices
or products, or renders any service, the purpose or effect of which is to block, evade,
eliminate, deactivate or circumvent in any way the technical devices that the owners
have set in place to protect their rights.
Article 168. A prison term of two to three years or a fine of 200 to 1,000 minimum salary
units imposed in the following cases on anyone who:
- Improperly attributes to himself the status of holder, whether original or derived, of
any of the rights recognized by this Law, and by virtue of that improper attribution
causes the competent authority to suspend the act of communication, reproduction,
distribution or importation of the work, perf ormance, production or broadcast, or any
other of the intellectual property protected by this Law;
- makes false statements concerning the certification of income, the repertoire used, the
identity of the authors, authorizations supposedly obtained or the number of copies,
or commits any other adulteration of particulars that is liable to prejudice any of the
owners of rights protected by this Law;
- reproduces, in breach of the provisions of Article 26, protected works in the original
or a developed form, in their entirety or in part, save in the cases of lawful
reproduction exhaustively specified in Chapter I of Title V, or, in the case of
computer programs, save in the exceptional cases specified in Articles 70 and 71 ofthis Law;
- brings into the country, stores, distributes by means of sale, rental or lending or in any
other manner brings into circulation unlawful reproductions of protected works;
- reproduces or copies by any means the performance of a performer, a phonogram, a
radio broadcast or transmission by wire, cable, optic fibre or other comparable
process, or who brings into the country, stocks, distributes, exports, sells, rents or in
any other way brings into circulation such unlawful reproduction;IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 92
- enters in the Register of Copyright and Related Rights a work, performance,
production, broadcast or any other intellectual property protected by this Law that
belongs to another person as if it were his own, or as if it were that of a persondifferent from the true owner of the rights;
- manufactures, imports, sells, rents or in any other way brings into circulation devices
or systems that are of prime importance in the unauthorized decrypting of an
encrypted programme-carrying satellite signal or in facilitating unauthorized
reception of a programme broadcast or otherwise communicated to the public in
coded form;
Article 169. The decision of the criminal judge or court shall order the destruction of the
unlawful copies and where appropriate the disablement or destruction of the moulds, plates, matrices,
negatives and other material intended for the reproduction thereof.
As a subsidiary penalty, the judge may order the publication of the conclusions of the
sentence in one or more periodicals at the expense of the infringer.
Article 170. A prison term of two to three years or a fine of 100 to 200 minimum salary units
shall be imposed on anyone who possesses, uses, designs, manufactures, imports, exports ordistributes whether by sale or by rental, lending or other means, any device or computer program, or
on anyone who offers or renders a service, the objective of which is to permit or facilitate the evasion
of coding technology.
Marks
Law 1294, Title IV, Chapter I Civil and Criminal Proceedings for an Infringement,
"Articles 89, 90, 91, 92, 93 and 94.
Article 89. The following shall be liable to an incommutable term of imprisonment of one to
three years and a minimum fine of 1,000 to 3,000 day units of the minimum wage:
- Persons who falsify or adulterate a registered mark;
- persons who fraudulently imitate a registered mark;- persons who knowingly store, put on sale, sell or offer for sale or distribute products
or services bearing a mark that is falsified, fraudulently imitated or unlawfully
affixed;
- persons who, with fraudulent intent, affix or cause to be affixed on a product or
service a false declaration or designation regarding the nature, quality, quantity,number, weight or measure, the manufacturer's name, the place or country in which
the product or service has been manufactured or supplied; and
- persons who knowingly put on sale, sell or offer for sale products or services bearing
any of the false declarations mentioned in the preceding subparagraph.
Article 90. The penalty in the preceding Article shall also apply to persons who make
fraudulent use of a trade name.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 93
Article 91. For an offence to have occurred, it shall not be necessary for the falsification,
imitation or fraudulent affixing of the mark to apply to all the goods; affixing on a single specimen
shall suffice.
Article 92. The penalty laid down in Article 89 shall also apply to persons who, through
fraudulent or malicious conspiracy or any other unfair method, try to divert the customers of a
commercial or industrial establishment for their own profit or for that of a third party.
Article 93. The offences listed in Articles 89 and 90 are liable to public criminal proceedings.Article 94. The limitation period for criminal proceedings shall be two years. The provisions
in the Criminal Code shall apply subsidiarily where there are no specific provisions in this Law.
37. Please indicate the authorities responsible for criminal actions involving intellectual
property rights and indicate whether their authority extends to other forms of intellectual
property rights.
- Supreme Court of Justice;
- Appeal Courts;
- Criminal Trial Courts (hear cases and pass judgement);
- Supervisory Criminal Court Judges (monitor the work of the public prosecutors);- Office of the Public Prosecutor: prosecutors specializing in intellectual property.
38. Please explain whether and under what circumstances seizure, forfeiture and
destruction of infringing goods and any materials and implements are available as remedies in
wilful trademark counterfeiting or copyright piracy cases and describe the conditions under
which such penalties would be imposed.
Copyright and related rights
On civil procedure
Article 159. Cessation of the unlawful activity may include the following:
- Suspension of the infringing activity;
- prohibition of the infringer from resuming that activity;- withdrawal from the market and de struction of the unlawful copies;
- the disablement of moulds, plates, matrices, negatives and other material intended
exclusively for the reproduction of unlawful copies and, where necessary, the
destruction of such material;
- the removal of the equipment used for the unauthorised communication to the public.
The court may likewise order the publication of the declaratory portion of the sentence, at the
infringer's expense, in one or more periodicals.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 94
Article 160. The court, at the request of the National Directorate of Copyright, the owner of
the rights concerned, his representative or the corresponding management body, shall order the
immediate implementation of the necessary precautionary measures to prevent the commission of theinfringement or the continuation or repetition of a violation already committed, including the
following in particular:
- Seizure of the revenue derived from the unlawful activity or, where appropriated, the
amounts payable in remuneration;
- immediate suspension of the unlawful manufacturing, reproduction, distribution,
communication or importation activity, as the case may be;
- confiscation of the copies produced or used and of the material or equipment used for
the infringing activity.
The precautionary measures provided for in this provision shall not preclude the adoption of
others provided for in ordinary legislation.
Article 161. The precautionary measures referred to in the foregoing Article shall be granted
by the judicial authority provided that evidence is given of the necessity of the measure or proof filedthat constitutes at least a presumption of the alleged violation of rights, without any counter-security
having to be provided.
The necessity of the measure or presumption of the alleged violation of rights may also arise
from the visual inspection that the court may order as a preparatory measure on the site of theinfringement.
Article 162. The precautionary measures mentioned in the foregoing Article shall be lifted by
the judicial authority where:
- The person against whom the measure has been ordered provides security that is
considered sufficient by the court to guarantee the results of the proceedings, and theappeal has no staying effect;
- the party applying for the measures does not provide evidence of having started the
procedure leading to a decision on the merits of the case within a period of
30 consecutive days from their having been ordered or implemented.
Article 163. The preventive measures provided for in the foregoing Article shall be applied
without prejudice to the obligation on the Directorate General of Customs to proceed with the seizure
at the border of all copies constituting a violation of any of the rights provided for in this Law, and to
suspend the free circulation of such material when attempts are made to import it into the territory ofthe Republic.
The seizure measures shall not apply to a copy having no commercial character that is carried
in personal baggage.
Marks
Law No. 1294, Chapter II "On precautionary measures"IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 95
Article 96. Precautionary measures shall consist of the following:
- Attachment or confiscation of the products, packaging, labels and other materials
which bear the infringing sign and the equipment and other devices used to committhe offence. In criminal courts, these shall be destroyed if an expert taking part in the
judicial proceedings to which the preventive measure relates confirms that they are
infringing objects, without it being necessary to await the final judgement.
39. Please provide statistical information related to civil copyright, trademark, geographical
indication, industrial design, patent, integr ated circuit layout-design, and trade secret
enforcement for each of the years 1998 and 1999, including the number of cases filed;
injunctions issued; infringing products seized ; infringing equipment seized; cases resolved
(including settlement); and the amount of damages awarded.
1998 1999/2000
Invalidation 140 cases 100 cases
Unfair competition and
cessation of use of trade name10 cases
Judicial settlement: transfer 8 cases 9 cases
Final judgement 9 cases 11 cases
Contested trials 58 cases
FINAL JUDGEMENT
15 CASES
40. Please provide statistical information relat ed to criminal enforcement in the area of
copyright piracy and trademark infringement fo r each of the years 1998 and 1999, including the
number of raids, prosecutions, convictions, and th e amount of fines and/or jail terms (including
whether the fines were paid and whether the jail term was actu ally served or was suspended)
and any other information establishing that the criminal system operates effectively to deter
copyright piracy and trademark counterfeiting.
Former code
As is well known, the former Code was inquisitorial so that the procedure and method of
conducting trials were different, complaints were filed together with both the relevant records and the
special power required to formulate complaints, and the facts had to be set out in detail, after which an
initiating order was issued requiring the Office of the Attorney General to intervene, searches were
ordered, goods were seized, subjected to expert examination and then destroyed, even where those
responsible were awaiting trial. Preliminary proc eedings were followed by a full trial leading to
sentencing. Under this system the Public Prosecutor's Office prosecuted about 100 cases, some of
which, against persons unknown, were shelved under the Transition Law which amended Article 184
which was made subordinate at the request of the victim in order to bring about judicial intervention.
With the entry into force of the Transition Law the approach changed, giving rise to ways of
concluding the proceedings other than by final judgement such as setting aside, a six-monthtemporary or unconditional stay of proceedings, the application of the principle of judicial discretion,
and accelerated procedure, among other ways of concluding the proceedings.
FORMER 1890 CODE. Inquisitorial ModelIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 96
PRELIMINARY PROCEEDINGS – Complaint by victim – special power – searches and
raids – seizure – expert examination – destruction – inclusion as defendant or persons
unknown.
FULL TRIAL – Opening of the proceedings for evidence – indictment
Final Judgement
TRANSITION LAW 1444/99
Article 18. Repeals Article 184 of Penal Code
Article 17. 15 Code of Criminal Procedure, publicly prosecutable without initiation by the
victim.
1890 Code – Principle of judicial discretion, requested by the prosecutor before indictment
Accelerated procedure before sending to trial.
New system
NEW CODE (1998). Accusatorial modelInvestigation stage – complaint, raids, charge – expert examination – settlement – principle of
judicial discretion – intermediate stage – accelerated procedure
Oral proceeding – indictmentThe new Code of Criminal Procedure moves away from the inquisitorial towards the
accusatorial model. Within this system, the reason why no one is imprisoned is that imprisonment is
regarded as a last resort. Accordingly, alternative measures are available both during the proceedings
and at the time of sentencing and enforcement for the purpose of avoiding imprisonment as far as
possible (principle of judicial discretion, accelerated procedure, conditional stay of proceedings,
system of fines as the principal sanction, etc.). The Office of the Attorney General is responsible forexercising the right of public action, clear distinctions are made between the investigative and
intermediate phases, the public trial and the enforcement and appeal phases. As far as provisional
measures are concerned, imprisonment is now a last resort and no longer occupies a place of honour
as advance punishment. There is also provision for the victim to join the action against publicly
prosecutable offences as a plaintiff (see annex).
41. Please describe any new initiatives that are planned to improve enforcement of
intellectual property rights in Paraguay, particular ly initiatives related to criminal enforcement.
Border measures are being strengthened by assigning staff from the Office of the Attorney
General, in particular trademark investigators are being sent to border posts.IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 97
ANNEX I
LIST OF ANTI-PIRACY CASES
No. Case Brand Quantity seized Date
JUDGE HUGO LÓPEZ SANABRIA, SEVENTH ROTA
26 PERSONS UNKNOWN TELETUBBIES 1,911 PRODUCTS 25.10.1999
26 PERSONS UNKNOWN CDs 3,331 (MUSIC) 9.11.1999
26 I0 CESAR MARTÍNEZ FERNAN REEBOK 29.5.2000
26 I0 CESAR MARTÍNEZ FERNAN REEBOK 2,484 (SWEATSHIRTS) 29.5.2000
26 YOLANDA LÓPEZ Y OTROS TWEETY 9,483 (ARTICLES) 6.12.1999
26 PERSONS UNKNOWN CDs 1,215 (MUSIC) 22.12.1999
26 PERSONS UNKNOWN TWEETY 1,368 (ARTICLES) 2.11.2000
14 ALDO H. MARTÍNEZ PLAYSTATION 4,000 UNITS (DESTROYED) 12.1.1999
JUDGE JUAN CARLOS PAREDES, FIRST ROTA
1 PERSONS UNKNOWN NINTENDO 120 (VARIOUS TOYS) 1.11.1999
1 PERSONS UNKNOWN NINTENDO 17,856 (VARIOUS TOYS) 7.9.1999
1 PERSONS UNKNOWN NINTENDO 1,905 (VARIOUS TOYS) 17.11.1999
1 PERSONS UNKNOWN NINTENDO 1,728 (VARIOUS TOYS) 24.11.1999
1 PERSONS UNKNOWN NINTENDO 110,000 (VARIOUS TOYS) 30.11.1999
1 PERSONS UNKNOWN NINTENDO 60,432 (VARIOUS TOYS) 14.12.1999
1 PERSONS UNKNOWN NINTENDO 5,820 (VARIOUS TOYS) 16.12.1999
1 PERSONS UNKNOWN NINTENDO 36,000 (VARIOUS TOYS) 20.12.1999
1 PERSONS UNKNOWN NINTENDO 890 (VARIOUS TOYS) 28.12.1999
1 PERSONS UNKNOWN NINTENDO 3,560 (VARIOUS TOYS) 30.12.1999
1 PERSONS UNKNOWN NINTENDO 3,000 (VARIOUS TOYS) 10.1.2000
1 PERSONS UNKNOWN NINTENDO 17,600 (VARIOUS TOYS) 23.3.2000
1 PERSONS UNKNOWN NEW
BALANCE9,500 (SPORTS FOOTWEAR) 20.3.2000
1 PERSONS UNKNOWN MISUNO 1,815 (SPORTS FOOTWEAR) 17.3.2000
1 PERSONS UNKNOWN NINTENDO 306 (MISCELLANEOUS PRODUCTS) 1.11.1999
1 PERSONS UNKNOWN NINTENDO 1,488 (MISCELLANEOUS
PRODUCTS)12.11.1999
1 PERSONS UNKNOWN NINTENDO 730 (MISCELLANEOUS PRODUCTS) 17.11.1999
11 PERSONS UNKNOWN CITIZEN 1,719 WATCHES (DESTROYED) 31.8.1998
11 PERSONS UNKNOWN CITIZEN 1,710 WATCHES 31.8.1998
11 AE HNAN KIM Y KYUNG WON LI VIDEOS 1,000 CASSETTES (DESTROYED) 27.4.1999
1 HO JUM LEE Y KIM HYUN SUK VIDEOS 1,870 CASSETTES (DESTROYED) 19.6.1998
11 PERSONS UNKNOWN MOTOROLA 21,743 ACCESSORIES 12.8.1999
11 PERSONS UNKNOWN FILA 268 SNEAKERS, 480 STOCKINGS 22.9.1998
11 PERSONS UNKNOWN CDs 60,000 MUSIC UNITS 14.9.1999
11 KEE MAN LEE VIDEOS 1,732 CASSETTES (DESTROYED) 18.8.1998
JUDGE JORGE BOGARIN, THIRD ROTA
5 MARGARITA MAIDANA S. VIDEOS 1,490 CASSETTES 12.2.2000
5 OLGA M. CABRERA BARRETO VIDEOS 1,754 CASSETTES 16.2.2000IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 98
6 PERSONS UNKNOWN MOTOROLA 2 ,000 BATTERIES 29.2.2000
JUDGE RUBÉN DARÍO FRUTOS, FOURTH ROTA
7 PERSONS UNKNOWN ARISTOCRATA 1,620 CANES 19.8.1998
8 ROGELIO LÓPEZ ACOSTA TWEETY 2,486 ITEMS OF CLOTHING 27.5.1998
JUDGE PEDRO DARÍO PORTILLO, FIFTH ROTA
9 GERARDO BRITEZ CDs 30,000 (MUSIC) 5.7.1999
JUDGE ARNULFO ARIAS, TENTH ROTA
20 PERSONS UNKNOWN REEBOK 2,304 SPORTS PAIRS 22.7.1999
JUDGE WALDIR SERVIN, ELEVENTH ROTA
22 PERSONS UNKNOWN MISTRAL 430 ITEMS OF CLOTHING 22.6.1999
22 PERSONS UNKNOWN WARNER 196 ITEMS OF CLOTHING 22.6.1999
22 PERSONS UNKNOWN NIKE 410 ITEMS OF CLOTHING 22.6.1999
22 PERSONS UNKNOWN REEBOK 247 ITEMS OF CLOTHING 22.6.1999
22 PERSONS UNKNOWN DISNEY 857 ITEMS OF CLOTHING 22.6.1999
22 (MISCELLANEOUS PRODUCTS) POLO 240 ITEMS OF CLOTHING 22.6.1999
22 PERSONS UNKNOWN ADIDAS 41 ITEMS OF CLOTHING 22.6.1999
22 PERSONS UNKNOWN WRANGLER 540 ITEMS OF CLOTHING 22.6.1999
JUDGE EMILIANO ROLON, TWELFTH ROTA
23 PERSONS UNKNOWN REEBOK 41,726 STOCKINGS 26.11.1999
23 MARCELO SEGURA POLO 54 ITEMS OF CLOTHING 23.2.1998
DISTRICT COURT OF LUQUE
JUDGE LOURDES DE VELAMUEZ
1 ROSALBA CÁCERES CDs 21,600 MUSIC PLAYSTATION 1.12.1998
1 PERSONS UNKNOWN CDs 5,000 2.12.1998
1 PERSONS UNKNOWN CIRCUITS 620 UNITS INTEGRATED
CIRCUITS14.1.1999
1 PERSONS UNKNOWN CDs 3,400 MUSIC 24.5.1999
1 PERSONS UNKNOWN CDs 59,000 CDs AND 1,000 CASES 22.1.1999
1 PERSONS UNKNOWN CDs 5,000 CDs 8.1.1999
1 GLADIS VILLABA CDs 470 KG 12.11.1998
1 PERSONS UNKNOWN MOTOROLA 17,000 LABELS AND
990 LOGOS6.1.1999
2 FULGENCIO E. GONZÁLEZ CDs 5,100 MUSIC 2.12.1998
2 PERSONS UNKNOWN CDs 9,000 CASES 16.11.1998
2 PERSONS UNKNOWN ADIDAS 50 SANDALS 10.1.1999
2 PERSONS UNKNOWN CDs 182 CDs 22.11.1999
DISTRICT COURT OF LAMBARE
JUDGE LUIS M. YARYES, FIRST ROTA
2 HUN SIANG CHANGO CHANG WATCHES 482 BOXES OF PARTS 13.1.1999IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 99
DISTRICT COURT OF SAN LORENZO
JUDGE VICTOR NUÑEZ, FIRST ROTA
1 LEE SHENG CHIN GANCHO FL 4,210 UNITS
1 PERSONS UNKNOWN SUZUKI 7 MOTORBIKES
DISTRICT COURT OF ESTE
REPORT SUBMITTED BY RUBÉN D. RI QUELME , PUBLIC PROSECUTOR
JUDGE ANTONIA B. VENIALGO, FIRST ROTA
1 NABIH HAMAD ZEIN CDs 38,844 MUSIC,
3,945 SOFTWARE25.2.1999
SHUM WAI YING DUWANT 162 WATCHES,
75 UNBRANDED, 47 NIKE
STRAPS, 250, 118 DIGITAL,
300 COVERS FOR NIKE,
47 BOXES FOR NIKE, P/ NIKE,
50 STRAPS METAL,
500 STRAPS, 2 PACKAGING,
AND 1 UNPACKAGING
MACHINE. 1 NIKE (ALL
DESTROYED)29.6.1998
1 EVERTON INGUE CALAZ TWEETY AND
TAZ5,176 UNITS
2 JUAN MARCELO ORTIZ CDs 4,000 UNITS AND
5,200 CASES10.8.1999
2 CHUN CHEH WAN CDs 25,000 WITH CASES 23.8.1999
2 DANIEL GONZALEZ SAMUDIO CDs 80,500 UNITS 11.8.1999
2 HASSAN MOHAMAD HUSSEIN SOFTWARE 770 UNITS 26.8.1999
2 PERSONS UNKNOWN CDs 6,000 CASES 6.8.1999
JUDGE MARIO R. MARE COS, SECOND ROTA
3 PERSONS UNKNOWN MS. 2,300 UNITS 31.8.1999
3 PERSONS UNKNOWN WATCHES 15,000 UNITS 27.8.1999
3 PERSONS UNKNOWN NINTENDO 1,900 CDs, 8,590 CASSETTES,
5,000 AC.23.10.1998
3 PERSONS UNKNOWN TUPI 144 COFFEE MAKERS
3 PERSONS UNKNOWN NINTENDO 6,680 RADIOS,
112 PLAYSTATION, 5,474 AC,
45,000 CASES17.8.1999
3 PERSONS UNKNOWN CDs 100,000 CDs AND
100,000,000 CASES19.8.1999
JUDGE HYPATIA CAMARASA, THIRD ROTA
5 PERSONS UNKNOWN REEBOK 9,022 PAIRS OF SHOES,
116 CAPS4.7.1999
5 PERSONS UNKNOWN SONY 63,000 CASSETTES 22.6.1999
JUDGE LEONARDO AYALA B., FOURTH ROTA
7 SHI TONG TAI TECHNICS 7,417 WATCHES
AND 500 LABELS28.4.1999
7 ALI MAHMOUD EL ZEIN CDs 11,817 MUSIC AND
5,257 CASES, 70,000 SHEETS14.11.1998
7 PERSONS UNKNOWN FILA 1,419 PAIRS OF SHOES AND
20,254 STOCKINGS7.11.1996IP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 100
REPORT SUBMITTED BY AMILGAR AYALA BONSI, PUBLIC PROSECUTOR
JUDGE VICTOR BENITEZ, FIFTH ROTA
10 PERSONS UNKNOWN FUJI 135 FILMS 10.4.1999
10 LIDIA C. MERELES
CENTURIÓNFORUM 166 WALLETS 1.4.1997
10 PERSONS UNKNOWN CDs 37,827 UNITS 29.10.1998
9 ALFREDO GIL DISNEY 2,183 TAPES 2.1.1998
9 PERSONS UNKNOWN CDs 140,000 UNITS 19.8.1998
9 PERSONS UNKNOWN CDs 20,900 UNITS 3.12.1998
9 LAN YU FAI CDs 41,666 RECORDED AND
30,000 BLANK5.8.1997
JUDGE VIRGILIO MARTÍNEZ, SIXTH ROTA
12 WU MING CHI CDs 600 UNITS,
13 BOXES WITH CDs
12 HUSSEN ASAD TAHIN CDs 2,300 CDs AND 30,000 CASES
12 WAN HSUEH LIN HUSICH PENALTY 2,023 BALLS 9.6.1999
JUDGE MELITÓN FERREIRA, SEVENTH ROTA
14 WEI TEI TSEN CDs MACHINERY AND EQUIPMENT
FOR MAKING CDs WORTH
APPROXIMATELY $12,000,000
14 PERSONS UNKNOWN CDs 70 BOXES
14 PERSONS UNKNOWN CDs 64 BOXES
13 PERSONS UNKNOWN PANASONIC 250 BOXES
13 PERSONS UNKNOWN CDs 6,000 CDs
13 MOHAMAD NASSER NINTENDO 1,011 NINTENDO SETS 24.12.1998
14 PERSONS UNKNOWN CDs 22,900 UNITS
13 ANTONIO OCAMPOS CDs 2,750 UNITS 9.4.1999
13 MERHI MUSTAFA CDs 2,500 UNITS 23.4.1999
DISTRICT COURT OF ENCARNACIÓN
REPORT SUBMITTED BY GALEANO ROMERO, PUBLIC PROSECUTOR
JUDGE GUILLERMO SKANATA, FOURTH ROTA
7 PERSONS UNKNOWN VIDEOS 490 CASSETTES
7 PERSONS UNKNOWN VIDEOS 52,000 CASSETTES AND
1,300 CDs
7 PERSONS UNKNOWN NIKE 468 BOXES OF STOCKINGS
7 PERSONS UNKNOWN UFO 1,310 ITEMS OF CLOTHING
7 PERSONS UNKNOWN JOHN L COK 20 ITEMS OF CLOTHING
7 PERSONS UNKNOWN NIKE 586 STOCKINGS,
5 BOXES OF CAPS
7 PERSONS UNKNOWN MISTRAL 1,562 ITEMS OF CLOTHING
8 PERSONS UNKNOWN WHAL 799 BOXES CIU12 UNITS
8 PERSONS UNKNOWN VÍDEOS 2,700 WARNER CASSETTES
8 PERSONS UNKNOWN VÍDEOS 3,000 WARNER CASSETTES
8 PERSONS UNKNOWN CDs 2,855 CDs AND
49,500 CASSETTES
8 PERSONS UNKNOWN CDs 233,000 MUSIC CDs
8 PERSONS UNKNOWN CDs 3,500 CD UNITSIP/Q/PRY/1, IP/Q2/PRY/1,
IP/Q3/PRY/1, IP/Q4/PRY/1
Page 101
ANNEX II
FILE AND CASE
NUMBEROFFENCE
INVESTIGATEDDATECASE
BROUGHT BYBRANDS
AFFECTEDQUANTITY
INVESTIGATIVE STAGE
PERSONS UNKNOWN
"5362"TRADEMARK
COUNTERFEITING18.10.2000 ADOBEL S.A. BETHANIA
PERSONS UNKNOWN
"3535"TRADEMARK
COUNTERFEITING7.9.2000 KROMATICA KOMATICAS
PERSONS UNKNOWN
"2507"TRADEMARK
COUNTERFEITING6.7.2000 SCAVONE
HNOS.ATENOCAR
PERSONS UNKNOWN
"3232"TRADEMARK
COUNTERFEITING25.8.2000 BRITISH A. T. TOBACCO
HILTON
PERSONS UNKNOWN"3131"TRADEMARK
COUNTERFEITING19.7.2000 SANITEC S.R.L. SANITEC
PERSONS UNKNOWN
"3450"TRADEMARK
COUNTERFEITING7.9.2000 UNILEVER
N.V.CONFORT 3,233 PACKS
FELIX ACOSTA "3309" TRADEMARK
COUNTERFEITING23.8.2000 PUB. PROSEC. CDs MUSIC 460 CDs
ALBERTO LEE Y
OTROS "1730"TRADEMARK
COUNTERFEITING23.5.2000 BENAVENTE
S.A.MEDICA-
MENTS
PERSONS UNKNOWN"4556"TRADEMARK
COUNTERFEITING5.10.2000 WARNER TOYS
WARNER451 MISC.
PERSONS UNKNOWN
"169"TRADEMARK
COUNTERFEITING1.4.2000 PUB. PROSCEC. CDs MUSIC 300 CDs
PERSONS UNKNOWN
"1187"TRADEMARK
COUNTERFEITING26.4.2000 CELSAL S.A. SALT
CELUSAL70 PACKETS
PERSONS UNKNOWN
"1882"COPYRIGHT
INFRINGEMENT25.5.2000 APA COPYRIGHT -
PERSONS UNKNOWN
"2770"COPYRIGHT
INFRINGEMENT27.7.2000 AYALA
MANOTILIBRO
SISTEMATRIBUTARIO82 UNITS
PERSONS UNKNOWN
"2769"COPYRIGHT
INFRINGEMENT26.7.2000 AYALA
MANOTILIBRO
CÓDIGOLABORAL98 UNITS
SETTLEMENT
YOLANDA LÓPEZ
"3113"TRADEMARK
COUNTERFEITING21.8.2000 WARNER TOYS
WARNER718 MISC.
YOLANDA LÓPEZ ET
AL. "940"TRADEMARK
COUNTERFEITING3.5.2000 WARNER TOYS
WARNER1,028 MISC.
__________
| 44,737 | 285,599 |
WTO_99
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|
R_G_IT_18
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WTO_99/Q_IP_N_1SLVI5.PDF&Open=True.pdf
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Q_IP_N_1SLVI5.PDF&Open=True
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W ORLD TRADE ORGANIZATION
ORGANISATION MONDIALE DU COMMERCE
ORGANIZACIÓN MUNDIAL DEL COMERCIO
Council for Trade-Related Aspects
of Intellectual Property Rights
MAIN DEDICATED INTELLECTUAL PROPERTY
LAWS AND REGULA TIONS NOTIFIED UNDER
ARTICLE 63.2 OF TIIE AGREEMENT
EL SALVADOR IPIN/lISLV/I/5
21 March 2000
(00-1163)
Original: Spanish/
espagnoll
español
The present document reproduces the following laws and regulation~ notified by El Salvador under Article 63.2 of the
Agreement (see document IP/N/lISL VII):
Decree-Law on the Use and Registration ofCoffee and Balsam Brands
Implementing Regulations to the Law on the Use and Registration ofCoffee and
Balsam Brands
Decree on Use ofthe Phrase "Bálsamo de El Salvador" Appellation ofOrigin
Conseil des aspects des droits de propriété
intellectuelle qui touchent au commerce
PRINCIPALES LOIS ET RÉGLEMENTATIONS CONSACRÉES Á LA
PROPRIÉTÉ INTELLECTUELLE NOTIFIÉES AU TITRE
DE L'ARTICLE 63:2 DE L'ACCORD
EL SALVADOR 2
5
7
Le présent document contient le texte' des lois et reglements ci-apres, notifiés par El Salvador au titre de l'article 63:2 de
l'Accord (voir le document IP/N/lISL VII):
Décret-Loi sur l'utilisation et l'enregistrement des marques de café et de baume
Reglement d'application de la Loi sur l'utilisation et l'enregistrement des marques
de café et de baume
Décret sur l'utilisation de l'appellation d'origine "Baume d'El Salvador"
Consejo de los Aspectos de los Derechos de Propiedad
Intelectual relacionados con el Comercio 2
5
7
PRINCIPALES LEYES Y REGLAMENTOS DEDICADOS A LA PROPIEDAD INTELECTUAL NOTIFICADOS EN VIRTUD
DEL PÁRRAFO 2
DEL ARTÍCULO 63 DEL ACUERDO
EL SALVADOR
En el presente documento se reproducen las siguientes leyes y reglamentosl, que El Salvador ha notificado en virtud del párrafo 2
del artículo 63 del Acuerdo (véase el documento IP/N/lISL V /1):
Decreto Ley para el Uso y Registro de Marcas de Café y Bálsamo 2
Reglamento para la aplicación de la Ley de Marcas para el Uso y Registro de Marcas de Café y Bálsamo 5
Decreto sobre el uso de la frase "Bálsamo de El Salvador" Denominación de Origen 7
1 In Spanish only.l En espagnol seulement.! En español solamente. IP/N/lISLV/I/5
Page 2
DECRETO RELATIVO AL USO Y REGISTRO DE MARCAS PARA CA FE y BALSAMO.
DECRETO N° 48
La Asamblea Nacional Legislativa de la República de El Salvador,
CONSIDERANDO: que las industrias del café y del bálsamo son de las más
importantes del país;
que en los últimos años se han cometido abusos que tienden a
desprestigiar en los mercados extranjeros la calidad del café salvadoreño
sustituyendo a las clases superiores, cafés de calidad inferior tanto por su
preparación como por su clasificación, con grave daño para la economía
nacional;
que entre los varios medios que se han utilizado para practicar tales
abusos, está el de imitar y aun el de usar clandestinamente marcas de café
ajenas, inclusive las registradas;
que para lograr, con relativa impunidad el fin apuntado, se ha
aprovechado el recurso de enviar a las estaciones de ferrocarril y a los
puertos, café sin marca principal y simplemente con la contramarca y el
destino, con el fin de marcarlo poco antes del embarque, con marcas imitadas o
ajenas, burlando así la vigilancia de los dueños de dichas marcas. Que esta
práctica es irregular, pues es obvio que si todo el mundo hiciese lo mismo,
las empresas de transportes y las de embarques se verían imposibilitadas para
distinguir el café de los diferentes dueños;
que nuestro producto propio, el bálsamo, por la falta de marca principal
ha llegado hasta a ser denominado erróneamente "Bálsamo del Perú";
que si hay leyes y reglamentos severos que regulan las marcas del
ganado, con igual razón debe protegerse a la industria cafetera y a la del
bálsamo de El Salvador,
POR TANTO,
en uso de sus facultades constitucionales y oído el parecer de la Corte
Suprema de Justicia,
DECRETA:
Art. lo.-Prohíbese terminantemente enviar café o bálsamo para la
exportación a las estaciones de ferrocarril, a las bodegas de los puertos, a
los muelles, lanchones o naves, en sacos o envases que no lleven marca
principal, de conformidad con los artículos 10., 20. Y 30. de la Ley de Marcas
de Fábrica; y se prohibe a las empresas de ferrocarril, de almacenes, de
embarques y de muelles, recibirlos sin dicha marca principal. Los infractores
se presumirán legalmente coactores del delito de falsificación, cuando éste se
cometa; y aunque no se llegue a perpetrar, incurrirán en una multa de cinco
colones por saco o envase a favor del fisco, la cual será aplicada
gubernativamente, sin perjuicio de la responsabilidad criminal que les resulte
como queda dicho.
Art. 20.-Prohíbese terminantemente embarcar café o
exportación que no lleve marca principal, de conformidad
anterior y bajo las mismas penas. bálsamo
con el para la
artículo IP/N/1/SLV /1/5
Page 3
Art. 30.-En las estaciones de ferrocarril, bodegas de los puertos,
muelles, lanchones y naves, o en tránsito entre ellos, se prohibe
terminantemente cambiar la marca principal de los sacos o envases, agregar
marcas principales, o trasegar el café o bálsamo a sacos o envases que lleven
marca distinta, salvo autorización escrita del dueño de la marca que lleven
los sacos o envases, y del dueño de la nueva marca que se ponga, obtenidas
dichas autorizaciones por medio del Ministerio de Agricultura. Los infractores
incurrirán en las mismas penas que establece el artículo 10. de esta ley.
Art. 40.-Toda marca principal para café o bálsamo, deberá ser registrada
de conformidad con la Ley de Marcas de Fábrica, pagando el impuesto único de
cinco colones por cada marca, válido por veinte años, sin otro impuesto anual,
y renovable conforme a la ley mediante el pago del mismo impuesto por cada
renovación. En las diligencias se usará papel sellado de diez centavos hoja; y
estará libre el certificado del impuesto de timbre, pero será extendido en
papel sellado de treinta centavos hoja; para los avisos de que habla el
artículo 15 de la Ley de Marcas de Fábrica, se aplicará la tarifa mínima que
tenga el "Diario Oficial".
Art. 50.-A solicitud del dueño de la marca registrada, el Administrador
de la Aduana pondrá a disposición de los tribunales correspondientes el café o
bálsamo con marcas imitadas que se trate de exportar y le dará todos los
informes y certificaciones necesarios para garantizar sus derechos y hacerlos
efectivos. Se presume que el café o bálsamo lleva marca imitada cuando sea
enviado a la estación del ferrocarril por persona distinta que el dueño de la
marca registrada; o a las bodegas de los puertos cuando se haya transportado
por carretera. Las empresas de ferrocarril, de almacenes, de embarques, de
muelles y navieras, están obligadas a dar al dueño de la marca registrada,
todos los informes y certificaciones necesarios para defender sus derechos; si
así no lo hicieren, se presumirá de derecho, que los empleados o funcionarios
respectivos son cómplices del delito de falsificación, cuando éste se
verifique.
Art. 60.-Se concede un plazo de dieciocho meses, contado desde el día de
la publicación de esta ley, para que sean registradas todas las marcas que se
usan para café o bálsamo. Durante ese lapso se permitirá que la solicitud de
registro comprenda varias marcas. Expirado dicho término, no se considerará
marca principal la que no esté registrada.
Art. 70.-Al entrar en vigencia la presente ley, la Oficina de Patentes
enviará al Ministerio de Agricultura un facsímil de cada marca registrada para
café o bálsamo, de conformidad con el artículo 30 de la Ley de Marcas de
Fábrica. En lo sucesivo hará lo mismo con cada marca que se registre,
remitiéndolo de oficio al mismo tiempo que a las Aduanas.
Art. 80.-Se derogan todas las leyes y disposiciones en cuanto contraríen
a la presente.
Dado en el Salón de Sesiones del
San Salvador, a los veintinueve días
treinta y cuatro. Poder Legislativo; Palacio Nacional:
del mes de mayo de mil novecientos
R. V. Morales,
Presidente.
J. C. Zelaya, Pablo B. Gómez, IP/NIl/SLV JI/S
Page4
Primer Secretario. Segundo Secretario.
Palacio Nacional: San Salvador, treinta de mayo de mil novecientos
treinta y cuatro.
Cúmplase,
Maximiliano H. Martínez,
Presidente Constitucional.
Carlos Menéndez Castro;
Ministro de Hacienda, Crédito Público,
Industria y Comercio.
D.L. N° 48, del 29 de mayo de 1934, publicado en el 0.0. N° 124, Tomo 116, del
7 de junio de 1934.
LOS EFECTOS DEL PRESENTE DECRETO HAN SIDO SUSPENDIDOS TEMPORALMENTE DURANTE
180 OlAS, SEGUN DECRETO LEGISLATIVO N° 353, DEL 19 DE OCTUBRE DE 1989,
PUBLICADO EN EL 0.0. N° 200, TOMO 305, DEL 30 DE OCTUBRE DE 1989. IPINIl/SLVII/5
Page 5
REGLAMENTO PARA LA APLICACION DE LA LEY DE MARCAS PARA CAFE y BALSAMO
N° 3.-El Poder Ejecutivo de la República de El Salvador,
CONSIDERANDO:
Que la ley de 29 de mayo de 1934, relativa al uso de marcas para café y
bálsamo, s~gún se desprende claramente de su tenor literal, tiende a proteger
los derechos legalmente adquiridos por los dueños de dichas marcas, pero no a
restringirlos.
Que por carecer de una reglamentación conveniente, ha faltado
uniformidad en la aplicación de la mencionada ley, según el criterio e
interpretación que le han dado los funcionarios y personas encargados de darle
cumplimiento. Con lo cual, además de demoras, se han perjudicado los derechos
que la "Ley General de Marcas de Fábrica" concede a los propietarios de éstas.
Que la facilidad y rapidez en los trámites, en nada alteran la
protección que el legislador ha querido dar' a los dueños de las marcas,
siempre que se cumplan las disposiciones de la referida ley.
Que la Asociación Cafetalera de El Salvador ha sido declarada por ley,
Fundación de Utilidad Pública, y como tal está llamada a colaborar con los
poderes públicos en cuanto concierne a la defensa del café.
Que el Ministerio de Agricultura no tiene personal suficiente para dar
pronta tramitación a las solicitudes o autorizaciones para el cambio de
marcas, y nada se opone en las leyes a que utilice los servicios de la
mencionada Asociación Cafetalera,
POR TANTO,
En uso de sus facultades constitucionales,
DECRETA:
el siguiente Reglamento para la aplicación de la ley de Marcas para Café y
Bálsamo:
Art. l°.-El dueño de una marca, en uso de los derechos que le conceden
los Arts. 4° y 9° de la Ley General de Marcas de Fábrica, podrá autorizar a
las empresas de ferrocarril, de embarques o de almacenes, para estamparla en
sacos o envases que contengan café o bálsamo de su propiedad, siempre que esta
autorización sea por escrito. Para cumplir con lo que dispone el Art. 3° de la
Ley de 29 de mayo de 1934, el dueño de una o más marcas presentará la
autorización por escrito a la Asociación Cafetalera de El Salvador, junto con
la documentación que compruebe que la marca le pertenece. La autorización
constará de tantos ejemplares cuantas sean las personas o empresas a quienes
el dueño de la marca desee conferirla, más dos copias, de las cuales una
quedará en archivo en la Asociación Cafetalera, y la otra será enviada al
Ministerio de Agricultura. si todo está en orden, el empleado que destine el
Presidente de la Asociación Cafetalera pondrá en todos los ejemplares y copias
un sello que diga: "Visto Bueno" "Por Delegación del Ministerio de
Agricultura" "Asociación Cafetalera de El Salvador", la fecha y firmará al
pie; devolverá en el mismo acto de su presentación los ejemplares originales
al interesado, conservará una de las copias, y enviará la otra al Ministerio
de Agricultura para su archivo. Bastará que el interesado se presente una sola IP/N/lISLV/I/5
Page 6
vez por cada temporada o cosecha a la Asociación Cafetalera para llenar estos
requisitos, y en lo sucesivo, durante la misma temporada podrá ordenar que se
agregue su marca, o se cambie por otra de su propiedad con solo carta o
telegrama a la persona o empresa autorizada, siempre que el café o bálsamo que
contengan los sacos o envases le pertenezca. Si el propietario de una marca
prefiere hacer visar por la Asociación Cafetalera la autorización, cada vez
que haga un embarque, podrá hacerlo así.
Art. 2 ° . -No será necesaria la autorización del dueño de la marca que
llevan los sacos o envases, cuando ésta se borre simplemente, y el producto
haya sido vendido al propietario de la nueva marca que se agregue, desde luego
que transferida la propiedad del café o del bálsamo, el nuevo dueño puede
hacer de él el uso que quiera. Pero cuando el café o el bálsamo se trasieguen
a sacos o envases distintos, sí será necesaria la autorización de ambos, de
conformidad con el Art. 3° de la Ley de 29 de mayo de 1934 y del Art. 1° de
este Reglamento, con el fin de que el dueño de la marca primitiva pueda tomar
las medidas que crea oportunas para evitar que los sacos o envases con su
marca, sean rellenados con productos espurios.
Art. 3°.-De conformidad con el Art. 2° de la Ley General de Marcas de
Fábrica, se considera marca principal: "Todo lo que no esté prohibido por la
ley y que sirva para distinguir unos artículos de otros idénticos o
semejantes; pero de distinta procedencia". Para llenar los fines que persigue
la Ley de 29 de mayo de 1934, sin embarazar los transportes y embarques de
café y de bálsamo, podrá.el interesado hacer su marca en caracteres pequeños,
con tal de que denoten la procedencia del café o del bálsamo y no sean de los
signos usados corrientemente como contra marcas o destino, y poner dicha marca
principal en uno de los ángulos del envase, arriba del lugar destinado para la
contramarca y el destino, con el objeto de poder agregar, llenando los
requisitos de las leyes respectivas, en la forma que establece este
Reglamento, otra de sus propias marcas de tamaño ordinario, en fecha posterior
al envío del producto a las estaciones de ferrocarril o a las bodegas de los
puertos.
Art. 4°.-La Asociación Cafetalera de El Salvador llevará un registro y
catálogo de todas las marcas usadas para café y bálsamo.
Art. 5°.-Este registro así como las autorizaciones de cambio de marcas,
serán públicos y podrán ser consultados por quien quiera.
Art. 6°. -El presente Decreto entrará en vigencia desde el día de su
publicación.
Dado en el Palacio Nacional: San Salvador, a catorce de noviembre de mil
novecientos treinta y cuatro.
A. l. Menéndez,
Presidente Constitucional.
Carlos Menéndez Castro,
Ministro de Hacienda, Crédito Público,
Industria y Comercio.
José Tomás Calderón,
Ministro de Agricultura.
D.E. S/N, del 14 de noviembre de 1934, publicado en el 0.0. N° 258, Tomo 117,
el 24 de noviembre de 1934. IP/N/lISLV/I/5
Page 7
DECRETO SOBRE EL USO DE LA FRASE "BALSAMO DE EL SALVADOR" EN LOS ENVASES DE
BALSAMO DESTINADO A LA EXPORTACION
DECRETO N° 162.
La Asamblea Nacional Legislativa de la República de El Salvador,
CONSIDERANDO: que existe en algunas naciones extranjeras la errónea
creencia de que el bálsamo-producto exclusivo de nuestro suelo-es originario
de otros países; creencia que irroga grave perjuicio a los intereses
nacionales, y que se debe en gran parte a que en los envases en que se exporta
este producto, no se hace constar claramente que es originario de esta
República; y
que al efectuarse la exportación de
éste adulterado con fines comerciales,
garantizar su estado de pureza;
POR TANTO,
en uso de sus facultades constitucionales,
DECRETA: dicho producto nacional, puede ser
y que conviene, para tal caso,
Art. l°.-Todo envase, tanto interno como externo, que contenga bálsamo
destinado a la exportación, deberá tener impresa con gruesos caracteres, en
lugar visible, la siguiente frase: "BALSAMO DE EL SALVADOR".
Queda a salvo el derecho de los exportadores para hacer constar, además,
en dichos envases, la marca de fábrica y comercio que hayan registrado
conforme a la ley.
La contravención a esta disposición será penada con una multa de
veinticinco colones por cada envase.
Art. 2°.-Derogado. (1)
Art. 3°.-Facúltase al Ministerio de Hacienda e Industria para que dicte
todas las medidas pertinentes para la efectividad de este Decreto.
Dado en el Salón de Sesiones del Poder Legislativo; Palacio Nacional:
San Salvador (Cuscatlán), a los catorce días del mes de diciembre de mil
novecientos treinta y cinco.
César Cierra,
Presidente.
Arturo Acevedo,
Primer Secretario.
Franco. Fedo. Reyes,
Segundo Secretario.
Palacio Nacional: San Salvador, [Cuscatlán] a los dieciséis días del mes
de diciembre de mil novecientos treinticinco.
Cúmplase, IP/NIl/SLV/I/5
Page 8
Maximiliano H. Martínez,
Presidente Constitucional.
Max. P. Brannon,
Subsecretario de Hacienda, encargado del Despacho.
D.L. N° 162, del 14 de diciembre de 1935, publicado en el 0.0. N° 281, Tomo
119, del 20 de diciembre de 1935.
REFORMA:
(1) D.L. N° 42, de 30 de mayo de 1938, publicado en el 0.0. N° 116, Tomo 142,
del 2 de junio de 1938.
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WORLD TRADE
ORGANIZATIONG/RO/45/Add.13/Rev.1*
21 September 2001
(01-4516)
Committee on Rules of Origin
INTEGRATED NEGOTIATING TEXT FOR THE
HARMONIZATION WORK PROGRAMME
CHAPTERS 74-81 (NON FERROUS METALS)
Note by the Secretariat
Revision
1. At its meeting on 10 May 1996, the Committee on Rules of Origin (CRO) decided to establish
an Integrated Negotiating Text (INT) for the Harmonization Work Programme. The first INT wascirculated in document G/RO/W/13 (24 Ma y 1996), and had been periodically updated
(G/RO/W/13/Rev.1-3, G/RO/W/13/Rev .3/Add.1 and 2). A further consolidated INT was circulated in
document G/RO/41(3 September 1999), and has al so been periodically updated (JOB(99)/5869,
JOB(99)/7617, JOB(00)/1573, JOB(00)/323 0, JOB(00) /5207 and JOB(00)/7194).
2. The attached document is the latest update of the negotiating text for Chapters 74-81 and
reflects the progress made by the CRO in July 2001.
____________________
* In English onlyG/RO/45/Add.13/Rev.1
Page 2
ISSUES FOR DECISION: CHAPTERS 74 TO 81
ISSUE No. 1 : MANUFACTURE OF POWDERS OF LAMELLAR STRUCTURE FROM
POWDERS OF NON-LAMELLAR STRUCTURE
OPTION A : Yes
1. The metal powder industry differentiates betw een granular 3-dimensional metal powders and
a completely different line of powders consisting of 2-dimensional products of lamellar structure.
Granular 3-dimensional metal powder is produced by atomization of liquid metal with air or inert gas.
The atomized powder is processed by means of si eving and sifting techniques to obtain powders in
the desired grain sizes. Lamellar metal powders are produced by means of a dry working process
using atomized powder as raw material.
2. The manufacture of lamellar powders is not a mere milling but a sophisticated, high-tech
conversion/ reshaping process. During the conversion/reshaping process, new faces of lamellar
powder are continuously produced. In addition to a clearly defined grain distribution pattern, the
lamellar powders also show a highly reflective surface after being treated in a polishing machine in
order to smooth the surface.
3. In comparison with granular powder, lamellar powders have a considerably higher reactivity
because they have a very high surface area and a much lower thickness than atomized powders in
similar fineness. These properties are required by the chemical and building industry. Hence, the
manufacture of copper or aluminium powders of lamellar structure from powders of non- lamellar
structure is considered to be a substantial transformation.
• The ori gin criterion should be :
ex7406.20(a) CTSH EC, CH
CTSHS JPN
ex7603.20(a) CTSH EC, CH
CTSHS JPN
OPTION B : No
4. The manufacture of powders of lamellar structure from powders of non- lamellar structure is
not a substantial transformation.
• The ori gin criterion should be:
ex7406.20(a) CTSHS, except from subheading
7406.10CAN, MEX, US,
PHI, BRA
ex7603.20(a) CTSHS, except from subheading
7603.10CAN, MEX, US,
PHI, BRA
Relevant HS Codes:
ex7406.20(a), ex7603.20(a)G/RO/45/Add.13/Rev.1
Page 3
ISSUE No. 2 : MANUFACTURE OF POWDERS FROM PLATES, SHEETS, STRIP AND FOIL
OPTION A: Yes
5. The manufacture of powders from plates, sheets, strip and foil is a substantial transformation.
• The origin criterion should be:
ex78.04(b) CTHS CAN, CH, JPN, MEX, US,
PHI, BRA, IND , MAL
OPTION B: No
6. The manufacture of powders from plates, sheets, strip and foil is not a substantial
transformation.
• The origin criterion should be:
ex78.04(b) CTH EC
Relevant HS Code:
ex78.04(b)
ISSUE No.3: MANUFACTURE OF FLAKES FROM POWDERSOPTION A: Yes
7. The manufacture of flakes from powders is a substantial transformation.
• The origin criterion should be:
ex81.01( ij), ex81.02( ij),
ex81.03( ij), ex81.04( ij),
ex81.05( ij), ex81.06( ij),
ex81.07( ij), ex81.08( ij),
ex81.09( ij), ex81.10( ij),
ex81.11( ij), ex81.13(d)CTHS CAN, CH, JPN, MEX, US
PHI
ex8112.19(e), ex8112.20( ij),
ex8112.30( ij), ex8112.40( ij),
ex8112.99(e)CTSHS CAN, CH, JPN, MEX, US
PHI
OPTION B: No
8. The manufacture of flakes from powders is not a substantial transformation.
• The ori gin criterion should be:G/RO/45/Add.13/Rev.1
Page 4
ex81.01( ij), ex81.02( ij),
ex81.03( ij), ex81.04( ij),
ex81.05( ij), ex81.06( ij),
ex81.07( ij), ex81.08( ij),
ex81.09( ij), ex81.10( ij),
ex81.11( ij), ex81.13(d)CTHS, except from powders EC
ex8112.19(e), ex8112.20( ij),
ex8112.30( ij), ex8112.40( ij),
ex8112.99(e)CTSHS, except from powders EC
Relevant HS Codes:
ex81.01( ij), ex81.02( ij), ex81.03( ij), ex81.04( ij), ex81.05( ij), ex81.06( ij), ex81.07( ij), ex81.08( ij),
ex81.09( ij), ex81.10( ij), ex81.11( ij), ex8112.19(e), ex8112.20( ij), ex8112.30( ij), ex8112.40( ij),
ex8112.99(e), ex81.13(d)
ISSUE No. 4: MANUFACTURE OF POWDERS FROM FLAKES
OPTION A: Yes
9. The manufacture of powders from flakes is a substantial transformation.
• The origin criterion should be:
7406.10 CTSH, except from
ex7406.20(a)CAN, CH, JPN, MEX,
US, PHI, BRA
ex7406.20(a) CTSHS JPN
CTSHS, except from
7406.10CAN, MEX, US, PHI,
BRA
ex75.04(a) CTHS CAN, CH, JPN, MEX,
US, PHI
7603.10 CTSH, except from
ex7603.20(a)CAN, CH, JPN, MEX,
US, PHI
ex7603.20(a) CTSHS CH, JPN
CTSHS, except from
7603.10CAN, MEX, US, PHI,
BRA
ex7903.90(a) CTSHS CAN, CH, JPN, MEX,
US, PHI
ex81.01(h), ex81.02(h),
ex81.03(h), ex81.04(h),
ex81.05(h), ex81.06(h),
ex81.07(h), ex81.08(h),CTHS CAN, CH, JPN, MEX,
US, PHIG/RO/45/Add.13/Rev.1
Page 5
ex81.09(h), ex81.10(h),
ex81.11(h), ex81.13(c)
ex8112.11(d), ex8112.20(h),
ex8112.30(h), ex8112.40(h),
ex8112.91(d)CTSHS CAN, CH, JPN, MEX,
US, PHI
OPTION B: No
10. The manufacture of powders from flakes is not a substantial transformation.
• The origin criterion should be:
7406.10 CTH EC, IND
ex7406.20(a) CTSH EC, IND
ex75.04(a) CTH EC, IND
7603.10 CTH EC, IND
ex7603.20(a) CTSH EC, IND
ex7903.90(a) CTH EC, IND
ex81.01(h), ex81.02(h),
ex81.03(h), ex81.04(h),
ex81.05(h), ex81.06(h),
ex81.07(h), ex81.08(h),
ex81.09(h), ex81.10(h),
ex81.11(h), ex81.13(c)CTHS, except from
flakesEC, IND
ex8112.11(d), ex8112.20(h),
ex8112.30(h), ex8112.40(h),
ex8112.91(d)CTSHS, except from
flakesEC, IND
Relevant HS Codes:
7406.10, ex7406.20(a), ex75.04(a), 7603.10, ex7603.20(a), ex7903.90(a), ex81.01(h), ex81.02(h),
ex81.03(h), ex81.04(h), ex81.05(h), ex81.06(h), ex81.07(h), ex81.08(h), ex81.09(h), ex81.10(h),
ex81.11(h), ex8112.11(d), ex8112.20(h), ex8112.30(h), ex8112.40(h), ex8112.91(d), ex81.13(c)
ISSUE No. 5: MANUFACTURE OF TIN POWDER AND FLAKES FROM TIN FOILOPTION A: Yes
11. The manufacture of powders and flakes from foil is a substantial transformation.
• The origin criterion should be:
CTHS (CAN, CH, JPN, MEX, US, PHI, BRA, MAL)G/RO/45/Add.13/Rev.1
Page 6
OPTION B: No
1. The manufacture of powders and flakes from foil is not a substantial transformation.
• The origin criterion should be:
CTH (EC)
Relevant HS Code: ex80.05(b)
ISSUE No. 6 : MANUFACTURE OF BARS, RODS AND PROFILES FROM CAST OR
SINTERED BARS AND RODS
OPTION A: Yes
13. The manufacture of bars and rods from cast or sintered bars and rods is a substantial
transformation. The bars and rods are obtained fo llowing plastic deformation which changes their
characteristics and increases their density. As compared with the input bars and rods, they are
different products, designed for specific uses.
• The origin criterion should be:
74.07 CTH CAN, CH, JPN, KOR, MEX, US, PHI, BRA, MAL
7505.11, 7505.12 CTSH CAN, CH, JPN, KOR, MEX, US, PHI, BRA, MAL
76.04, ex79.04(a) CTH CAN, CH, JPN, KOR, MEX, US, PHI, BRA, MAL
ex80.03(a) CTH CAN, CH, EGY, JPN, KOR, MEX, US, PHI, BRA,
MAL
OPTION B: No
14. The manufacture of bars and rods from cast or sintered bars and rods is not a substantial
transformation. The bars and rods remain classified with the metal and its alloys, in unwrought form,
as long as they have not been subsequently worked after production (otherwise than by simple
trimming or descaling) or been pickled to remove any surface defects. The products obtained are
therefore not appreciably different from the products used.
• The origin criterion should be:
74.07 CTH, except from cast or sintered bars and
rods of heading 74.03EC
7505.11 CTH, except from cast or sintered bars and
rods of heading 75.02EC
7505.12 CTH, except from cast or sintered bars and
rods of heading 75.02ECG/RO/45/Add.13/Rev.1
Page 7
76.04 CTH, except from cast or sintered bars and
rods of heading 76.01EC
ex79.04(a) CTH, except from cast or sintered bars and
rods of heading 79.01EC
ex80.03(a) CTH, except from cast or sintered bars and
rods of heading 80.01EC
Relevant HS Codes:
74.07, 7505.11, 7505.12, 76.04, ex79.04(a), ex80.03(a)
ISSUE No. 7: MANUFACTURE OF NICKEL-ALLOY BARS, RODS AND PROFILES FROM
NON-ALLOY NICKEL BARS, RODS AND PROFILES
OPTION A: Yes
15. The manufacture of nickel-alloy bars, rods and profiles from non-alloy nickel bars, rods and
profiles, is a substantial transformation.
• The origin criterion should be:
CTSH (CAN, CH, JPN, KOR, MEX, US, PHI, BRA , MAL)
OPTION B: Yes, provided
16. The manufacture of nickel-alloy bars, rods and profiles from non-alloy nickel bars, rods and
profiles, is not a substantial transformation.
• The origin criterion should be:
CTH, except from cast or sintered products of heading 75.02 (EC)
Relevant HS Code:
7505.12
ISSUE No. 8: MANUFACTURE OF COPPER PLATES, SHEETS AND STRIP FROM OTHER
COPPER PLATES, SHEETS AND STRIP BY COLD-ROLLING
OPTION A: Yes
17. The manufacture of copper plates, sheets and strip from other copper plates, sheets and strip
by cold-rolling is a substantial transformation since there is a plastic deformation of the products used
which alters their characteristics and makes the goods obtained suitable for different uses.
• The origin should be:
ex74.09(a) CTHS CH, EC, JPN, KOR, MEX, NOR, PHI, CAN,
US,G/RO/45/Add.13/Rev.1
Page 8
OPTION B: No
18. The manufacture of copper plates, sheets and strip of heading 74.09 from other copper plates,
sheets and strip of the same heading by cold-rolling is not a substantial transformation since there is
no appreciable change to the products used.
• The o rigin criterion should be:
ex74.09(a) CTH BRA
Relevant HS Code:
ex74.09(a)
ISSUE No. 9 : MANUFACTURE OF COPPER, ALUMINIUM, NICKEL, TIN, LEAD OR ZINC
WIRE FROM BARS, RODS AND PROFILES OF THE CORRESPONDING METAL
OPTION A: Yes19. The manufacture of copper, aluminium, nickel, tin, lead or zinc wire from bars, rods and
profiles of the corresponding metal is a substantial transformation. Wire is generally produced from
hot-rolled bars and rods in irregularly wound coils by drawing them through a die; wire drawing is an
important cold plastic deformation. Wire may also be obtained by other cold-forming processes such
as cold-rolling. The products obtained have particular features which distinguish them from the bars
and rods and make them suitable for specific uses.
• The origin criterion should be:
74.08 CTH CH, EC, JPN, KOR, NOR,
PHI
7505.21, 7505.22 CTSH CH, EC, JPN, KOR, PHI
76.05 CTH CH, EC, JPN, KOR, NOR,
PHI
ex78.03(b) CTHS EC, JPN, KOR, PHI, CH
ex79.04(b) CTHS EC, JPN, KOR, PHI, CH
ex80.03(b) CTHS CH, EC, EGY, JPN, KOR,
PHI
OPTION B: Yes, provided
20. In respect of copper, aluminium, nickel, or tin wire, the production of wire from bars, rods
and profiles is a substantial transformation, provided that the cross-sectional area of the bar or rod is
reduced by at least 50 %. Having the drawing operation accompanied by a requirement for a
minimum reduction in the cross-sectional area of the bar or rod , it guarantees that the operationcarried out was indeed important and entailed an appreciable change in the products used.G/RO/45/Add.13/Rev.1
Page 9
• The origin criterion should be:
74.08 CTH, except from heading 74.07;
or
A change from heading 74.07,
whether or not there is also achange from any other heading,
provided that the cross-sectional
area of the rod is reduced by at
least 50%CAN, MEX, NZ, BRA
7505.21, 7505.22 CTSH, except from subheadings
7505.11 through 7505.12; or
A change to this subheading from
subheadings 7505.11 through
7505.12, whether or not there isalso a change from any other
subheading, provided that the
cross-sectional area of the rod is
reduced by at least 50%CAN, MEX, US, BRA
76.05 CTH, except from heading 76.04;
or
A change from heading 76.04,
whether or not there is also a
change from any other heading,
provided that the cross-sectional
area of the rod is reduced by at
least 50%BRA, CAN, MEX
ex 80.03(b) CTHS, provided that the cross-
sectional area of the rod is reduced
by at least 50 %CAN, MEX, US, BRA
OPTION C: No
21. In respect of copper, aluminium, lead or zinc, the production of wire from bars, rods and
profiles is not a substantial transformation. Bars, rods and profiles are products relatively close to
wire. There is no appreciable difference between these two types of products.
• The origin criterion should be:
74.08 CTH, except from heading 74.07 US
76.05 CTH, except from heading 76.04 US
ex78.03(b) CTH MEX, US
ex79.04(b) CTH MEX, USG/RO/45/Add.13/Rev.1
Page 10
Relevant HS Codes:
74.08, 7505.21, 7505.22 , 76.05, ex78.03(b), ex79.04(b), ex80.03(b),
ISSUE No. 10 : MANUFACTURE OF COPPER, NICKEL, ALUMINIUM, OR LEAD FOIL FROM
PLATES, SHEETS AND STRIP OF THE CORRESPONDING METAL
OPTION A: Yes22. The manufacture of copper, nickel, aluminium or lead foil, of a thickness not exceeding
0.15 mm (in the case of copper and nickel) or not exceeding 0.2 mm (in the case of aluminium and
lead), from plates, sheets and strip of greater thickness is a substantial transformation. It entails a hot
or cold plastic deformation of the source products (plates, sheets and strip). The foil so produced hasdifferent characteristics and uses compared with those of the source products.
• The origin criterion should be:
74.10 CTH BRA, CAN, CH, EC, JPN, KOR, SG, PHI
ex 75.06(a) CTHS BRA, CH, EC, JPN, KOR, SG, PHI, CAN
7607.11 CTH CAN, CH, EC, JPN, KOR, MEX, SG, PHI
7607.19, 7607.20 CTH CAN, EC, JPN, KOR, MEX, SG, PHI
CTH; or change to
this subheading
from subheading7607.11CH
ex78.04(a) CTHS BRA, CAN, CH, EC, JPN, KOR, MEX,SG,
PHI
OPTION B: Yes, provided
23. The manufacture of copper, nickel, aluminium or lead foil, of a thickness not exceeding
0.15 mm (in the case of copper and nickel) or not exceeding 0.2 mm (in the case of aluminium and
lead), from plates, sheets and strip is a substantial transformation, provided that the following
conditions are satisfied:
• the thickness of the copper plates, sheets and strip used is not less than 0.5 mm; or
• the thickness of the nickel, aluminium or lead plates, sheets and strip used is reduced by at least
50% as a result of the transformation.
24. The manufacture entails a hot or cold plastic deformation of the source products, thereby
altering their characteristics. Moreover, the uses of foil are different from those of plates, sheets and
strip. However, to ensure that this manufacturing operation attains a minimum threshold, a minimumreduction in the thickness of the products used is required. That is to say, the starting products for
copper foil cannot be less than 0.5 mm thick, whereas the starting products for nickel, aluminium or
lead foil must be at least 50% thicker than the resultant products.
• The origin criterion should be:G/RO/45/Add.13/Rev.1
Page 11
74.10 CTH, except from heading 74.09
where the source product is less than
0.5 mm thickKEN, MEX, US
ex75.06(a) CTHS, provided that the thickness of
the source product is reduced by at
least 50 %MEX, US
7607.11,
7607.19,
7607.20CTH, except from heading 76.06; or
a change to foil of heading 76.07
from heading 76.06, if there has been
a reduction in the thickness of the
source product by at least 50%BRA, US
ex78.04(a) CTHS, provided that the thickness of
the source product is reduced by atleast 50 %US
Relevant HS Codes:
74.10, ex75.06(a), 7607.11, 7607.19, 7607.20, ex78.04(a)
ISSUE No. 11: MANUFACTURE OF PRINTED, COLOURED AND LACQUERED ALUMINIUM
FOIL (7607.19) AND BACKED ALUMINIUM FOIL (7607.20) FROM ALUMINIUM FOIL,
ROLLED BUT NOT FURTHER WORKED
OPTION A: Yes
25. Printing, colouring and lacquering of aluminium foil or backing of aluminium foil with paper,
PVC or the like are substantial transformations.
26. The manufacturing process to obtain printed, coloured and lacquered aluminium foil involves
the following operations:
• Colouring: The glossy side of the aluminium foil is coloured with a gold-coloured lacquer to give a
good decorative ground for the following red print.
• Printing and protective lacquering: The coloured side of the aluminium foil is gravure printed with
a solvent-based system and dried reel to reel gravure printing machine with automatic reel change.
Up to ten individual inks can be applied in one pass. Each station is equipped with a drying tunnel.
The last drying tunnel is suitable for drying protective varnishes.
• Heat seal lacquering: The matt side of the aluminiu m foil is heat seal lacquered in order : (a) to
prevent corrosion of the aluminium and changes in the food by the packaging material, and (b) to
allow a tight closure between the lid and the container.
• Reeling/ prelubrication: The lacquered, coloured and printed material is slit to the required width
and length with a reel-to-reel cutting machine with rotary knife system. There is an automatic edge
control system for straight reel edges and programmed web tension control for even reels. At the
same stage, the aluminium foil must be prelubricated in order to allow manufacture of containers
with a high pressure machine. This operation is necessary to avoid pin holes in the containers.G/RO/45/Add.13/Rev.1
Page 12
27. The manufacturing process to obtain aluminiu m foil with backing involves the following
operations:
• Printing: This stage is the same as for the printed, lacquered aluminium foil (see above).
• Laminating: The matt aluminium side is laminated to the smoother paper surface with an even
coating of special grease-resistant laminating wax. The wax must offer high bonding strength to
aluminium and paper as well as be soft enough to give good dead fold properties. This operation
takes place in a reel-to-reel wax laminator with varnish station and drying tunnel. There is a
separate melter for wax. The wax bath temperature is controlled via a thermo oil system with
thermostat. In the laminating station, the temperature is controlled with pneumatic nip pressure.
• Reeling: This stage is the same as for the printed, lacquered aluminium foil (see above).
28. The manufacturing process to obtain aluminium foil with backing for covering
telecommunication cables involves the following operations:
- Annealing and de-greasing: Reels of thick aluminium band are annealed by feeding the web
through special ovens. The web is carefully heat ed to just below the metals melting point, then
cooled. The metal recrystallizes and becomes soft. During this process, the majority of the
lubricant used during rolling evaporates from both sides of the aluminium band. A multiple-
stage wash process is used in order to reduce residue to a minimum.
- Extrusion coating: The annealed alumin ium band is extrusion-coated on one side. EAA Resin is
melted; then a film is applied directly to the aluminium via an extruder with continuous
monitoring of coat weight and web control. In order to achieve optimum adhesion, the material
is tempered (heat-treated) after coating.
- Reeling: This stage is the same as for the printed, coloured, lacquered aluminium foil (see
above).
29. As a result of these operations, the basic materials have turned into new, different products for
specific uses. The obtained products are specially designed for use as packaging or
container-production materials with decorative colour, strength to withstand transport and
warehousing damage, and other specific qualities for holding different food products which must be
protected against light, smell and other possibilities of contamination.
• The origin criterion should be:
7607.19 CTH, or change to this subheading
from subheading 7607.11CH, JPN
7607.20 CTH, or change to this subheading
from subheading 7607.11CH, JPN
OPTION B: No
30. Printing, colouring and lacquering of aluminium foil or backing of aluminium foil with paper,
PVC or the like are not substantial transformations. In order to claim origin, the aluminium foil should
be produced from products classified in other headings.G/RO/45/Add.13/Rev.1
Page 13
• The origin criterion should be:
•
7607.19, 7607.20 CTH CAN, EC, KOR, MEX,
SG, PHI
CTH, except from heading 76.06;
or a change to foil of heading
76.07 from heading 76.06, if there
has been a reduction in the
thickness of the source product by
at least 50%BRA, US
Relevant HS Codes:
7607.19, 7607.20
ISSUE No. 12: MANUFACTURE OF TIN FOIL FROM TIN POWDER OR TIN FLAKES
OPTION A: Yes
31. The manufacture of tin foil (ex 80.05 (a) ) from tin powders and flakes (ex 80.05 (b) ) is a
substantial transformation. It first entails recasting the products used, followed by plastic
deformation.
• The origin criterion should be:
CTHS (CAN, CH, EGY, JPN, US, EC, BRA , MAL)
OPTION B: No
32. The manufacture of tin foil from tin powders and flakes is not a substantial transformation.
• The origin criterion should be:
CTH (PHI)
Relevant HS Code:
ex80.05(a)
ISSUE No. 13: REFINING OF UNWROUGHT METALSOPTION A: Yes33. The refining of unwrought metals is a substantial transformation. Refining is a metallurgical
operation intended to remove, from the unwr ought product, any impurities which would be
detrimental to its industrial use, or to render those impurities less harmful. Various techniques are
used to achieve this objective :
- Thermal refining without reaction : Purification by mechanical means (decanting, washing,
vibration, bubbling through with inert gases) or by change of state (change from solid to liquid
and vice versa, change from solid or liquid to gas).
G/RO/45/Add.13/Rev.1
Page 14
- Thermal refining by selective reaction : Refining of metal in liquid state (by selective oxidation,
by selective chlorination, by selective sulphuration, etc.) or in solid state (by action of gas on the
impurities or the metal).
- Electrolytic refining : The metal to be purified constitutes the anode; the bath is a solution of that
metal; the pure metal is deposited on the cathode.
34. These various processes are extremely technical. The metals obtained clearly have
characteristics which are totally different and are intended for specific uses.
• The origin criterion should be:
75.01 CTH; or change within this
heading to mattes or sinters
containing 90% or more of
nickel from mattes or sinters
containing not more than75% of nickelBRA, CH, EC, JPN,
KOR
ex7601.10 (a) CTSHS BRA, CH, EC, JPN,
KOR, NOR
7801.10 CTSH BRA, CH, EC, JPN,
KOR, MEX
8001.10 CTH; or manufacture of
refined tin of this
subheading from unrefinedtin of the same subheadingBRA, CH, EC, EGY,
JPN, MEX, NOR
ex81.01(b), ex81.02(b),
ex81.03(b), ex81.04(b),
ex81.05(b), ex81.06(b),
ex81.07(b), ex81.08(b).
ex81.09(b), ex81.10(b),
ex81.11(b)CTHS JPN
ex8112.30(b), ex8112.40(b),
ex8112.91(b)
OPTION B: No
35. Refining of unwrought metals is not a subs tantial transformation. The fundamental qualities
and properties of the metals are not altered by processes intended simply to eliminate impurities.
The origin criterion should be:
75.01 CTH CAN, US, MEX, PHIG/RO/45/Add.13/Rev.1
Page 15
ex7601.10 (a) CTH CAN, US, MEX, PHI
7801.10 CTH CAN, US, PHI
8001.10 CTH CAN, US, PHI
ex81.01(b), ex81.02(b),
ex81.03(b), ex81.04(b),
ex81.05(b), ex81.06(b),
ex81.07(b), ex81.08(b).
ex81.09(b), ex81.10(b),ex81.11(b)CTHS, except from the alloys
and waste and scrap splitsPHI
ex8112.11(b),
ex8112.20(b),
ex8112.30(b),ex8112.40(b), ex8112.91(b)CTSHS, except from the alloys
and waste and scrap splitsPHI
Relevant HS Codes:
75.01, ex7601.10 (a), 7801.10, 8001.10, ex81.10(b), ex81.02(b), ex81.03(b), ex81.04(b), ex81.05(b),ex81.06(b), ex81.07(b), ex81.08(b). ex81.09(b), ex81.10(b), ex81.11(b), ex8112.11(b), ex8112.20(b),
ex8112.30(b), ex8112.40(b), ex8112.91(b)
ISSUE No. 14: MANUFACTURE OF ALUMINIUM TUBES AND PIPES FROM OTHER TUBES
AND PIPES OF THE SAME HEADINGS BY COLD-DRAWING
OPTION A: Yes36. The manufacture of aluminium tubes and pi pes from other aluminium tubes and pipes by
cold-drawing is a substantial transformation. Cold-drawing is a process which entails plastic
deformation of the tubes and pipes used. It results in appreciable changes to the starting products in
terms of characteristics and uses.
• The origin criterion should be:
76.08 CTH, or change within this
heading from tubes and
pipes to cold-drawn tubesand pipesCH, EC, SEN, JPN
OPTION B: No
37. The manufacture of aluminium tubes and pi pes from other aluminium tubes and pipes by
cold-drawing is not a substantial transformation. The tubes and pipes used are not alteredappreciably; their characteristics remain similar.
• The origin criterion should be:
76.08 CTH ARG, BRA, CAN,G/RO/45/Add.13/Rev.1
Page 16
MEX, US, PHI
Relevant HS Code:
76.08
ISSUE No. 15: MANUFACTURE OF TUBE OR PIPE FITTINGS FROM TUBES OR PIPESOPTION A: Yes38. The manufacture of tube or pipe fittings from tubes and pipes is a substantial transformation.
It entails plastic deformation to produce a change in the shape. The products obtained have newcharacteristics and are intended for more specific uses.
• The origin criterion should be:
7507.20 CTSH MEX
78.05 CTH; or change within this
heading from tubes and pipes to
fittingsCAN, MEX
79.06 CTH; or change within this
heading from tubes and pipes to
fittingsCAN, MEX
CTH; or change within this
heading from tubes and pipes to
fittings or from fittings to tubes
and pipesCAN, MEX
80.06 CTH; or change within this
heading from tubes and pipes to
fittingsCAN, MEX
CTH; or change within this
heading from tubes and pipes to
fittings, or from fittings to tubesand pipesCAN, MEX
OPTION B: No
39. The manufacture of tube or pipe fittings from tubes and pipes is not a substantial
transformation The products obtained do not have really new characteristics and their uses are notfundamentally different.
• The origin criterion should be:
7507.20 CTH EC, US, PHI, BRA, JPN
78.05 CTH EC, US, PHI, BRA,
JPN, CHG/RO/45/Add.13/Rev.1
Page 17
79.06 CTH EC, US, PHI, BRA
80.06 CTH EC,US, BRA, PHI
Relevant HS Codes:
7507.20, 78.05, 79.06, 80.06
ISSUE No. 16: ATTACHING TUBE OR PIPE FITTINGS TO TUBES OR PIPES
OPTION A: Yes
40. The attaching of tube or pipe fittings (e.g. S-bends, couplings) to tubes or pipes is a
substantial transformation since it reshapes the original tubes or pipes and makes the products suitable
for specific uses.
• The origin criterion should be:
7507.11,
7507.12CTSH CAN
79.06 CTH; or change within this heading
from tube and pipe fittings to tubes and
pipes, or from tubes and pipes to fittingsMEX
80.06 CTH; or change within this heading
from tube and pipe fittings to tubes and
pipes, or from tubes and pipes to fittingsCAN, MEX
OPTION B: No
41. The attaching of tube or pipe fittings to tubes and pipes is not a substantial transformation.
The operation is simple and does not bring new characteristics to the resulting products. The function
of tubes or pipes with or without fittings is not fundamentally different.
• The origin criterion should be:
7507.11, 7507.12 CTH EC, CH, US, JPN,
PHI, BRA, MEX
79.06 CTH CAN, EC, CH, US,
PHI, BRA , JPN
80.06 CTH EC, CH, US, JPN,
BRA, PHI, JPN
Relevant HS Codes:
7507.11, 7507.12, 79.06, 80.06G/RO/45/Add.13/Rev.1
Page 18
ISSUE No. 17 :MANUFACTURE OF ARTICLES FROM OTHER ARTICLES OF THE SAME
HEADINGS OR SUBHEADINGS
OPTION A: Yes
42. The manufacture of articles of certain headings or subheadings from other articles of the same
classification is a substantial transformation.
• The origin criterion should be:
7419.10, 7419.91, 7419.99 CTSH CAN, JPN, MEX, US,
PHI
ex75.08(a), ex75.08(c) CTHS CAN, JPN, MEX, US,
PHI
7616.91, 7616.99 CTSH JPN, MEX, PHI, CAN,
US
OPTION B: No
43. The manufacture of articles of certain headings or subheadings from other articles of the same
classification is not a substantial transformation.
• The origin criterion should be :
7419.10 7419.91, 7419.99 CTH EC, BRA, CH (+ Chapter
rule), IND
ex75.08(a), ex75.08(c) CTH EC, BRA, CH (+ Chapter
rule), IND
7616.91, 7616.99 CTH EC, BRA, CH (+ Chapter
rule), IND
Relevant HS Codes:
7419.10 7419.91, 7419.99, ex75.08(a), ex75.08(c), 7616.91, 7616.99
ISSUE No. 18: ASSEMBLY OF STRUCTURES FROM PARTS OF STRUCTURES OR FROM
PLATES, RODS, PROFILES, TUBES AND THE LIKE, OF ALUMINIUM, PREPARED FOR USE
IN STRUCTURES
OPTION A: Yes44. The assembly of structures from parts of structures or from plates, rods, profiles, tubes and
the like of aluminium, prepared for use in structures, is a substantial transformation. These products
are assembled by various methods such as rive ting, bolting or welding. Once installed, these
structures generally remain in that position, which confirms their character as an article.
• The origin criterion should be:G/RO/45/Add.13/Rev.1
Page 19
ex76.10(a) CTHS CAN, CH, JPN, MEX, US,
PHI, IND
OPTION B: No
45. The assembly of structures from parts of structures or from plates, rods, profiles, tubes and
the like of aluminium, prepared for use in structures, is not a substantial transformation. Assembly of
these parts to make structures entails simple operations which do not really give the products obtained
new characteristics.
• The origin criterion should be:
ex76.10(a) CTH EC, BRA
Relevant HS Code:
ex76.10(a)
ISSUE 19: MANUFACTURE OF PARTS OF STRUCTURES FROM ALUMINIUM PLATES,
RODS, PROFILES, TUBES AND THE LIKE, PREPARED FOR USE IN STRUCTURES
OPTION A: Yes
46. The manufacture of parts of structures from aluminium plates, rods, profiles, tubes and the
like, prepared for use in structures, is a substantial transformation. These products are assembled by
various methods such as riveting, bolting or welding. Once installed, these structures generally
remain in that position, which confirms their character as an article.
• The origin criterion should be:
ex76.10(b) CTHS CAN, CH, JPN, MEX, US
OPTION B: No
47. The manufacture of parts of structures from aluminium plates, rods, profiles, tubes and the
like, prepared for use in structures, is not a subs tantial transformation. Assembly of these parts to
make structures entails simple operations which do not really give the products obtained new
characteristics.
• The origin criterion should be:
ex76.10(b) CTH EC, PHI, BRA, IND
Relevant HS Codes:
ex76.10(b)
ISSUE No. 20: PREPARATION OF ALUMINIUM PLATES, RODS, PROFILES, TUBES AND
THE LIKE, FOR USE IN STRUCTURES FROM ALUMINIUM BARS, RODS, PROFILES, WIRE,
PLATES, SHEETS, STRIPS, TUBES, PIPES, TUBE AND PIPE FITTINGSG/RO/45/Add.13/Rev.1
Page 20
OPTION A: Yes
48. The preparation of aluminium plates, rods, profiles, tubes and the like, for use in structures
from aluminium bars, rods, profiles, wire, plates, sheets, strips, tubes, pipes, tube and pipe fittings is a
substantial transformation. The products used have to undergo various operations so that they can beused in structures : fitting with hooks or other attaching devices; tapping to enable screws to be
inserted at the time of assembly. The products obtained therefore have new characteristics.
• The origin criterion should be:
ex76.10(c) CTH CAN, CH, JPN, MEX
OPTION B: No
49. The preparation of aluminium plates, rods, profiles, tubes and the like, for use in structures
from aluminium bars, rods, profiles, wire, plates, sheets , strips, tubes, pipes, tube and pipe fittings is
not a substantial transformation. It entails fitting them with connecting devices (grooves, flanges orinterlocks) enabling them to be fitted to each other by being simply interlocked or even by having
their longitudinal sides juxtaposed. But these conne cting devices are produced by simple processes
and do not involve lengthy work; they do not cause any major changes to these products.
• The origin criterion should be:
ex76.10(c) CTH, except from headings 76.04 through 76.06,
76.08 or 76.09EC, US, BRA
Relevant HS Code:
ex76.10(c)
ISSUE No. 21: MANUFACTURE OF TIN CABLES
OPTION A: Yes
50. The manufacture of tin cables from other articles of the “tin” Chapter, including articles of the
same heading as tin cables, is a substantial transformation.
• The origin criterion should be:
CTH; or change to cables of this heading from other articles of this heading (MEX)
OPTION B: No
51. The manufacture of cables from other articles of the same heading as tin cables is not a
substantial transformation.
• The origin criterion should be:
CTH (BRA, CH, EC, JPN, US, PHI, CAN)G/RO/45/Add.13/Rev.1
Page 21
Relevant HS Code:
ex80.07(b)
ISSUE No. 22: MANUFACTURE OF LEAD PLATES, SHEETS AND STRIP FROM LEAD FOIL,
POWDERS OR FLAKES
OPTION A: Yes
52. The manufacture of lead plates, sheets and strip from lead foil, powders or flakes is a
substantial transformation.
• The origin criterion should be:
CTHS (EC, JPN, MEX, US) (CAN , MAL )
OPTION B: Yes, except
53. Only the manufacture of lead plates, sheets and strip from lead powders or flakes is a
substantial transformation.
• The origin criterion should be:
CTHS, except from split heading ex78.04(a) (PHI)
OPTION C: No
54. The manufacture of lead plates, sheets and strip from lead foil, powders or flakes is not a
substantial transformation.
• The origin criterion should be:
CTH (CH)
Relevant HS Code:
ex78.04(d)
ISSUE No. 23: MANUFACTURE OF LEAD FLAKES FROM LEAD PLATES, SHEETS, STRIP
AND FOIL
OPTION A: Yes
The manufacture of lead flakes from lead plates, sheets, strip and foil is a substantial
transformation.
• The origin criterion should be:
CTHS, except from split heading ex78.04(b) (CAN, JPN, MEX)
OPTION B: No
The manufacture of lead flakes from lead plates, sheets, strip and foil is not a substantial
transformation.G/RO/45/Add.13/Rev.1
Page 22
• The origin criterion should be:
CTH (EC, CH, US)
Relevant HS Code:
ex78.04(c)
ISSUE No. 24: MANUFACTURE OF PLATES, SHEETS, STRIP, FOIL, TUBES, PIPES AND
TUBE OR PIPE FITTINGS OF CHAPTER 81 BY COLD-ROLLING OF ARTICLES OF THE
SAME HEADING
OPTION A: Yes
Cold-rolling of plates, sheets, strip, foil, tubes, pipes and tube or pipe fittings from articles of the
same heading is a substantial transformation.
• The origin criterion should be: (JPN, EC, PHI, CH, US)
ex81.01(e), ex81.02(e),
ex81.03(e), ex81.04(e),ex81.05(e), ex81.06(e),
ex81.07(e), ex81.08(e),
ex81.09(e), ex81.10(e),
ex81.11(e)CTH; or cold-rolling from articles of
the same split heading
ex81.01(g), ex81.02(g),
ex81.03(g), ex81.04(g),
ex81.05(g), ex81.06(g),ex81.07(g), ex81.08(g),
ex81.09(g), ex81.10(g),
ex81.11(g), ex81.13(h)CTHS; or cold-rolling from articles of
the same split heading
ex8112.19(b), ex8112.20(e),
ex8112.30(e), ex8112.40(e),
ex8112.99(b)CTSHS; or cold-rolling from articles
of the same split subheading
ex8112.19(d), ex8112.20(g),
ex8112.30(g), ex8112.40(g),
ex8112.99(d)CTSHS; or cold-rolling from articles
of the same split subheading
OPTION B: No
Cold-rolling of plates, sheets, strip, foil, tubes, pipes and tube or pipe fittings from articles of the
same heading is not a substantial transformation.G/RO/45/Add.13/Rev.1
Page 23
The origin criterion should be: (CAN)
ex81.01(e), ex81.02(e), ex81.03(e), ex81.04(e),
ex81.05(e), ex81.06(e), ex81.07(e), ex81.08(e),
ex81.09(e), ex81.10(e), ex81.11(e)CTHS
ex81.01(g), ex81.02(g), ex81.03(g), ex81.04(g),
ex81.05(g), ex81.06(g), ex81.07(g), ex81.08(g),
ex81.09(g), ex81.10(g), ex81.11(g), ex81.13(h)CTHS
ex8112.19(b), ex8112.20(e), ex8112.30(e),
ex8112.40(e), ex8112.99(b)CTSHS
ex8112.19(d), ex8112.20(g), ex8112.30(g),
ex8112.40(g), ex8112.99(d)CTSHS
Relevant HS Codes:
ex81.01(e), ex81.02(e), ex81.03(e), ex81.04(e), ex81.05(e), ex81.06(e), ex81.07(e), ex81.08(e),
ex81.09(e), ex81.10(e), ex81.11(e), ex81.01(g), ex81.02(g), ex81.03(g), ex81.04(g), ex81.05(g),
ex81.06(g), ex81.07(g), ex81.08(g), ex81.09(g), ex81.10(g), ex81.11(g), ex81.13(h), ex8112.19(b),
ex8112.20(e), ex8112.30(e), ex8112.40(e), ex8112.99(b), ex8112.19(d), ex8112.20(g), ex8112.30(g),
ex8112.40(g), ex8112.99(d).G/RO/45/Add.13/Rev.1
Page 24
CHAPTER 74
Chapter Notes: Basket 1 (in principle, the text to be finalised later)
1. For the purposes of this Chapter, assembly operations, other than simple assembly operations, of goods of this Chapter are to be considered
as substantial transformation.
2. A change of classification solely by virtue of coiling of bars or rods to wire or uncoiling wire to bars or rods is not consi dered to be
substantial transformation.
3. For the purposes of those rules of origin which refer to a change of classification (i.e. change of heading or subheading), t he following
changes shall not confer origin:
a) changes which result from disassembly;b) changes which result from packaging or repackaging; or
c) changes which result solely from application of General Rule of Interpretation 2(a) with respect to collections of parts tha t are
presented as unassembled articles of another heading or subheading.
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
Chapter 74 Copper and articles thereof
74.01 Copper mattes; cement
copper (precipitated
copper).CTH Basket 1 (Endorsed by CRO)
7401.10 - Copper mattes See heading
7401.20 - Cement copper
(precipitated copper)G/RO/45/Add.13/Rev.1
Page 25HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
74.02 Unrefined copper; copper
anodes for electrolytic
refining.CTH Basket 1 (Endorsed by CRO)
74.03 Refined copper and copper
alloys, unwrought.See subheadings
- Refined copper :
7403.11 -- Cathodes and
sections of cathodesCTH Basket 1 (Endorsed by CRO)
7403.12 -- Wire-bars CTH Basket 1 (Endorsed by CRO)
7403.13 -- Billets CTH Basket 1 (Endorsed by CRO)
7403.19 -- Other CTH Basket 1 (Endorsed by CRO)
- Copper alloys :
7403.21 -- Copper-zinc base
alloys (brass)CTSH Basket 1 (Endorsed by CRO)
7403.22 -- Copper-tin base
alloys (bronze)CTSH Basket 1 (Endorsed by CRO)
7403.23 -- Copper-nickel base
alloys (cupro-nickel) or
copper-nickel-zinc basealloys (nickel silver)CTSH Basket 1 (Endorsed by CRO)
7403.29 -- Other copper alloys
(other than master alloys of
heading No. 74.05)CTSH Basket 1 (Endorsed by CRO)
74.04 Copper waste and scrap. The origin of the goods shall be the country
in which copper waste and scrap of thisheading are derived from manufacturing or
processing operations or from consumptionBasket 1 (Endorsed by CRO)
74.05 Master alloys of copper. CTH Basket 1 (Endorsed by CRO)
74.06 Copper powders and
flakes.See subheadingsG/RO/45/Add.13/Rev.1
Page 26
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
7406.10 - Powders of non-
lamellar structureCTSH, except from ex7406.20(a) Submitted to CRO for decision (Doc.
42.622)
Issues Nos 1, 4,
7406.20 - Powders of lamellar
structure; flakes See split subheadings
ex7406.20(a) - Powders of lamellar
structureCTSHS Submitted to CRO for decision (Doc.
42.622)Issue No 4
ex7406.20(b) - Flakes CTH Basket 1 (Endorsed by CRO)
74.07 Copper bars, rods and
profiles.CTH Endorsed by CRO
7407.10 - Of refined copper See heading
- Of copper alloys:
7407.21 -- Of copper-zinc base alloys
(brass)
7407.22 -- Of copper-nickel base
alloys (cupro-nickel) or
copper-nickel-zinc base
alloys (nickel silver)
7407.29 -- Other
74.08 Copper wire. [CTH] (CH) (JPN) (KOR) (EC) (NOR) (PHI)
[CTH, except from heading 74.07; or
A change from heading 74.07, whether or not
there is also a change from any otherheading, provided that the cross-sectional
area of the rod is reduced by at least 50%]
(CAN) (NZ) (MEX)
[CTH, except from heading 74.07] (US)Submitted to CRO for decision (Doc.
42.622)
Issue No. 9
Of refined copper: See headingG/RO/45/Add.13/Rev.1
Page 27HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
7408.11 -- Of which the maximum
cross-sectional dimension
exceeds 6 mm
7408.19 -- Other
- Of copper alloys:
7408.21 -- Of copper-zinc base alloys
(brass)
7408.22 -- Of copper-nickel base
alloys (cupro-nickel) or
copper-nickel-zinc basealloys (nickel silver)
7408.29 -- Other
74.09 Copper plates, sheets and
strip, of a thickness
exceeding 0.15 mm.See split headings
ex 74.09 (a) Cold-rolled CTHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 8
ex 74.09 (b) Other CTH Basket 1 (Endorsed by CRO)
- Of refined copper See split headings
7409.11 -- In coils
7409.19 -- Other
- Of copper-zinc base alloys
(brass)
7409.21 -- In coils
7409.29 -- Other
- Of copper-tin base alloys
(bronze)
7409.31 -- In coils
7409.39 -- OtherG/RO/45/Add.13/Rev.1
Page 28
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
7409.40 - Of copper-nickel base
alloys (cupro-nickel) or
copper-nickel-zinc basealloys (nickel silver)See split headings
7409.90 - Of other copper alloys
74.10 Copper foil (whether or not
printed or backed with
paper, paperboard, plastics
or similar backing
materials) of a thickness(excluding any backing) not
exceeding 0.15 mm.[CTH, except from heading 74.09 when the
source material has a thickness of less than
0.5 mm] (MEX) (US) (KEN)
[CTH] (CAN) (CH) (JPN) (EC) (KOR)
(BRA) (SG) (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 10
- Not backed: See heading
7410.11 -- Of refined copper See heading
7410.12 -- Of copper alloys
- Backed:
7410.21 -- Of refined copper
7410.22 -- Of copper alloys
74.11 Copper tubes and pipes. CTH Basket 1 (Endorsed by CRO)
7411.10 - Of refined copper See heading
- Of copper alloys:
7411.21 -- Of copper-zinc base alloys
(brass)
7411.22 -- Of copper-nickel base
alloys (cupro-nickel) or
copper-nickel-zinc base
alloys (nickel silver)
7411.29 -- Other
74.12 Copper tube or pipe fittings
(for example, couplings,
elbows, sleeves).CTH Basket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 29HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
7412.10 - Of refined copper See heading
7412.20 - Of copper alloys
74.13 Stranded wire, cables,
plaited bands and the like,
of copper, not electricallyinsulated.CTH Basket 1 (Endorsed by CRO)
74.14 Cloth (including endless
bands), grill and netting, of
copper wire; expanded
metal of copper.CTH Basket 1 (Endorsed by CRO)
7414.20 - Cloth See heading
7414.90 - Other
74.15 Nails, tacks, drawing pins,
staples (other than those of
heading No. 83.05) and
similar articles, of copper
or of iron or steel with
heads of copper; screws,bolts, nuts, screw hooks,
rivets, cotters, cotter-pins,
washers (including spring
washers) and similar
articles, of copper.CTH Basket 1 (Endorsed by CRO)
7415.10 - Nails and tacks, drawing
pins, staples and similar
articlesSee heading
- Other articles, not threaded:
7415.21 -- Washers (including spring
washers)
7415.29 -- Other
- Other threaded articles:G/RO/45/Add.13/Rev.1
Page 30
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
7415.31 -- Screws for wood See heading
7415.32 -- Other screws; bolts and
nuts
7415.39 -- Other
74.16 Copper springs. CTH Basket 1 (Endorsed by CRO)
74.17 Cooking or heating
apparatus of a kind usedfor domestic purposes, non-
electric, and parts thereof,
of copper.CTH Basket 1*
(See Chapter Note 1)
74.18 Table, kitchen or other
household articles and
parts thereof, of copper;
pot scourers and scouring
or polishing pads, gloves
and the like, of copper;sanitary ware and parts
thereof, of copper.CTH Basket 1*
(See Chapter Note 1)
- Table, kitchen or other
household articles and parts
thereof; pot scourers and
scouring or polishing pads,
gloves and the like:See heading
7418.11 -- Pot scourers and scouring
or polishing pads, gloves and
the likeSee heading
7418.19 -- Other
7418.20 - Sanitary ware and parts
thereof
74.19 Other articles of copper . See subheadingsG/RO/45/Add.13/Rev.1
Page 31HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
7419.10 - Chain and parts
thereof[CTH, with Chapter Note] (CH)
[CTH] (EC)
[CTSH] (CAN) (US) (JPN) (MEX) (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 17
-O t h e r :
7419.91 -- Cast, moulded,
stamped or forged, but not
further worked[CTH, with Chapter Note] (CH)
[CTH] (EC)
[CTSH] (CAN) (US) (JPN) (MEX) (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 17
7419.99 -- Other [CTH, with Chapter Note] (CH)
[CTH] (EC)
[CTSH] (CAN) (JPN) (US) (MEX) (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 17G/RO/45/Add.13/Rev.1
Page 32
CHAPTER 75
Chapter Notes: Basket 1 (in principle, the text to be finalised later)
1. For the purposes of this Chapter, assembly operations, other than simple assembly operations, of goods of this Chapter are to be considered
as substantial transformation.
A change of classification solely by virtue of coiling of bars or rods to wire or uncoiling wire to bars or rods is not conside red to be
substantial transformation.
3. For the purposes of those rules of origin which refer to a change of classification (i.e. change of heading or subheading), t he following
changes shall not confer origin:
a) changes which result from disassembly;b) changes which result from packaging or repackaging; or
c) changes which result solely from application of General Rule of Interpretation 2(a) with respect to collections of parts that are
presented as unassembled articles of another heading or subheading.
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
Chapter 75 Nickel and articles thereof.
75.01 Nickel mattes, nickel oxide
sinters and other
intermediate products of
nickel metallurgy.[CTH] (CAN) (MEX) (US) (PHI)
[CTH or change within this heading to mattes
or sinters containing 90 % or more of nickel
from mattes or sinters containing not more
than 75 % of nickel] (EC) (KOR) (CH) (JPN)
(BRA)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13
7501.10 - Nickel mattes See heading
7501.20 - Nickel oxide sinters and
other intermediate products
of nickel metallurgyG/RO/45/Add.13/Rev.1
Page 33HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
75.02 Unwrought nickel. See subheadings
7502.10 - Nickel, not alloyed CTH Basket 1 (Endorsed by CRO)
7502.20 - Nickel alloys CTSH Basket 1 (Endorsed by CRO)
75.03 Nickel waste and scrap. The origin of the goods shall be the country
in which nickel waste and scrap of this
heading are derived from manufacturing or
processing operations or from consumptionBasket 1 (Endorsed by CRO)
75.04 Nickel powders and flakes.
ex 75.04 (a) - Powders CTHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
ex 75.04 (b) - Flakes CTH Basket 1 (Endorsed by CRO)
75.05 Nickel bars, rods, profiles
and wire.See subheadings
- Bars, rods and profiles
7505.11 -- Of nickel, not alloyed CTSH Endorsed by CRO
7505.12 -- Of nickel alloys CTSH Endorsed by CRO
- Wire
7505.21 -- Of nickel, not alloyed [CTSH] (JPN) (EC) (CH) (KOR) (PHI)
[CTSH, except from subheadings 7505.11through 7505.12; or
A change to this subheading from
subheadings 7505.11 through 7505.12,
whether or not there is also a change from
any other subheading, provided that thecross-sectional area of the rod is reduced by
at least 50%] (CAN) (MEX) (US)Submitted to CRO for decision (Doc.
42.622)Issue No. 9G/RO/45/Add.13/Rev.1
Page 34
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
7505.22 -- Of nickel alloys [CTSH] (JPN) (EC) (CH) (KOR) (PHI)
[CTSH, except from subheadings 7505.11
through 7505.12; orA change to this subheading from
subheadings 7505.11 through 7505.12,
whether or not there is also a change from
any other subheading, provided that the
cross-sectional area of the rod is reduced byat least 50%] (CAN) (MEX) (US)Submitted to CRO for decision (Doc.
42.622)
Issue No. 9
75.06 Nickel plates, sheets, strip
and foil.See split headings
ex 75.06 (a) Nickel foil of a thickness less
than 0.15 mm[CTHS] (EC) (JPN) (CH) (KOR) (BRA)
(SG) (PHI)
[CTHS, provided that the thickness of thesource product is reduced by at least 50 %]
(CAN) (US) (MEX)Submitted to CRO for decision (Doc.
42.622)
Issue No. 10
ex 75.06 (b) Other CTH Basket 1 (Endorsed by CRO)
7506.10 - Of nickel, not alloyed See split headings
7506.20 - Of nickel alloys
75.07 Nickel tubes, pipes and
tube or pipe fittings (for
example, couplings, elbows,sleeves).See subheadings
- Tubes and pipes :
7507.11 -- Of nickel, not
alloyed[CTSH] (CAN) (MEX)
[CTH] (EC) (CH) (US) (JPN) (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 16
7507.12 -- Of nickel alloys [CTSH] (CAN) (MEX)
[CTH] (EC) (CH) (US) (JPN) (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 16G/RO/45/Add.13/Rev.1
Page 35HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
7507.20 - Tube or pipe fittings [CTSH] (MEX) (JPN)
[CTH] (EC) (CAN) (CH) (US) (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 15
75.08 Other articles of nickel. See split headings
ex 75.08 (a) Cloth, grill and netting, of
nickel wire[CTHS] (CAN) (US) (JPN) (MEX) (PHI)
[CTH] (EC)
[CTH, with Chapter Note] (CH)Submitted to CRO for decision (Doc.
42.622)
Issue No. 17
ex 75.08 (b) Anodes for galvanization [CTH, except from the change by tapping orpiercing or the addition of hooks]Basket 1 (Endorsed by CRO)
ex 75.08 (c) Other [CTHS] (CAN) (US) (JPN) (MEX)
[CTH] (EC)
[CTH, with Chapter Note] (CH)Submitted to CRO for decision (Doc.
42.622)
Issue No. 17
7508.10 - Cloth, grill and netting, of
nickel wireSee split headings
7508.90 - OtherG/RO/45/Add.13/Rev.1
Page 36
CHAPTER 76
Chapter Notes: Basket 1 (in principle, the text to be finalised later)
1. For the purposes of this Chapter, assembly operations, other than simple assembly operations, of goods of this Chapter are to be considered
as substantial transformation.
2. A change of classification solely by virtue of coiling of bars or rods to wire or uncoiling wire to bars or rods is not consi dered to be
substantial transformation.
3. For the purposes of those rules of origin which refer to a change of classification (i.e. change of heading or subheading), t he following
changes shall not confer origin:
a) changes which result from disassembly;
b) changes which result from packaging or repackaging; or
c) changes which result solely from application of General Rule of Interpretation 2(a) with respect to collections of parts tha t are
presented as unassembled articles of another heading or subheading.
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
Chapter 76 Aluminium and articles
thereof.
76.01 Unwrought aluminium. See subheadings.
7601.10 - Aluminium, not alloyed See split subheadings
ex7601.10(a) - Of a purity of 99.9 %
or more (EC)[CTSHS] (EC) (KOR) (NOR) (CH) (JPN)
(BRA)
[CTH] (CAN) (US) (MEX) (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13
ex7601.10(b) - Other CTH Basket 1 (Endorsed by CRO)
7601.20 - Aluminium alloys CTSH Basket 1 (Endorsed by CRO)
76.02 Aluminium waste and
scrap.The origin of the goods shall be the country
in which aluminium waste and scrap of thisheading are derived from manufacturing or
processing operations or from consumptionBasket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 37HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
76.03 Aluminium powders and
flakes.See subheading
7603.10 - Powders of non-lamellar
structureCTSH, except from ex 7603.20 (a) Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
7603.20 - Powders of lamellar
structure; flakes
ex7603.20(a) - Powders of lamellar
structureCTSHS Submitted to CRO for decision (Doc.
42.622)
Issue No.4
ex7603.20(b) - Flakes CTH Basket 1 (Endorsed by CRO)
76.04 Aluminium bars, rods and
profiles.CTH Endorsed by CRO
7604.10 - Of aluminium, not alloyed See heading
- Of aluminium alloys:
7604.21 -- Hallow profiles
7604.29 -- Other
76.05 Aluminium wire. [CTH] (CH) (EC) (JPN) (KOR) (NOR) (PHI)
[CTH, except from heading 76.04; orA change from heading 76.04, whether or not
there is also a change from any other
heading, provided that the cross-sectional
area of the rod is reduced by at least 50%]
(CAN) (MEX) (BRA)[CTH, except from heading 76.04] (US)Submitted to CRO for decision (Doc.
42.622)Issue No. 9
- Of aluminium, not alloyed: See heading
7605.11 -- Of which the maximum
cross-sectional dimension
exceeds 7 mmSee heading
7605.19 -- OtherG/RO/45/Add.13/Rev.1
Page 38
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
- Of aluminium alloys:
7605.21 -- Of which the maximum
cross-sectional dimension
exceeds 7 mm
7605.29 -- Other
76.06 Aluminium plates, sheets
and strip, of a thickness
exceeding 0.2 mm.CTH Basket 1 (Endorsed by CRO)
- Rectangular (including
square):See heading
7606.11 -- Of aluminium, not alloyed
7606.12 -- Of aluminium alloys
- Other:
7606.91 -- Of aluminium, not alloyed
7606.92 -- Of aluminium alloys
76.07 Aluminium foil (whether or
not printed or backed with
paper, paperboard, plasticsor similar backing
materials) of a thickness
(excluding any backing) not
exceeding 0.2 mm.See subheadings
- Not backed:
7607.11 -- Rolled but not further
worked[CTH] (CAN) (CH) (EC) (JPN) (MEX)
(KOR) (SG) (PHI)
[CTH;except from 76.06 or a change to foil
of heading 76.07 from heading 76.06, if there
has been a reduction in the thickness of the
source product by at least 50 %] (US) (BRA)Submitted to CRO for decision (Doc.
42.622)
Issue No. 10G/RO/45/Add.13/Rev.1
Page 39HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
7607.19 -- Other CTH Submitted to CRO for decision (Doc.
42.622)
Issue Nos. 10, 11
7607.20 - Backed CTH Submitted to CRO for decision (Doc.
42.622)Issue Nos. 10, 11
76.08 Aluminium tubes and
pipes.[CTH] (ARG) (US) (JPN) (CH) (MEX)
(BRA) (PHI)
[CTH, or change within this heading from
tubes and pipes to cold-drawn tubes and
pipes] (EC) (CAN) (SEN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 14
7608.10 - Of aluminium, not alloyed See heading
7608.20 - Of aluminium alloys
76.09 Aluminium tube or pipe
fittings (for example,
couplings, elbows, sleeves).CTH Basket 1 (Endorsed by CRO)
76.10 Aluminium structures
(excluding prefabricated
buildings of heading 94.06)
and parts of structures (for
example, bridges and
bridge-sections, towers,lattice masts, roofs, roofing
frameworks, doors and
windows and their frames
and thresholds for doors,
balustrades, pillars andcolumns); aluminium
plates, rods, profiles, tubes
and the like, prepared for
use in structures.See split headingsG/RO/45/Add.13/Rev.1
Page 40
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex 76.10 (a) Structures [CTHS] (US) (CH) (JPN) (MEX) (CAN)
(PHI)
[CTH] (EC)Submitted to CRO for decision (Doc.
42.622)
Issue No. 18
ex 76.10 (b) Parts of structures CTH Submitted to CRO for decision (Doc.
42.622)
Issue No. 19
ex 76.10 (c) Other [CTH] (CAN) (CH) (JPN) (MEX)[CTH, except from 76.04 through 76.06,
76.08 and 76.09] (EC) (US)Submitted to CRO for decision (Doc.
42.622)
Issue No. 20
7610.10 - Doors, windows and their
frames and thresholds for
doorsSee heading
7610.90 - Other See heading
76.11 Aluminium reservoirs,
tanks, vats and similar
containers, for any material
(other than compressed or
liquefied gas), of a capacity
exceeding 300 l, whether or
not lined or heat-insulated,
but not fitted withmechanical or thermal
equipment.CTH Basket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 41HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
76.12 Aluminium casks, drums,
cans, boxes and similar
containers (including rigidor collapsible tubular
containers), for any
material (other than
compressed or liquefied
gas), of a capacity notexceeding 300 l, whether or
not lined or heat-insulated,
but not fitted with
mechanical or thermal
equipment.CTH Basket 1 (Endorsed by CRO)
7612.10 - Collapsible tubular
containersSee heading
7612.90 - Other
76.13 Aluminium containers for
compressed or liquefied
gas.CTH Basket 1 (Endorsed by CRO)
76.14 Stranded wire, cables,
plaited bands and the like,of aluminium, not
electrically insulated.CTH Basket 1 (Endorsed by CRO)
7614.10 - With steel core See heading
7614.90 - OtherG/RO/45/Add.13/Rev.1
Page 42
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
76.15 Table, kitchen or other
household articles and
parts thereof, ofaluminium; pot scourers
and scouring or polishing
pads, gloves and the like, of
aluminium; sanitary ware
and parts thereof, ofaluminium.CTH Basket 1*
(See Chapter Note 1)
- Table, kitchen or
other household articles and
parts thereof; pot scourers
and scouring or polishing
pads, gloves and the like :See heading
7615.11 --Pot scourers and scouring
or polishing pads, gloves and
the likeSee heading
7615.19 -- Other
7615.20 - Sanitary ware and
parts thereof
76.16 Other articles of
aluminium .See subheadings
7616.10 - Nails, tacks, staples
(other than those of heading
83.05), screws, bolts, nuts,screw hooks, rivets, cotters,
cotter-pins, washers and
similar articles[CTSH] (JPN) (MEX)
[CTH] (CAN) (EC) (US))Terminology issue : choice between
CTH and CTSH; to be examined with
similar issue in machinery chapters.
- OtherG/RO/45/Add.13/Rev.1
Page 43HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
7616.91 -- Cloth, grill, netting and
fencing, of aluminium wire[CTSH] (JPN) (MEX) (PHI)
[CTH] (CAN) (EC) (US)
[CTH, with Chapter Note] (CH)Submitted to CRO for decision (Doc.
42.622)
Issue No. 17
7616.99 -- Other [CTSH] (JPN) (MEX) (PHI)
[CTH] (CAN) (EC) (US)[CTH, with Chapter Note] (CH)Submitted to CRO for decision (Doc.
42.622)Issue No. 17G/RO/45/Add.13/Rev.1
Page 44
CHAPTER 78
Chapter Notes: Basket 1 (in principle, the text to be finalised later)
1. For the purposes of this Chapter, assembly operations, other than simple assembly operations, of goods of this Chapter are to be considered
as substantial transformation.
2. A change of classification solely by virtue of coiling of bars or rods to wire or uncoiling wire to bars or rods is not consi dered to be
substantial transformation.
3. For the purposes of those rules of origin which refer to a change of classification (i.e. change of heading or subheading), t he following
changes shall not confer origin:
a) changes which result from disassembly;b) changes which result from packaging or repackaging; or
c) changes which result solely from application of General Rule of Interpretation 2(a) with respect to collections of parts that are
presented as unassembled articles of another heading or subheading.
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
Chapter 78 Lead and articles thereof
78.01 Unwrought lead. See subheadings
7801.10 - Refined lead [CTSH] (EC) (MEX) (KOR) (CH) (JPN)
(BRA)[CTH] (CAN) (US) (PHI)Submitted to CRO for decision (Doc.
42.622)Issue No. 13
-O t h e r :
7801.91 -- Containing by
weight antimony as the
principal other elementCTH Basket 1 (Endorsed by CRO)
7801.99 -- Other See split subheadingG/RO/45/Add.13/Rev.1
Page 45HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex7801.99
(a)Alloys CTSH Basket 1 (Endorsed by CRO)
ex 7801.99
(b)Other CTH Basket 1 (Endorsed by CRO)
78.02 Lead waste and scrap The origin of the goods shall be the country
in which lead waste and scrap of this heading
are derived from manufacturing or processingoperations or from consumptionBasket 1 (Endorsed by CRO)
78.03 Lead bars, rods, profiles
and wire.See split heading
ex 78.03 (a) - Bars, rods and profiles CTH Basket 1 (Endorsed by CRO)
ex 78.03 (b) - Wire [CTHS] (CAN) (JPN) (EC) (KOR) (PHI)
[CTH] (US) (CH) (MEX)Submitted to CRO for decision (Doc.
42.622)
Issue No. 9
78.04 Lead plates, sheets, strip
and foil; lead powders and
flakes.See split headings
ex 78.04 (a) Lead foil [CTHS] (CAN) (EC) (JPN) (MEX) (CH)
(KOR) (BRA) (SG) (PHI)
[CTHS, if there has been a reduction in the
thickness of the source product by at least 50%] (US)Submitted to CRO for decision (Doc.
42.622)
Issue No. 10
ex 78.04 (b) Powders CTHS Endorsed by CRO
ex 78.04 (c) Flakes CTHS, except from split heading ex 78.04(b) Endorsed by CRO
ex 78.04 (d) Other CTHS Endorsed by CRO
- Plates, sheets, strip and foil: See split headings
7804.11 -- Sheets, strip and foil
of a thickness (excluding any
backing) not exceeding 0.2
mmG/RO/45/Add.13/Rev.1
Page 46
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
7804.19 -- Other
7804.20 - Powders and flakes
78.05 Lead tubes, pipes and tube
or pipe fittings (for
example, couplings, elbows,sleeves).[CTH] (EC) (CH) (US) (MEX (CAN) (PHI)
[CTH, or change within this heading from
tubes and pipes to fittings] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No.15
78.06 Other articles of lead. CTH Basket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 47CHAPTER 79
Chapter Notes: Basket 1 (in principle, the text to be finalised later)
1. For the purposes of this Chapter, assembly operations, other than simple assembly operations, of goods of this Chapter are to be considered
as substantial transformation.
2. A change of classification solely by virtue of coiling of bars or rods to wire or uncoiling wire to bars or rods is not consi dered to be
substantial transformation.
3. For the purposes of those rules of origin which refer to a change of classification (i.e. change of heading or subheading), t he following
changes shall not confer origin:
a) changes which result from disassembly;b) changes which result from packaging or repackaging; or
c) changes which result solely from application of General Rule of Interpretation 2(a) with respect to collections of parts tha t are
presented as unassembled articles of another heading or subheading.
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
Chapter 79 Zinc and articles thereof.
79.01 Unwrought zinc. See split headings
ex 79.01 (a) Alloys CTHS Basket 1 (Endorsed by CRO)
ex 79.01 (b) Other CTH Basket 1 (Endorsed by CRO)
-Zinc, not alloyed: See split headings
7901.11 --Containing by weight
99.99% or more of zinc
7901.12 --Containing by weight less
than 99.99% of zinc
7901.20 -Zinc alloysG/RO/45/Add.13/Rev.1
Page 48
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
79.02 Zinc waste and scrap. The origin of the goods shall be the country
in which zink waste and scrap of this heading
are derived from manufacturing or processingoperations or from consumptionBasket 1 (Endorsed by CRO)
79.03 Zinc dust, powders and
flakes.See subheadings
7903.10 - Zinc dust CTH Basket 1 (Endorsed by CRO)
7903.90 - Other See split subheadings
ex 7903.90
(a)Powders CTSHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
ex 7903.90(b)Other
CTH Basket 1
79.04 Zinc bars, rods, profiles
and wire.See split heading
ex 79.04 (a) - Bars, rods and profiles CTH Endorsed by CRO
ex 79.04 (b) - Wire [CTHS] (CAN) (EC) (JPN) (KOR) (PHI)
[CTH] (US) (CH) (MEX)Submitted to CRO for decision (Doc.
42.622)Issue No. 9
79.05 Zinc plates, sheets, strip
and foil. ∗CTH Basket 1 (Endorsed by CRO)
79.06 Zinc tubes, pipes and tube
or pipe fittings (for
example, couplings, elbows,
sleeves).[CTH] (EC) (CAN) (CH) (US)] (PHI)
[CTH, or change within this heading to
fittings from tubes and pipes or to tubes and
pipes from fittings] (MEX)Submitted to CRO for decision (Doc.
42.622)
Issue Nos. 15, 16
[CTH, or change within this heading tofittings from tubes and pipes] (JPN)
∗ During review of overall coherence, specific cons ideration will be given to this item (G/RO/W/22/Rev.4)G/RO/45/Add.13/Rev.1
Page 49HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
79.07 Other articles of zinc. See split heading
ex 79.07 (a) - Electroplating anodes [CTH, except from the change by tapping or
piercing or the addition of hooks]Basket 1 (Endorsed by CRO)
ex 79.07 (b) - Other CTH Basket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 50
CHAPTER 80
Chapter Notes: Basket 1 (in principle, the text to be finalised later)
1. For the purposes of this Chapter, assembly operations, other than simple assembly operations, of goods of this Chapter are to be considered
as substantial transformation.
2. A change of classification solely by virtue of coiling of bars or rods to wire or uncoiling wire to bars or rods is not consi dered to be
substantial transformation.
3. For the purposes of those rules of origin which refer to a change of classification (i.e. change of heading or subheading), t he following
changes shall not confer origin:
a) changes which result from disassembly;b) changes which result from packaging or repackaging; or
c) changes which result solely from application of General Rule of Interpretation 2(a) with respect to collections of parts tha t are
presented as unassembled articles of another heading or subheading.
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
Chapter 80 Tin and articles thereof
80.01 Unwrought tin See subheadings
8001.10 - Tin, not alloyed [CTH] (CAN) (US) (PHI)
[CTH or manufacture of refined tin of this
subheading from unrefined tin of the same
subheading] (EC) (MEX) (NOR) (EGY)
(CH) (JPN) (BRA)Submitted to CRO for decision (Doc.
42.622)Issue No. 13
8001.20 - Tin alloys CTSH Basket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 51HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
80.02 Tin waste and scrap The origin of the goods shall be the country
in which tin waste and scrap of this heading
are derived from manufacturing or processingoperations or from consumption.Basket 1 (Endorsed by CRO)
80.03 Tin bars, rods, profiles and
wireSee split headings
ex 80.03 (a) Bars, rods, profiles CTH Endorsed by CRO
ex 80.03 (b) Wire [CTHS] (EC) (JPN) (EGY) (CH) (KOR)
(PHI)
[CTHS, provided that the cross-sectional area
of the rod is reduced by at least 50%. (CAN)(MEX) (US)]Submitted to CRO for decision (Doc.
42.622)
Issue No. 9
80.04 Tin plates, sheets and strip,
of a thickness exceeding 0.2
mmCTH Basket 1 (Endorsed by CRO)
80.05 Tin foil (whether or not
printed or backed with
paper, paperboard, plastics
or similar backing
materials), of a thickness
(excluding any backing) not
exceeding 0.2 mm; tinpowders and flakes.CTHS Endorsed by CRO
ex 80.05 (a) Foil
ex 80.05 (b) Powders and flakesG/RO/45/Add.13/Rev.1
Page 52
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
80.06 Tin tubes, pipes and tube
or pipe fittings (for
example, couplings, elbows,sleeves)[CTH] (EC) (CH) (US) (JPN) (BRA)
[CTH or change within this heading from
tubes and pipes to tube and pipe fittings ](JPN)
[CTH or change within this heading from
tube and pipe fittings to tubes and pipes](CAN) (MEX)Submitted to CRO for decision (Doc.
42.622)
Issues Nos. 15 and 16
80.07 Other articles of tin See split heading
ex 80.07 (a) - Electroplating anodes CTH, except from the change by tapping or
piercing or the addition of hooksBasket 1 (Endorsed by CRO)
ex 80.07 (b) - Other CTH Submitted to CRO for decision (Doc.
42.622)
Issue No. 21G/RO/45/Add.13/Rev.1
Page 53CHAPTER 81
Chapter Notes: Basket 1 (in principle, the text to be finalised later)
1. For the purposes of this Chapter, assembly operations, other than simple assembly operations, of goods of this Chapter are to be considered
as substantial transformation.
2. A change of classification solely by virtue of coiling of bars or rods to wire or uncoiling wire to bars or rods is not consi dered to be
substantial transformation.
3. For the purposes of those rules of origin which refer to a change of classification (i.e. change of heading or subheading), t he following
changes shall not confer origin:
a) changes which result from disassembly;b) changes which result from packaging or repackaging; or
c) changes which result solely from application of General Rule of Interpretation 2(a) with respect to collections of parts tha t are
presented as unassembled articles of another heading or subheading.
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
Chapter 81 Other base metals;
cermets; articles thereof.
81.01 Tungsten (wolfram) and
articles thereof, including
waste and scrapSee split headings Decisions as specified for split
headings
ex 81.01 (a) Alloys CTHS Basket 1 (Endorsed by CRO)
ex 81.01 (b) Refined tungsten [CTHS ] (JPN)
[CTHS, except from split headings
ex81.01(a) and ex81.01(c) ] (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13G/RO/45/Add.13/Rev.1
Page 54
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex 81.01 (c) Waste and scrap The origin of the waste and scrap of tungsten
shall be the country in which the waste and
scrap of the split heading are derived frommanufacturing or processing operations or
from consumptionBasket 1 (Endorsed by CRO)
ex 81.01 (d) Bars and rods, other than
those obtained simply by
sintering, profiles CTHS Basket 1 (Endorsed by CRO)
ex 81.01 (e) Plates, sheets, strip and foil [CTHS ]
CTHS or cold-rolling from articles of the
same split heading] (JPN)Submitted to CRO for decision
(Doc. 42.622)
Issue No. 24
ex 81.01 (f) Wire CTHS Basket 1 (Endorsed by CRO)
ex 81.01 (g) Tubes, pipes and tube or pipe
fittings[CTHS]
[CTHS or cold-rolling from articles of the
same split heading] (JPN)Submitted to CRO for decision
(Doc. 42.622)
Issue No. 24
ex 81.01 (h) Powders CTHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
ex 81.01 (ij) Flakes CTHS Endorsed by CRO
ex 81.01 (k) Cables CTHS Basket 1 (Endorsed by CRO)
ex 81.01 (l) Other CTHS Basket 1 (Endorsed by CRO)
8101.10 - Powders See split headings Decisions as specified for split
headings
- Other :
8101.91 -- Unwrought tungsten,
including bars and rods
obtained simply by sintering;
waste and scrapSee split headingsG/RO/45/Add.13/Rev.1
Page 55HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
8101.92 -- Bars and rods, other
than those obtained simply
by sintering, profiles, plates,sheets, strip and foil
8101.93 --Wire
8101.99 --Other
81.02 Molybdenum and articles
thereof, including waste
and scrap.See split headings Decisions as specified for split
headings
ex 81.02 (a) Alloys CTHS Basket 1 (Endorsed by CRO)
ex 81.02 (b) Refined molybdenum [CTHS ] (JPN)
[CTHS, except from split headings
ex81.02(a) and ex81.02(c)](PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13
ex 81.02 (c) Waste and scrap The origin of the waste and scrap ofmolybdenum shall be the country in which
the waste and scrap of the split heading arederived from manufacturing or processing
operations or from consumptionBasket 1 (Endorsed by CRO)
ex 81.02 (d) Bars and rods, other than
those obtained simply by
sintering , profilesCTHS Basket 1 (Endorsed by CRO)
ex 81.02 (e) Plates, sheets, strip and foil [CTHS ]
[CTH or cold-rolling from articles of the
same split heading] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex 81.02 (f) Wire CTHS Basket 1 (Endorsed by CRO)
ex 81.02 (g) Tubes, pipes and tube or pipe
fittings[CTHS ]
[CTH or cold-rolling from articles of the
same split heading] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24G/RO/45/Add.13/Rev.1
Page 56
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex 81.02 (h) Powders CTHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
ex 81.02 (ij) Flakes CTHS Endorsed by CRO
ex 81.02 (k) Cables CTHS Basket 1 (Endorsed by CRO)
ex 81.02 (l) Other CTHS Basket 1 (Endorsed by CRO)
8102.10 - Powders See split headings Decisions as specified for split
headings
- Other :
8102.91 --Unwrought molybdenum,
including bars and rods
obtained simply by sintering
waste and scrap
8102.92 -- Bars and rods, other than
those obtained simply bysintering, profiles, plates,
sheets, strip and foil
8102.93 -- Wire
8102.99 --Other
81.03 Tantalum and articles
thereof, including waste
and scrap.See split headings Decisions as specified for split
headings
ex 81.03 (a) Alloys CTHS Basket 1 (Endorsed by CRO)
ex 81.03 (b) Refined tantalum [CTHS ] (JPN)
[CTHS, except from split headings
ex81.03(a) and ex81.03(c) ] (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13G/RO/45/Add.13/Rev.1
Page 57HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex 81.03 (c) Waste and scrap The origin of the waste and scrap of tantalum
shall be the country in which the waste and
scrap of the split heading are derived frommanufacturing or processing operations or
from consumptionBasket 1 (Endorsed by CRO)
ex 81.03 (d) Bars and rods, other than
those obtained simply by
sintering ,profilesCTHS Basket 1 (Endorsed by CRO)
ex 81.03 (e) Plates, sheets, strip and foil [CTHS ]
[CTHS or cold- rolling from articles of the
same split heading ] (JPN )Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex 81.03 (f) Wire CTHS Basket 1 (Endorsed by CRO)
ex 81.03 (g) Tubes, pipes and tube or pipe
fittings[CTHS ]
[CTHS or cold-rolling from articles of the
same split heading] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex 81.03 (h) Powders CTHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
ex 81.03 (ij) Flakes CTHS Endorsed by CRO
ex 81.03 (k) Cables CTHS Basket 1 (Endorsed by CRO)
ex 81.03 (l) Other CTHS Basket 1 (Endorsed by CRO)
8103.10 - Unwrought tantalum,
including bars and rods
obtained simply by sintering,
waste and scrap; powdersProposals as specified for split headings Decisions as specified for split
headings
8103.90 - Other
81.04 Magnesium and articles
thereof, including waste
and scrap.See split headings Decisions as specified for split
headings
ex 81.04 (a) Alloys CTHS Basket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 58
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex 81.04 (b) Refined magnesium [CTHS ] (JPN)
[CTHS, except from split headings ex
81.04(a) and ex 81.04(c) ] (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13
ex 81.04 (c) Waste and scrap The origin of the waste and scrap of
magnesium shall be the country in which the
waste and scrap of the split heading are
derived from manufacturing or processing
operations or from consumptionBasket 1 (Endorsed by CRO)
ex 81.04 (d) Bars and rods, other than
those obtained simply by
sintering , profilesCTHS Basket 1 (Endorsed by CRO)
ex 81.04 (e) Plates, sheets, strip and foil [CTHS ]
[ CTHS or cold- rolling from articles of the
same split heading ](JPN )Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex 81.04 (f) Wire CTHS Basket 1 (Endorsed by CRO)
ex 81.04 (g) Tubes, pipes and tube or pipe
fittings[CTHS ]
[CTHS or cold-rolling from articles of the
same split heading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex 81.04 (h) Powders CTHS Endorsed by CRO
ex 81.04 (ij) Flakes CTHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 3
ex 81.04 (k) Cables CTHS Basket 1 (Endorsed by CRO)
ex 81.04 (l) Other CTHS Basket 1 (Endorsed by CRO)
- Unwrought magnesium : See split headings
8104.11 -- Containing at least 99.8%
by weight of magnesium
8104.19 -- Other See split headings
8104.20 - Waste and scrapG/RO/45/Add.13/Rev.1
Page 59HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
8104.30 - Raspings, turnings and
granules, graded according to
size; powders
8104.90 - Other
81.05 Cobalt mattes and other
intermediate products of
cobalt metallurgy; cobalt
and articles thereof,
including waste and scrap.See split headings
ex 81.05 (a) Alloys CTHS Basket 1 (Endorsed by CRO)
ex 81.05 (b) Refined cobalt [CTHS ] (JPN)
[CTHS, except from headings ex81.05(a) and
ex81.05 (c) ] (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13
ex 81.05 (c) Waste and scrap The origin of the waste and scrap of cobaltshall be the country in which the waste and
scrap of the split heading are derived frommanufacturing or processing operations or
from consumptionBasket 1 (Endorsed by CRO)
ex 81.05 (d) Bars and rods, other than
those obtained simply by
sintering , profilesCTHS Basket 1 (Endorsed by CRO)
ex 81.05 (e) Plates, sheets, strip and foil [CTHS]
[CTHS or cold- rolling from articles of the
same split heading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex 81.05 ( f) Wire CTHS Basket 1 (Endorsed by CRO)
ex 81.05 (g) Tubes, pipes and tube or pipe
fittings[CTHS ]
[CTHS or cold-rolling from articles of the
same split heading] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24G/RO/45/Add.13/Rev.1
Page 60
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex 81.05 (h) Powders CTHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
ex 81.05 (ij) Flakes CTHS Endorsed by CRO
ex 81.05 (k) Cables CTHS Basket 1 (Endorsed by CRO)
ex 81.05 (l) Other CTHS Basket 1 (Endorsed by CRO)
8105.10 - Cobalt mattes and other
intermediate products ofcobalt metallurgy; unwrought
cobalt; waste and scrap;
powdersSee split headings
8105.90 - Other See split headings
81.06 Bismuth and articles
thereof, including wasteand scrap.See split headings
ex 81.06 (a) Alloys CTHS Basket 1 (Endorsed by CRO)
ex 81.06 (b) Refined bismuth [CTHS ] (JPN)
[CTHS, except from split headings
ex81.06(a) and ex81.06 (c) ] (PHI)Submitted to CRO for decision (Doc.
42.622)Issue No. 13
ex 81.06 (c) Waste and scrap The origin of the waste and scrap of bismuthshall be the country in which the waste and
scrap of the split heading are derived from
manufacturing or processing operations orfrom consumptionBasket 1 (Endorsed by CRO)
ex 81.06 (d) Bars and rods, other than
those obtained simply by
sintering ,profilesCTHS Basket 1 (Endorsed by CRO)
ex 81.06 (e) Plates, sheets, strip and foil [CTHS ]
[CTHS or cold-rolling from articles of the
same split heading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24G/RO/45/Add.13/Rev.1
Page 61HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex 81.06 (f) Wire CTHS Basket 1 (Endorsed by CRO)
ex 81.06 (g) Tubes, pipes and tube or pipe
fittings[CTHS ]
[CTHS or cold-rolling from articles of the
same split heading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex 81.06 (h) Powders CTHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
ex 81.06 (ij) Flakes CTHS Endorsed by CRO
ex 81.06 (k) Cables CTHS Basket 1 (Endorsed by CRO)
ex 81.06 (l) Other CTHS Basket 1 (Endorsed by CRO)
81.07 Cadmium and articles
thereof, including wasteand scrap.See split headings Decisions as specified for split
headings
ex 81.07 (a) Alloys CTHS Basket 1 (Endorsed by CRO)
ex 81.07 (b) Refined cadmium [CTHS ] (JPN)
[CTHS, except from split headings
ex81.07(a) and ex81.07 (c) ] (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13
ex 81.07 (c) Waste and scrap The origin of the waste and scrap of cadmium
shall be the country in which the waste and
scrap of the split heading are derived from
manufacturing or processing operations or
from consumptionBasket 1 (Endorsed by CRO)
ex 81.07 (d) Bars and rods, other than
those obtained simply by
sintering ,profilesCTHS Basket 1 (Endorsed by CRO)
ex 81.07 (e) Plates, sheets, strip and foil [CTHS ]
[CTHS or cold-rolling from articles of the
same split heading ] (JPN)Submitted to CRO for decision (Doc.
42.622)Issue No. 24
ex 81.07 (f) Wire CTHS Basket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 62
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex 81.07 (g) Tubes, pipes and tube or pipe
fittings[CTHS ]
[CTHS or cold-rolling from articles of the
same split heading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex 81.07 (h) Powders CTHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
ex 81.07 (ij) Flakes CTHS Endorsed by CRO
ex 81.07 (k) Cables CTHS Basket 1 (Endorsed by CRO)
ex 81.07 (l) Other CTHS Basket 1 (Endorsed by CRO)
8107.10 - Unwrought cadmium;
waste and scrap; powdersSee split headings Decisions as specified for split
headings
8107.90 - Other
81.08 Titanium and articles
thereof, including waste
and scrap.See split headings Decisions as specified for split
headings
ex 81.08 (a) Alloys CTHS Basket 1 (Endorsed by CRO)
ex 81.08(b) Refined titanium [CTHS ] (JPN)
[CTHS, except from split headings
ex81.08(a) and ex81.08 (c) ] (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13
ex 81.08 (c) Waste and scrap The origin of the waste and scrap of titaniumshall be the country in which the waste and
scrap of the split heading are derived frommanufacturing or processing operations or
from consumptionBasket 1 (Endorsed by CRO)
ex 81.08 (d) Bars and rods, other than
those obtained simply by
sintering ,profilesCTHS Basket 1 (Endorsed by CRO)
ex 81.08 (e) Plates, sheets, strip and foil [CTHS ]
[CTHS or cold-rolling from articles of the
same split heading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24G/RO/45/Add.13/Rev.1
Page 63HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex 81.08 (f) Wire CTHS Basket 1 (Endorsed by CRO)
ex 81.08 (g) Tubes, pipes and tube or pipe
fittings[CTHS ]
[CTHS or cold-rolling from articles of the
same split heading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex 81.08 (h) Powders CTHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
ex 81.08 (ij) Flakes CTHS Endorsed by CRO
ex 81.08 (k) Cables CTHS Basket 1 (Endorsed by CRO)
ex 81.08 (l) Other CTHS Basket 1 (Endorsed by CRO)
8108.10 Unwrought titanium; waste
and scrap; powdersSee split headings
8108.90 Other
81.09 Zirconium and articles
thereof, including waste
and scrap.See split headings Decisions as specified for split
headings
ex 81.09 (a) Alloys CTHS Basket 1 (Endorsed by CRO)
ex 81.09(b) Refined zirconium [CTHS ] (JPN)
[CTHS, except from split headings
ex81.09(a) and ex81.09 (c) ] (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13
ex 81.09 (c) Waste and scrap The origin of the waste and scrap ofzirconium shall be the country in which thewaste and scrap of the split heading are
derived from manufacturing or processing
operations or from consumptionBasket 1 (Endorsed by CRO)
ex 81.09 (d) Bars and rods, other than
those obtained simply by
sintering ,profilesCTHS Basket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 64
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex 81.09 (e) Plates, sheets, strip and foil [CTHS ]
[CTHS or cold-rolling from articles of the
same split heading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex 81.09 (f) Wire CTHS Basket 1 (Endorsed by CRO)
ex 81.09 (g) Tubes, pipes and tube or pipe
fittings[CTHS ]
[CTHS or cold-rolling from articles of the
same split heading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex 81.09 (h) Powders CTHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
ex 81.09 (ij) Flakes CTHS Endorsed by CRO
ex 81.09 (k) Cables CTHS Basket 1 (Endorsed by CRO)
ex 81.09 (l) Other CTHS Basket 1 (Endorsed by CRO)
8109.10 - Unwrought zirconium;
waste and scrap; powdersSee split headings Decisions as specified for split
headings
8109.90 - Other
81.10 Antimony and articles
thereof, including waste
and scrap.See split headings Decisions as specified for split
headings
ex 81.10 (a) Alloys CTHS Basket 1 (Endorsed by CRO)
ex 81.10 (b) Refined antimony [CTHS ] (JPN)
[CTHS, except from split headings
ex81.10(a) and ex81.10 (c)] (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13
ex 81.10 (c) Waste and scrap The origin of the waste and scrap of
antimony shall be the country in which the
waste and scrap of the split heading are
derived from manufacturing or processing
operations or from consumptionBasket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 65HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex 81.10 (d) Bars and rods, other than
those obtained simply by
sintering ,profilesCTHS Basket 1 (Endorsed by CRO)
ex 81.10 (e) Plates, sheets, strip and foil [CTHS ]
[CTHS or cold-rolling from articles of the
same split heading ] (JPN)Submitted to CRO for decision (Doc.
42.622)Issue No. 24
ex 81.10 (f) Wire CTHS Basket 1 (Endorsed by CRO)
ex 81.10 (g) Tubes, pipes and tube or pipe
fittings[CTHS ]
[CTHS or cold-rolling from articles of the
same split heading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
IssueNo. 24
ex 81.10 (h) Powders CTHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
ex 81.10 (ij) Flakes CTHS Endorsed by CRO
ex 81.10 (k) Cables CTHS Basket 1 (Endorsed by CRO)
ex 81.10 (l) Other CTHS Basket 1 (Endorsed by CRO)
81.11 Manganese and articles
thereof, including waste
and scrap.See split headings Decisions as specified for split
headings
ex 81.11 (a) Alloys CTHS Basket 1 (Endorsed by CRO)
ex 81.11 (b) Refined manganese [CTHS ] (JPN)
[CTHS, except from split headings
ex81.11(a) and ex81.11 (c) ] (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13
ex 81.11 (c) Waste and scrap The origin of the waste and scrap ofmanganese shall be the country in which the
waste and scrap of the split heading are
derived from manufacturing or processingoperationsBasket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 66
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex 81.11 (d) Bars and rods, other than
those obtained simply by
sintering profilesCTHS Basket 1 (Endorsed by CRO)
ex 81.11 (e) Plates, sheets, strip and foil [CTHS ]
[CTHS or cold-rolling from articles of the
same split heading ] (JPN)Submitted to CRO for decision (Doc.
42.622)Issue No. 24
ex 81.11 (f) Wire CTHS Basket 1 (Endorsed by CRO)
ex 81.11 (g) Tubes, pipes and tube or pipe
fittings[CTHS ]
[CTHS or cold-rolling from articles of the
same split heading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex 81.11 (h) Powders CTHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
ex 81.11 (ij) Flakes CTHS Endorsed by CRO
ex 81.11 (k) Cables CTHS Basket 1 (Endorsed by CRO)
ex 81.11 (l) Other CTHS Basket 1 (Endorsed by CRO)
81.12 Beryllium, chromium,
germanium, vanadium,
gallium, hafnium, indium,
niobium (columbium),
rhenium and thallium, andarticles of these metals,
including waste and scrap.See split subheadings Decisions as specified for split
subheadings
- Beryllium :
8112.11 -- Unwrought; waste
and scrap; powdersSee split subheadings
ex8112.11(a) Alloys CTSHS Basket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 67HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex8112.11(b) Refined beryllium [CTSHS ] (JPN)
[CTSHS, except from split subheadings
ex8112.11(a) and ex8112.11 (c) ] (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13
ex8112.11(c) Waste and scrap The origin of the waste and scrap of
beryllium shall be the country in which the
waste and scrap of the split subheading are
derived from manufacturing or processing
operations or from consumptionBasket 1 (Endorsed by CRO)
ex8112.11(d) Powders CTSHS Submitted to CRO for decision (Doc.
42.622)Issue No. 4
8112.19 -- Other See proposals for split subheadings
ex8112.19(a) Bars and rods, other than
those obtained simply by
sintering and profilesCTSHS Basket 1 (Endorsed by CRO)
ex8112.19(b) Plates, sheets, strip and foil [CTSHS ]
[CTHS or cold-rolling from articles of the
same split subheading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex8112.19(c) Wire CTSHS Basket 1 (Endorsed by CRO)
ex8112.19(d) Tubes, pipes and tube or pipe
fittings[CTSHS ]
[CTHS or cold-rolling from articles of the
same split subheading ] (JPN)Submitted to CROfor decision (Doc.
42.622)
Issue No. 24
ex8112.19(e) Flakes CTSHS Endorsed by CRO
ex8112.19 (f) Cables CTSHS Basket 1 (Endorsed by CRO)
ex8112.19(g) Other CTSHS Basket 1 (Endorsed by CRO)
8112.20 - Chromium See proposals for split subheadings Decisions as specified for split
subheadings
ex8112.20(a) Alloys CTSHS Basket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 68
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex8112.20(b) Refined chromium [CTSHS ] (JPN)
[CTSHS, except from split subheadings
ex8112.20(a) and ex8112.20 (c) ] (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13
ex8112.20(c) Waste and scrap The origin of the waste and scrap of
chromium shall be the country in which the
waste and scrap of the split are derived from
manufacturing or processing operations or
from consumptionBasket 1 (Endorsed by CRO)
ex8112.20(d) Bars and rods, other than
those obtained simply by
sintering, profilesCTSHS Basket 1 (Endorsed by CRO)
ex8112.20(e) Plates, sheets, strip and foil [CTSHS ]
[CTHS or cold-rolling from articles of the
same split subheading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex8112.20 (f) Wire CTSHS Basket 1 (Endorsed by CRO)
ex8112.20(g) Tubes, pipes and tube or pipe
fittings[CTSHS ]
[CTHS or cold-rolling from articles of the
same split subheading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue NO. 24
ex8112.20(h) Powders CTSHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
ex8112.20(ij) Flakes CTSHS Endorsed by CRO
ex8112.20(k) Cables CTSHS Basket 1 (Endorsed by CRO)
ex8112.20 (l) Other CTSHS Basket 1 (Endorsed by CRO)
8112.30 -Germanium See split subheadings Decisions as specified for split
subheadings
ex8112.30(a) Alloys CTSHS Basket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 69HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex8112.30(b) Refined germanium [CTSHS ] (JPN)
[CTSHS, except from split subheadings
ex8112.30(a) and ex8112.30(c) ] (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13
ex8112.30(c) Waste and scrap The origin of the waste and scrap of
germanium shall be the country in which the
waste and scrap of the split subheading are
derived from manufacturing or processing
operations or from consumptionBasket 1 (Endorsed by CRO)
ex8112.30(d) Bars and rods, other than
those obtained simply by
sintering ,profilesCTSHS Basket 1 (Endorsed by CRO)
ex8112.30(e) Plates, sheets, strip and foil [CTSHS ]
[CTHS or cold-rolling from articles of the
same split subheading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex8112.30 (f) Wire CTSHS Basket 1 (Endorsed by CRO)
ex8112.30(g) Tubes, pipes and tube or pipe
fittings[CTSHS ]
[CTHS or cold-rolling from articles of the
same split subheading ] (JPN)Submitted to CRO for decision
(Doc. 42.622)
Issue No. 24
ex8112.30(h) Powders CTSHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
ex8112.30(ij) Flakes CTSHS Endorsed by CRO
ex8112.30(k) Cables CTSHS Basket 1 (Endorsed by CRO)
ex8112.30 (l) Other CTSHS Basket 1 (Endorsed by CRO)
8112.40 - Vanadium See split subheadings Decisions as specified for split
subheadings
ex8112.40(a) Alloys CTSHS Basket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 70
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex8112.40(b) Refined vanadium [CTSHS ] (JPN)
[CTSHS, except from split subheadings
ex8112.40(a) and ex8112.40 (c) ] (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13
ex8112.40(c) Waste and scrap The origin of the waste and scrap of
vanadium shall be the country in which the
waste and scrap of the split subheading are
derived from manufacturing or processing
operations or from consumptionBasket 1 (Endorsed by CRO)
ex8112.40(d) Bars and rods, other than
those obtained simply by
sintering, profilesCTSHS Basket 1 (Endorsed by CRO)
ex8112.40(e) Plates, sheets, strip and foil [CTSHS ]
[CTHS or cold-rolling from articles of the
same split subheading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex8112.40 (f) Wire CTSHS Basket 1 (Endorsed by CRO)
ex8112.40(g) Tubes, pipes and tube or pipe
fittings[CTSHS ]
[CTHS or cold-rolling from articles of the
same split subheading ] (JPN)Submitted to CRO for decision
(Doc. 42.622)Issue No. 24
ex8112.40(h) Powders CTSHS Submitted to CRO for decision (Doc.
42.622 )
Issue No. 4
ex8112.40(ij) Flakes CTSHS Endorsed by CRO
ex8112.40(k) Cables CTSHS Basket 1 (Endorsed by CRO)
ex8112.40 (l) Other CTSHS Basket 1 (Endorsed by CRO)
8112.91 - Other :
-- Unwrought; waste and
scrap; powdersSee split subheadings Decisions as specified for split
subheadings
ex8112.91(a) Alloys CTSHS Basket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 71HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
ex8112.91(b) Refined metals [CTSHS ] (JPN)
[CTSHS, except from split subheadings
ex8112.91(a) and ex8112.91(c) ] (PHI)Submitted to CRO for decision (Doc.
42.622)
Issue No. 13
ex8112.91(c) Waste and scrap The origin of the waste and scrap of metalsshall be the country in which the waste and
scrap of the split subheading are derived from
manufacturing or processing operations orfrom consumptionBasket 1 (Endorsed by CRO)
ex8112.91(d) Powders CTSHS Submitted to CRO for decision (Doc.
42.622)
Issue No. 4
8112.99 -- Other See split subheading
ex8112.99(a) Bars and rods, other than
those obtained simply by
sintering ,profilesCTSHS Basket 1 (Endorsed by CRO)
ex8112.99(b) Plates, sheets, strip and foil [CTSHS ]
[CTHS or cold-rolling from articles of the
same split subheading ] (JPN)Submitted to CRO for decision (Doc.
42.622)Issue No. 24
ex8112.99(c) Wire CTSHS Basket 1 (Endorsed by CRO)
ex8112.99(d) Tubes, pipes and tube or pipe
fittings[CTSHS ]
[CTHS or cold-rolling from articles of the
same split subheading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex8112.99(e) Flakes CTSHS Endorsed by CRO
ex 8112.99
(f)Cables CTSHS Basket 1 (Endorsed by CRO)
ex 8112.99
(g)Other CTSHS Basket 1 (Endorsed by CRO)G/RO/45/Add.13/Rev.1
Page 72
HS Code
NumberDescription of goods Primary Rule Notes Comments
AB C D E
81.13 Cermets and articles
thereof, including waste
and scrapSee split headings Decisions as specified for split
headings
ex 81.13 (a) Unwrought cermets CTHS Basket 1 (Endorsed by CRO)
ex 81.13 (b) Waste and scrap The origin of the waste and scrap of cermets
shall be the country in which the waste and
scrap of the split heading are derived frommanufacturing or processing operations or
from consumptionBasket 1 (Endorsed by CRO)
ex 81.13 (c) Powders CTHS Submitted to CRO for decision (Doc.
42.622)Issue No. 3
ex 81.13 (d) Flakes CTHS Endorsed by CRO
ex 81.13 (e) Bars and rods ,profiles CTHS Basket 1 (Endorsed by CRO)
ex 81.13 (f) Wire CTHS Basket 1 (Endorsed by CRO)
ex 81.13 (h) Tubes, pipes and tube or pipe
fittings[CTSHS ]
[CTHS or cold-rolling from articles of the
same split subheading ] (JPN)Submitted to CRO for decision (Doc.
42.622)
Issue No. 24
ex 81.13 (ij) Cables CTHS Basket 1 (Endorsed by CRO)
ex 81.13 (k) Other CTHS Basket 1 (Endorsed by CRO)
__________
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WTO_99/S_G_Tbtnot99_99-592.pdf
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S_G_Tbtnot99_99-592
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ORGANIZACIÓN MUNDIAL
DEL COMERCIOG/TBT/Notif.99/592
1º de diciembre de 1999
(99-5174)
Comité de Obstáculos Técnicos al Comercio
NOTIFICACIÓN
Se da traslado de la notificación de conformidad con el artículo 10.6.
1. Miembro del Acuerdo que notifica: BRASIL
Si procede, nombre del gobierno local de que se trate (artículos 3.2 y 7.2):
2. Organismo responsable: Instituto Nacional de Metrología, Normalización y Calidad
Industrial – INMETRO
Se indicará el organismo o autoridad responsable de la tramitación de observaciones
sobre la notificación, en caso de que se trate de un organismo o autoridad diferente:
3. Notificación hecha en virtud del artículo 2.9.2 [ X], 2.10.1 [ ], 5.6.2 [ ], 5.7.1 [ ], o
en virtud de:
4. Productos abarcados (partida del SA o de la NCCA cuando corresponda; en otro caso
partida del arancel nacional. Podrá indicarse además, cuando proceda, el número de
partida de la ICS): Productos preenvasados
5. Título, número de páginas e idioma(s) del documento notificado: Proyecto de
Reglamento técnico del MERCOSUR relativo a la determinación del peso escurrido de los
productos preenvasados (3 páginas, disponible en portugués y español).
6. Descripción del contenido: Este proyecto de Reglamento técnico establece la necesidad de
definir claramente el peso escurrido de los productos preenvasados.
7. Objetivo y razón de ser, incluida, cuando pr oceda, la índole de los problemas urgentes:
Facilitación del comercio entre los Estados parte del MERCOSUR.
8. Documentos pertinentes:
9. Fecha propuesta de adopción:
Fecha propuesta de entrada en vigor: No se indica
10. Fecha límite para la presentación de observaciones: 25 de noviembre de 1999
11. Textos disponibles en: Servicio nacional de información [ X], o dirección, correo
electrónico y número de telefax de otra institución:
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WTO_99/Q_WT_L_255.pdf
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Q_WT_L_255
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WORLD TRADE WT/L/255
18December 1997
ORGANIZATION(97-5545)
Original: English/French Committee onMarket Access
CANADA -NEW SIMPLIFIED NATIONAL CUSTOMS TARIFF
Thefollowing communication, dated 11December 1997, hasbeenreceived fromthePermanent
Mission ofCanada.
_______________
Myauthorities wishtoinform Members thatthelegislation providing fortheimplementation
ofanewsimplified national customs tariffwaspassed bytheCanadian Parliament on8December 1997.
Thelawwillenter intoforce on1January 1998.
Thenewsimplified tariff willresult indutysavings ofabout Can$90 million in1998.
Information relating tothemeasures implemented bythelegislation isprovided intheattached
background note.
Canadian authorities arepreparing anArticle XXVIII notification tosubmit toMembers. This
willbedoneshortly.WT/L/255
Page2
OnApril 22,1997, thegovernment tabled intheHouse ofCommons aNotice ofWays and
MeansMotionintroducingproposedlegislationtoimplementanewsimplifiedCustomsTariff,scheduled
tocome intoeffect January 1,1998. Thelegislation introduced today issubstantially thesame asthat
contained intheApril Notice butincorporates several amendments updating it,notably provisions to
implement provisions intheCanada-Chile FreeTrade Agreement andtheInformation Technology
Agreement, bothofwhich havetaken effect sinceApril. Aswell,several other changes reflect recently
introduced tariff provisions andother technical amendments.
Thelegislation proposes anewCustoms Tariff that:
- reduces tariffs onawiderange ofmanufacturing inputs;
- eliminates the"notmade inCanada" conditions inanumber ofduty-free provisions;
- eliminates concessionary tariff codes orconverts them, inwhole orinpart,totariff items;
- replaces theMachinery Remission Program withappropriate dutiable andduty-free tariffitems;
- converts certain specific ratesofduty(expressed asdollars orcents perunit)topercentages;
- eliminates awiderange oftariff regulations orreplaces them withtariff items;
- modernizes andstreamlines thelegislative provisions; and
- consolidates thenewtariff schedule through measures that:
- accelerate theimplementation ofcertain Uruguay Round, manufacturing input and
General Preferential Tariff (GPT) tariff reductions;
- eliminate most "nuisance" rates(those oflessthan2percent);
- round down most rates;
- harmonize certain rates;
- rectify inconsistencies inthetariff treatment ofgoods; and
- amalgamate tariff items.
Thelegislation alsoproposes complementary amendments totheCustoms Actaimed at
simplifying theadministration oftheCustoms Tariff. Abriefexplanation ofthese measures andthe
resulting benefits areoutlined below.
Reductions inratesofdutyonmanufacturing inputs
Most ofthetariff reductions onmanufacturing inputs (covering goods classified under about
1,500 tariff lines) wereimplemented on13June1995 inanticipation ofthelossofdutydrawback on
exports totheU.S. on1January 1996 asaresult oftheNorth American FreeTrade Agreement
(NAFTA). Reducing customs duties ongoods usedinmanufacturing operations reduces costs for
Canadian industry, making itmorecompetitive andbetter abletotakeadvantage ofthebenefits resulting
fromfreertrade, particularly intheNorth American market. Withtheimplementation ofthenewTariff,
theduty paid onawide range ofadditional manufacturing inputs willbereduced, effective
1January 1998.
Elimination of"Not Made inCanada" conditions intariff provisions
Asmall number oftariff provisions remain thatprovide duty-free entry forover$1billion
inspecified goods (mainly inputs) iftheyaredetermined byRevenue Canada nottobemade inCanada.
While theseprovisions wereofparticular relevance when tariffrateswererelatively highandCanadian
industrywasgenerallyprotectedfromimportcompetition,theyarenolongerjustifiedgiventheopenness
oftheCanadian economy. These provisions giverisetoinconsistencies inthetarifftreatment ofgoods,
impose administrative costsonindustry andgovernment, andcreate uncertainty astothedutiable status
ofcertain goods overtime.WT/L/255
Page3
Oneofthese provisions isbeing eliminated since allimports under itarecoming fromtheUS
andwillbeentering Canada duty-free from January 1,1998, andtheremaining provisions willbe
converted toduty-free items inthetariff schedule without the"notmade inCanada" condition. This
willallow forawider range ofduty-free goods usedmainly inmanufacturing products suchasmotor
vehicles, ships andcertain machinery. Thenewitems willhelpCanadian manufacturers improve their
competitiveness bygiving them access toabroader range ofduty-free inputs. Furthermore, the
procedures andcosts associated withobtaining "notmade" rulings from Revenue Canada willbe
eliminated, reducing redtapeandeliminating administrative costsforbothgovernment andindustry.
Elimination ofconcessionary tariff codes ortheirconversion totariff items
Concessionary tariff codes generally provide forreduced ratesorfreeentry forawiderange
ofgoods forspecified uses. With freertrade andchanges intrade patterns andtechnology, many of
theseprovisions arenolonger needed orjustified, andthose thatarestillrelevant canbereplaced with
provisions inthetariff schedule toincrease theirtransparency andreduce compliance costs.
More than1,000 codes arebeing eliminated mainly because there arenoimports under these
codes, imports under thecodes areinsignificant, ormostimports arefromtheU.S.andwillbeduty-free
by1998under NAFTA. About 1,000 other codes arebeing converted, inwhole orinpart,toregular
items inthetariff schedule atthesame concessionary ratesmainly because imports from non-U.S.
sources aresignificant.
Replacement ofmachinery remission programme withtariff items
Under theMachinery Program, duties onabroad range ofmachinery areremitted ifreasonably
equivalent machinery isnotavailable fromCanadian production. Theprogram wasparticularly relevant
when tariff rateswererelatively highandcovered abroad range ofmachinery fromallsources. Tariff
reductions pursuant totheCanada-U.S. FreeTrade Agreement, theUruguay Round andotherinitiatives
suchastheinput tariff reductions inBillC-102, nowmake theprogram lessrelevant. Aswiththe
"notmade" provisions, theMachinery Program imposes administrative costsonindustry andcreates
uncertainty astothedutiable status ofcertain machinery overtime.
TheMachinery Program isbeing terminated under theproposed legislation andtheremission
system isbeing replaced withtariff items --dutiable items forequipment available inCanada, and
duty-free items forequipment thatisunavailable domestically. Virtually allmachinery production parts
andmostspare partsunder thecurrent program willbeaccorded freeentry. Foratransitional period
ofthree years, "non-availability" fromCanadian production willberetained asthesolecriterion for
tariff relief ontheremaining dutiable production equipment covered under thecurrent program. The
retroactive relief features under thecurrent program willalsoberetained.
With theretention of"non-availability" asthesolecriterion fortariff relief andtomaintain
procedural continuity andcurrent administrative expertise, Revenue Canada willcontinue toplaya
major roleduring thetransitional period inreviewing tariff relief requests onmachinery. Revenue
Canada willreport itsfindings totheDepartment ofFinance foraction through amendments tothe
tariff schedule. Anotice willsoonbeissued byRevenue Canada regarding theprocess forseeking
relief andtheadministrative policy thatwillbeapplied.
During thethree-year transitional period, theFinance Department willreview theratesonthe
remainingdutiablemachinerytodeterminewhichmightbereducedorremoved.Thesechanges,together
withother tariff reductions onmachinery, might result inthetariff relief regime formachinery being
placed onthesamebasisasthatforotherproduct areas. Industry willbeconsulted aspartofthisprocess.WT/L/255
Page4
Thereplacement oftheMachinery Program willlower costs tomachinery users andprovide greater
transparency andpredictability inthetariff system forbusiness decisions.
Conversion ofspecific ratesofdutytopercentages
Specific ratesofduty(expressed asdollars orcents perunit)areregarded bysome aslacking
transparency inthattheactual levels ofprotection andtherealimpact ofthese ratesareobscured by
shipment-to-shipment variations inthevalues oftheimported goods. Thevastmajority ofratesinthe
Customs Tariff areexpressed aspercentages. Theconversion topercentages ofacertain number of
specific ratesisaimed atachieving agreater harmonization intheratestructure. Alcoholic beverages,
certain agricultural products andwool fabrics arenotaffected bytheconversion.
Elimination oftariff regulations ortheirconversion totariff items
Recent tradedevelopments mean thatmany tariffregulations arenolonger needed orjustified.
Therefore, some 300dutyremission orders andother regulations willberevoked. Roughly 70other
regulations arebeing replaced withsimpler items inthetariff schedule which provide thesame duty
treatment. Forcustoms dutypurposes, twelve ofthese regulations (and13tariffitems andcodes) that
provide fullorpartial tariff relief oncertain temporarily-imported goods willbereplaced withone
itemthatallows conditional duty-free entry forvirtually allsuchgoods. Another newitemreplaces
aregulation(andcode)whichallowsfreeentryforalistofsportsequipmentcomplyingwithinternational
standardsandusedfortrainingorcompetinginamateurinternationalcompetitions;thenewitemprovides
freeentry forallgoods ofthiskind. About 150regulations areretained principally because theycannot
readily beconverted totariff items duetotheircomplexity. These actions willsignificantly reduce
theregulatory burden andprovide increased transparency inthetariff regime.
Revision oflegislative provisions ofthecustoms tariff andrelated amendments
Many ofthelegislative provisions under theCustoms Tariff willbeupdated andstreamlined
tobetter reflect thecurrent conditions facing Canadian industry andtheimpact oftrade liberalization
overthepastseveral years. Themajority ofthese changes areofatechnical orhousekeeping nature
while others result from amendments tothetariff schedule (e.g.theelimination ofthe"notmade in
Canada" condition insome tariff provisions andthereplacement oftheMachinery Program). Other
importantchangesincludeabroadenedOrderinCouncilauthoritytoreducedutiesonallinputs,including
machinery, usedbymanufacturers andservice providers; anewthree-year authority fortheMinister
ofFinance torectify errors andomissions thatmayhavebeenmade inthenewtariff schedule; and
thetermination oftheBritish Preferential Tariff (BPT). Toalleviate orminimize theeffects ofthe
BPTtermination, anOrder inCouncil willbeintroduced tomaintain ratesequivalent toBPTrates
onalimited number ofsignificant trade items untilthose rateshavebeenmatched byratereductions
under theMost-Favoured-Nation Tariff asaresult oftheUruguay Round.
Inviewofthenumber ofchanges, thecurrent Customs Tariff isbeing repealed andreplaced
withanentirely newAct.Tocomplement these changes, substantive amendments arealsobeing made
totheCustoms Acttoharmonize atfouryears thetimelimits forclaiming dutyrefunds andforproviding
foradjustments totariffclassification, origin orvalue fordutydeterminations without therequirement
foraformal appeal, andtoprovide forasingle levelofappeal within Revenue Canada ofitsdecisions.
These changes willsimplify theadministration oftheCustoms Tariff andprovide greater flexibility
forbusiness andgovernment incomplying withandadministering customs laws. Itwillalsoreduce
related costs.WT/L/255
Page5
Consolidation ofthetariff schedule
Theconsolidation ofthecurrent tariff provisions intoasingle tariff schedule isbeing achieved by:
- implementing, onJanuary 1,1998, most ofthefinalUruguay Round reductions currently
scheduled forJanuary 1,1999, aswellasanyfinalinput andGeneral Preferential Tariff
reductions applicable tothose items;
- eliminating most "nuisance" rates(those under 2percent);
- rounding down most decimal ratestothenearest halfpercentage point;
- harmonizing ratesofcertain competing products;
- rectifying certain tariff anomalies; and
- amalgamating alarge number oftariff items.
These measures willenhance industry competitiveness, helpeasetheadministrative burden,
andgenerally achieve asimpler ratestructure andanoverall simpler andmoretransparent tariffsystem.
Overall results
Inundertaking tariffsimplification, thegovernment identified twomajor objectives: toimprove
thecompetitive position ofCanadian industry within afreertrading environment, andtomake thetariff
system more transparent, predictable andsimple soastolessen theregulatory burden andassociated
costs forbothbusiness andgovernment.
Theaimofimproving competitiveness willbeachieved byimplementing several ofthemeasures
outlined earlier including tariff reductions onawiderange ofmanufacturing inputs, removal ofthe
"notmade inCanada" conditions from ninebroad duty-free provisions, andconsolidation measures
tothetariffschedule. Thebroadened Order inCouncil authority toallow tariffreductions onallinputs
usedbymanufacturersandserviceproviderswillalsoensurethatthegovernmenthassufficientflexibility
torespond efficiently tothecompetitive pressures facing Canadian industry.
Thetariffsystemwillbemademoresimple,predictableandtransparentbyreplacingtheexisting
seven tariffschedules withasingle tariffschedule containing asimpler ratestructure andsignificantly
fewer provisions (about 8,000 compared to11,000). Thesystem willbefurther simplified byeliminating
orstreamlining asignificant number oflegislative provisions andintroducing anew, more flexible
tariff schedule format (twotariff columns rather thanthecurrent five).
Increased transparency, simplicity andpredictability willhelpreduce theregulatory burden
forbothbusiness andgovernment. Sowilleliminating thecostsassociated bothwithobtaining Revenue
Canada rulings forduty-free entry ofgoods subject tothe"notmade inCanada" condition andwith
complying withadministrative procedures under theMachinery Program. There willalsobecostsavings
andefficiency gains withtheelimination ofmore than300tariff regulations andtheconversion of
many regulations tosimpler tariff provisions.
Impact oftariff simplification onsalestaxandexcise taxes andduties
Thefederal Goods andServices Tax(GST), theHarmonized Sales Tax(HST) andthefederal
excise taxes onspecified goods suchastobacco andfuelareimposed under theExcise TaxAct.Federal
excise duties areimposed ondomestic tobacco andalcohol products under theExcise Act;additional
customs duties equivalent totheexcise dutyondomestic products areimposed onimports under new
section 21(current section 20)oftheCustoms Tariff .Relieving provisions intheExcise TaxActor
other Acts ofParliament, orregulations andorders made thereunder, make reference incertain
circumstances totariff headings andtariff items. Forexample, section 1ofPartVIIofSchedule IIIWT/L/255
Page6
totheExcise TaxActrefers toanumber oftariff headings thatarerelieved ofexcise taxatthetime
ofimportation. Also, section 1ofSchedule VIItotheActlistsanumber oftariff headings thatare
relieved oftheGSTorHSTwhen imported intoCanada.
Asaresult oftariff simplification, many ofthese tariff headings andtariff items havebeen
amended. Consequential amendments totheExcise TaxActwillbeintroduced toensure thatthetax
status ofimported goods doesnotchange asaresult oftariff simplification. Ifrequired, amendments
willalsobeintroduced toother ActsofParliament andregulations ororders thatprovide relief from
theGST, HSTorexcise taxes under theExcise TaxAct,excise duties under theExcise Act,orthe
additional customs dutyunder section 21oftheCustoms Tariff ,toensure thatthestatus quois
maintained. These amendments would beeffective 1January 1998.
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ORGANIZACIÓN MUNDIAL
DEL COMERCIOIP/N/1/PRT/1/Rev.1
8 de noviembre de 1999
(99-4813)
Consejo de los Aspectos de los Derechos de Propiedad
Intelectual relacionados con el ComercioOriginal: francés
NOTIFICACIÓN DE LEYES Y REGLAMENTOS DE CONFORMIDAD
CON EL PÁRRAFO 2 DEL ARTÍCULO 63 DEL ACUERDO
PORTUGAL
Revisión
Mediante una comunicación de fecha 27 de octubre de 1999, la Delegación Permanente de la
Comisión Europea en Ginebra ha presentado la notifi cación siguiente de conformidad con el párrafo 2
del artículo 63 del Acuerdo. Esta notificación sustituye a la notificación IP/N/1/PRT/1 de fecha 12 de
julio de 1996.
_______________
Principales leyes y reglamentos dedicados a la propiedad intelectual
Título
Fecha de adopción y entrada en vigorBreve descripción
Decretos-Leyes Nos 15/95 y 16/95, de 24 de
enero (entraron en vigor el 1º de junio de 1995)1Código de la Propiedad Industrial1
Código del derecho de autor y derechos conexos(Ley Nº 45/85, de 17 de septiembre de 1985)modificada por la Ley Nº 114/91, de 3 deseptiembre de 1991El Código contiene disposiciones detalladas
sobre el derecho de autor y asegura suconformidad con la revisión de 1971 del
Convenio de Berna para la protección de las
obras literarias y artísticas
2
Decreto-Ley Nº 213/90, de 28 de junio de 1990,que entró en vigor el 3 de julio de 1990Este Decreto-Ley establece el régimen jurídico
del derecho del obtentor de variedades vegetales
3
1 El texto del Código de la Propiedad Industrial se distribuyó con la signatura IP/N/1/PRT/I/1.
2 El texto del Código del derecho de autor y los derechos conexos se ha distribuido con la signatura
IP/N/1/PRT/C/1.
3 El texto del Decreto-Ley relativo al derecho del obt entor de variedades vegetales se distribuirá con la
signatura IP/N/1/PRT/P/1.IP/N/1/PRT/1/Rev.1
Página 2
Otras leyes y reglamentos
Título
Fecha de adopción y entrada en vigorBreve descripción
Derecho de autor y derechos conexos
Decreto Nº 4114, de 17 de abril de 1918 Este Decreto contiene disposiciones que regulan
las condiciones que deben cumplirse para elregistro de las obras literarias y artísticas
Decreto-Ley Nº 433/78, de 27 de diciembre Esta Ley contiene disposiciones sobre el registro
de los poderes de representación de las personasjurídicas
Decreto-Ley Nº 150/82, de 29 de abril Esta Ley contiene disposiciones relativas a la
protección de las obras que han pasado aldominio público
Decreto-Ley Nº 39/88, de 6 de febrero Esta Ley contiene disposiciones relativas a las
normas de clasificación de los videogramas
Decreto-Ley Nº 227/89, de 8 de julio Esta Ley contiene disposiciones por las que se
rige la actividad de importación, producción,distribución y exportación de los fonogramas
Decreto-Ley Nº 252/94, de 20 de octubre Esta Ley contiene las disposiciones relativas a la
transposición de la Directiva 91/250 de la CEE,sobre la protección jurídica de los programasinformáticos
Decreto-Ley Nº 74/82, de 3 de marzo Concerniente a las disposiciones sobre el registro
jurídico de la publicación
Decreto-Ley N° 317/88, de 8 de septiembre Regl amentación de las estaciones de recepción de
señales de televisión de utilización privada
transmitidas por satélite
Decreto-Ley N° 122/89, de 14 de abril Regla mentación de la instalación de antenas
individuales y colectivas de recepción de señalestransmitidas mediante radiodifusión
Ley N° 16/89, de 30 de junio Disposiciones relativas a la protección jurídica de
las topografías de los productos semiconductores
Decreto-Ley N° 292/91, de 13 de agosto Reglam entación de la utilización de las redes de
distribución por cable
Ley N° 109/91, de 17 de agosto Ley de delitos relacionados con la informática
Decreto-Ley N° 315/95, de 28 de noviembre Régimen jurídico de los espectáculos de índole
artística
Decreto-Ley N° 332/97, de 27 de noviembre Disposic iones que regulan los derechos de alquiler
y préstamo - Transposiciones de la DirectivaComunitaria N° 92/100/CEE
Decreto-Ley Nº 333/97, de 27 de noviembre Reglamentación de la radiodifusión por satélite
y la retransmisión por cable - Transposición dela Directiva Comunitaria Nº 93/83/CEE
Decreto-Ley Nº 80/97, de 8 de abril Reglamentación de las competencias,
atribuciones y funcionamiento de la InspecciónGeneral de Actividades CulturalesIP/N/1/PRT/1/Rev.1
Página 3
Título
Fecha de adopción y entrada en vigorBreve descripción
Derecho de autor y derechos conexos
Decreto-Ley Nº 334/97, de 27 de noviembre Reglamentación del plazo fijado para la
protección de los derechos deautor - Transposición de la DirectivaComunitaria Nº 93/98/CEE
Ley Nº 62/98, de 1º de septiembre Reglamentación concerniente al artículo 82 del
Código del derecho de autor y derechos conexosconcernientes a la Ley sobre las copias privadas
Ley Nº 67/98, de 26 de octubre Ley sobre la protección de los datos
personales - Transposición de la DirectivaComunitaria Nº 95/46/CE, relativa a la
protección de las personas físicas en lo que
respecta al tratamiento de datos personales y ala libre circulación de estos datos
Protección de las obtenciones vegetales
Decreto Ministerial Nº 940/90, de 4 de octubre,que entró en vigor el 5 de noviembre de 1990El Decreto Ministerial detalla el régimen
jurídico de los derechos del obtentorestablecidos en el Decreto-Ley Nº 213/90, de
28 de junio. Éste contiene las disposiciones que
estipulan las condiciones necesarias para la
concesión de los derechos de obtentor y enuncia
las disposiciones relativas a la organización dela Oficina de derechos del obtentor
Decreto Ministerial Nº 351/91, de 20 de abril,que entró en vigor el 20 de abril 1991Este Decreto modifica las disposiciones del
Decreto Ministerial Nº 940/90, de 4 de octubre,
concerniente a las especies protegidas(artículo 7)
Decreto Ministerial Nº 15/92, de 13 de enero,que entró en vigor el 13 de enero de 1992Este Decreto modifica las disposiciones del
Decreto Ministerial Nº 940/90, de 4 de octubrede 1990, relativo a las especies protegidas
(artículo 7)
Decreto Ministerial Nº 379/93, de 3 de abril,
que entró en vigor el 3 de abril de 1993Este Decreto modifica las disposiciones del
Decreto Ministerial Nº 940/90, de 4 de octubre,relativo a las especies protegidas (artículo 7)
Decreto Ministerial Nº 527/96, de 1º de octubre,que entró en vigor el 1º de octubre de 1996Este Decreto modifica las disposiciones del
Decreto Ministerial Nº 940/90, de 4 de octubre,relativo a las especies protegidas (artículo 7)
Procedimientos y remedios judiciales y penales
Decreto-Ley Nº 47344, de 25 de noviembre
de 1966, que entró en vigor el 1º de junio
de 1967 (artículos 303, 48, 75, 79, 742, 747,1303 y 1678)Código Civil (con modificaciones sucesivas)IP/N/1/PRT/1/Rev.1
Página 4
Título
Fecha de adopción y entrada en vigorBreve descripción
Derecho de autor y derechos conexos
Decreto-Ley Nº 239-a/95, de 12 de diciembre
con las modificaciones del Decreto-Ley Nº 180/96, de 25 de septiembreCódigo de procedimiento civil: esta Ley, con
sus modificaciones sucesivas, establece losprocedimientos básicos para los procedimientos
judiciales civiles de base y enuncia las
disposiciones concernientes a la evaluación delos daños y perjuicios
Decreto-Ley Nº 400/82, de 23 de septiembre Código Penal
Decreto-Ley Nº 78/87, de 17 de febrero y
Decreto-Ley Nº 217/95, de 28 de noviembreCódigo de Procedimiento Penal
Decreto-Ley N° 28/84, de 20 de enero Delitos económicos y contra la salud pública
Ley Nº 3/99, de 13 de enero Organización interna de los tribunales judiciales
Ley Nº 47/86, de 15 de octubre Organización interna de la Fiscalía
Decreto-Ley Nº 269-A/95 Organización interna de la Inspección General
de Actividades Económicas
Decreto-Ley Nº 433/82, de 27 de octubre yDecreto-Ley Nº 244/95, de 14 de septiembreRégimen General de Infracciones
__________
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RESTRICTED
WORLD TRADE S/FIN/W/12/Add.16
5September 1997
ORGANIZATION(97-3617)
Original: English Committee onTrade inFinancial Services
COMMUNICATION FROM NEW ZEALAND
Conditional Offer onFinancial Services
Addendum
Thefollowing communication iscirculated attherequest ofNewZealand toMembers ofthe
Committee onTrade inFinancial Services.
_______________
NewZealand haspleasure insubmitting theattached conditional offeronfinancial services.
ThisconditionalofferrepresentsafurtherimprovementonNewZealand’sexistingcommitments
onfinancial services, which already bindoneofthemostopenfinancial services regimes across abroad
range ofsub-sectors. Itdemonstrates NewZealand ’scontinued strong commitment toasuccessful
outcome inGATS negotiations onfinancial services.
Theofferisconditional onimprovements inother trading partners ’commitments capable of
delivering acommensurate levelofbenefit. Itisalsoconditional ontheachievement ofasuccessful,
MFN-based, outcome inthese resumed negotiations onfinancial services.
Further, although ithasnotpreviously doneso,NewZealand iswilling toconsider using the
Understanding onFinancial Services asthebasisforscheduling itscommitments inthissector, subject
alsotoanoverall outcome tothenegotiations which confers sufficient additional benefit.
Inthecourse ofpreparation ofthisconditional offer, NewZealand hasgiven consideration
toandcontinues toreflect onscheduling issues concerning thescope ofsome reservations entered and
reserves therighttomake anynecessary amendments which further technical study mayindicate are
warranted.
Asprovided forintheSecond Decision onFinancial Services, NewZealand further reserves
therighttomodify orwithdraw allorpartofitsspecific commitments onfinancial services andto
listMFN exemptions.S/FIN/W/12/Add.16
Page2NEW ZEALAND -CONDITIONAL OFFER ONFINANCIAL SERVICES
Modes ofsupply: 1) Cross-border supply 2) Consumption abroad 3) Commercial presence 4) Presence ofnatural persons
Sector orSub-sector Limitations onMarket Access Limitations onNational Treatment Additional
Commitments
7. FINANCIAL SERVICES
A. Insurance andInsurance-
related Services
b) Non-life insurance services
(8129)1) Unbound except forinsurance ofrisks
relating tomaritime shipping and
commercial aviation andspace launching
andfreight, andgoods ininternational
transit.
1), TheAccident Rehabilitation
3) andCompensation Insurance Act1992
provides forcompulsory worker 's
compensation insurance vialevies on
vehicle owners, employers andthe
self-employed. TheActisadministered
bytheAccident Rehabilitation and
Compensation Insurance Commission.1) None
2) None
3) None
1), TheEarthquake Commission is
3) thesoleinsurer ofresidential property
disaster insurance forreplacement cover
upto$NZ 100,000 perdwelling and$NZ
20,000 onpersonal property. These
amounts maybeincreased byregulation.S/FIN/W/12/Add.16
Page3Modes ofsupply: 1) Cross-border supply 2) Consumption abroad 3) Commercial presence 4) Presence ofnatural persons
Sector orSub-sector Limitations onMarket Access Limitations onNational Treatment Additional
Commitments
1), Under theApple andPear
3) Marketing Act1971 theApple andPear
Marketing Board hasthepower to
organise compulsory hailinsurance on
behalf ofgrowers andtorequire growers
topayalevytorecover thepremium
amount ofthisinsurance.
1)2) Unbound formarketing andsales
&3) related toproducts covered under CPC
01,02,211, 213-216, 22,2399 and261.
4) Unbound except asindicated inthe
horizontal section.4) Unbound except asindicated inthe
horizontal section.
c) Reinsurance and
retrocession (81299)1) None
2) None
3) None
4) Unbound except asindicated inthe
horizontal section.1) None
2) None
3) None
4) Unbound except asindicated inthe
horizontal section.S/FIN/W/12/Add.16
Page4Modes ofsupply: 1) Cross-border supply 2) Consumption abroad 3) Commercial presence 4) Presence ofnatural persons
Sector orSub-sector Limitations onMarket Access Limitations onNational Treatment Additional
Commitments
d) Insurance intermediation,
such asbrokerage and
agency services (8140**)1), TheAccident Rehabilitation and
3) Compensation Insurance Act1992
provides forcompulsory workers ’
compensation insurance vialevies on
vehicle owners, employers andthe
self-employed. TheActisadministered
bytheAccident Rehabilitation and
Compensation Insurance Commission.
1) Under theApple andPear Marketing
3) Act1971 andtheWheat Producers
Levy Act1987, therespective bodies
(theApple andPear Marketing Board
andUnited Wheatgrowers (NZ) Ltd)
have thepower toorganise compulsory
disaster insurance onbehalf ofgrowers
andtorequire them topayalevyto
recover thepremium amount ofthis
insurance.
1)2) Unbound forlossofproducts covered
&3) under CPC 01,02,211, 213-216, 22,
2399 and261.
4) Unbound except asindicated inthe
horizontal section.1) None
2) None
3) None
4) Unbound except asindicated inthe
horizontal section.
e) Services Auxiliary to
Insurance, such as
consultancy, actuarial,
riskassessment andclaim
settlement services
(8140**)1) None
2) None
3) None
4) Unbound except asindicated inthe
horizontal section1) None
2) None
3) None
4) Unbound except asindicated inthe
horizontal sectionS/FIN/W/12/Add.16
Page5Modes ofsupply: 1) Cross-border supply 2) Consumption abroad 3) Commercial presence 4) Presence ofnatural persons
Sector orSub-sector Limitations onMarket Access Limitations onNational Treatment Additional
Commitments
B. Banking andother Financial
Services (excluding
insurance)3
a) Acceptance ofdeposits and
other repayable funds from
thepublic; (81115-81119)1) Unbound except forservices described in
subsectors (k)and(l)excluding
intermediation.1) None
b) Lending ofalltypes,
including consumer credit,
mortgage, credit, factoring
andfinancing of
commercial transaction;
(8113)
c) Financial leasing; (8112)2) None 2) None
d) Allpayment andmoney
transmission services,
including credit, charge and
debit cards, travellers
cheques andbankers drafts;
(81339**)
e) Guarantees and
commitments; (81199**)3) None 3) TheFinancial Reporting Act1993
requires overseas companies toprepare
financial statements onanannual basis
comprising abalance sheet, aprofit and
lossstatement and(ifrequired byan
applicable financial reporting standard
approved bytheAccounting Standards
Review Board) astatement ofcashflows.
TheActalsorequires such financial
statements inrelation toanoverseas
company 'sNew Zealand business.
3Asdefined inparagraph 5(a)(v)-(xvi) oftheAnnex onFinancial Services.S/FIN/W/12/Add.16
Page6Modes ofsupply: 1) Cross-border supply 2) Consumption abroad 3) Commercial presence 4) Presence ofnatural persons
Sector orSub-sector Limitations onMarket Access Limitations onNational Treatment Additional
Commitments
f) Trading forownaccount or
foraccount ofcustomers,
whether onanexchange, in
anover-the-counter market
orotherwise, thefollowing:
i)money market
instruments (cheques,
bills, certificates of
deposits etc.);
(81339**)
ii)foreign exchange;
(81333)
iii)derivative products
including, butnot
limited to,futures and
options; (81339**)
iv)exchange rates and
interest rate
instruments, including
products such as
swaps, forward rate
agreements etc.;
(81339**)TheActrequires thefollowing companies
todeliver annual audited financial
statements totheRegistrar ofCompanies
forregistration:
a)issuers (i.e.those which have raised
investment from thepublic);
b)overseas companies;
c)subsidiaries ofcompanies orbodies
corporate incorporated outside New
Zealand;
d)companies inwhich 25percentor
more oftheshares areheldor
controlled by:
i)asubsidiary ofacompany or
body corporate incorporated
outside New Zealand ora
subsidiary ofthatsubsidiary; or
ii)acompany orbody corporate
incorporated outside New
Zealand; or
iii)aperson notordinarily resident
inNew Zealand.S/FIN/W/12/Add.16
Page7Modes ofsupply: 1) Cross-border supply 2) Consumption abroad 3) Commercial presence 4) Presence ofnatural persons
Sector orSub-sector Limitations onMarket Access Limitations onNational Treatment Additional
Commitments
v)transferable securities;
(81321)
vi)other negotiable
instruments and
financial assets,
including bullion.
(81339**)4) Unbound except asindicated inthe
horizontal section.4) Unbound except asindicated inthe
horizontal section.
g) Participation inissues ofall
kinds ofsecurities,
including underwriting and
placement asagent
(whether publicly or
privately) andprovision of
services related tosuch
issues; (8132)
h) Money broking; (81339**)
i) Asset management, such as
cashorportfolio
management; allforms of
collective investment
management, pension fund
management, custodial,
depository andtrust
services; (8119**,
81323**)
j) Settlement andclearing
services forfinancial assets,
including securities,
derivative products, and
other negotiable
instruments; (81339**,
81319**)S/FIN/W/12/Add.16
Page8Modes ofsupply: 1) Cross-border supply 2) Consumption abroad 3) Commercial presence 4) Presence ofnatural persons
Sector orSub-sector Limitations onMarket Access Limitations onNational Treatment Additional
Commitments
k) Provision andtransfer of
financial information, and
financial dataprocessing
andrelated software by
providers ofother financial
services; (8131)
l) Advisory, intermediation,
andother auxiliary financial
services onalltheactivities
listed in(a)to(k)above,
including credit reference
andanalysis, investment
andportfolio research and
advice, advice on
acquisitions andon
corporate restructuring and
strategy.
(8131, 8133)
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./.RESTRICTEDORGANIZACIÓN MUNDIAL
DEL COMERCIOG/ADP/AHG/W/98
16 de octubre de 2000
(00-4253)
Comité de Prácticas Antidumping
Grupo ad hoc sobre la AplicaciónOriginal: inglés
CUESTIONES PRÁCTICAS Y EXPERIENCIA EN RELACIÓN CON
LOS CUESTIONARIOS Y LAS SOLICITUDES DE INFORMACIÓN
PREVISTOS EN EL PÁRRAFO 1 Y EL APARTADO 1
DEL PÁRRAFO 1 DEL ARTÍCULO 6
Comunicación de los Estados Unidos
Se ha recibido de la Misión Permanente de lo s Estados Unidos la siguiente comunicación, de
fecha 13 de octubre de 2000.
_______________
Respuesta a las comunicaciones del Japón que figuran en los documentos G/ADP/AHG/W/72
y G/ADP/AHG/W/86.
INTRODUCCIÓN
En los documentos citados supra , el Japón ha planteado determinadas cuestiones relativas a
las consideraciones que hay que tener en cuenta al decidir si se ha de prorrogar el plazo de
presentación de las respuestas a un cuestionario más allá del mínimo de 30 días previsto en el
apartado 1 del párrafo 1 del artículo 6. Como cuestión preliminar, los Estados Unidos indican que la
segunda frase del apartado 1 del párrafo 1 del artículo 6, al invocar conceptos indefinidos tales como
"justificación" y "[factibilidad]", deja a la autoridad investigadora un amplio margen de discreción, lo
que se justifica por las diferentes circunstancias de cada investigación. Por ejemplo, los hechos que
justifican la concesión de una prórroga a un productor/exportador en una determinada investigaciónpueden no justificar la concesión de una prórroga similar a otro productor/exportador en otro
procedimiento. Además, el hecho de que la conces ión de una prórroga sea "factible" puede variar
según los requisitos y limitaciones del calendario, los recursos administrativos y otros factores.
Los Estados Unidos deben también hacer la puntualización, sólo mencionada brevemente en
las comunicaciones del Japón, de que hay factores que, a veces, van en contra de la concesión de unaprórroga. El Japón ha mencionado que las investigaciones antidumping pueden perturbar el mercado
para los exportadores, los productores extranjeros y los importadores, lo que aboga por la conclusión
de las investigaciones a su debido tiempo. Los Estados Unidos quisieran añadir a este concepto la
puntualización de que, cuando los exportadores o productores extranjeros hayan incurrido en dumping
que haya causado o amenace causar un daño importante a una rama de producción nacional, ésta tienederecho a una pronta ayuda. Las prórrogas excesivas pueden retrasar la ayuda frente al daño a una
rama de producción que legalmente tenga derecho a esa ayuda y que pueda demostrar que la merece.
Por esta razón, como el Japón ha observado, "existe una tensión inherente en esta esfera".
En última instancia, se deja a la autoridad investigadora la tarea de sopesar de buena fe todas las
diversas circunstancias de un caso particular, así como la de determinar si la concesión de unaG/ADP/AHG/W/98
Página 2
prórroga del plazo para responder a un cuestionario es factible y acorde con otras consideraciones
pertinentes. En consecuencia, los Estados Unidos no creen que sea posible elaborar una lista de
justificaciones en virtud de las cuales deba otorgarse automáticamente una prórroga, e incluso es
probable que una lista indicativa de elementos que podrían "en general" justificar una prórroga tuviera
un uso marginal en vista del número y diversidad de consideraciones que pueden plantearse.
PRÁCTICA DE LOS ESTADOS UNIDOS
En el documento G/ADP/AHG/W/75 se presenta al Grupo ad hoc una descripción general de
la práctica de los Estados Unidos con respecto a los cuestionarios, incluido un examen general de la
práctica de los Estados Unidos en la concesión de prórrogas. El Departamento de Comercio de los
Estados Unidos otorga una prórroga de los plazos iniciales en casi todos los casos, siempre que la
prórroga sea solicitada por escrito a su debido tiempo. Pueden también otorgarse prórrogas de los
plazos para responder a cuestionarios complementarios. En general, la Comisión de ComercioInternacional de los Estados Unidos se ocupa caso por caso de los destinatarios de los cuestionarios y
suele permitir prórrogas razonables si hay tiempo suficiente para completar las actividades de
investigación.
FACTORES QUE CONVIENE TOMAR EN CONSIDERACIÓN
Como cada caso presenta hechos singulares que pueden o no justificar una prórroga, es
imposible abordar todos los factores que pueden presentarse a una autoridad investigadora en cada
caso. Sin embargo, algunos de los muchos factores que una autoridad investigadora puede tomar en
consideración en un caso particular, son, según proceda, los siguientes:
● el calendario, los recursos administrativos y los plazos legales/reglamentarios de la
propia autoridad investigadora;
● el hecho de que se solicite una prórroga muy poco tiempo antes de finalizar el plazo o
el hecho de que ya se haya concedido una prórroga antes;
● los recursos de la parte a la que se solicita información y el alcance de la información
solicitada;
● la medida en que la parte informante demuestre que debe hacer frente a cargas
inusuales para buscar, identificar y/o compilar la información necesaria para la
investigación;
● la existencia de las circunstancias a que se refiere el párrafo 6 del artículo 10;
● el hecho de que haya pendiente más de una solicitud de información que requiera la
atención simultánea del mismo personal;
● el hecho de que una parte haya cooperado en el suministro de la información
solicitada;
● la existencia de circunstancias imprevistas, tales como catástrofes naturales;
● el hecho de que una prórroga pueda hacer que se retrase la conclusión de la
investigación más allá de los plazos establecidos en el párrafo 10 del artículo 5.
__________
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. /.WORLD TRADE
ORGANIZATIONG/SPS/N/USA/414
4 April 2001
(01-1695)
Committee on Sanitary and Phytosanitary Measures Original: English
NOTIFICATION
1. Member to Agreement notifying: UNITED STATES
If applicable, name of local government involved:
2. Agency responsible: Environmental Protection Agency - EPA
3. Products covered (provide tariff item number(s) as specified in national schedules
deposited with the WTO; ICS numbers may be provided in addition, where
applicable). Regions or countries likely to be affected, to the extent relevant or
practicable: Pesticides
4. Title and number of pages of the notified document: Notice of Filing Pesticide Petitions
to Establish a Tolerance for a Certain Pesticide Chemical in or on Food - Biochemical
pesticide aminoethoxyvinylglycine (AVG) (4 pages)
5. Description of content: This notice announces the initial filing of a pesticide petition
proposing the establishment of regulations for residues of a certain pesticide chemical in or
on various food commodities.
EPA has received a request from a current petitioner referencing an earlier pesticide
petition, (transferred from the earlier petitioner) proposing pursuant to section 408(d) of theFFDCA, 21 U.S.C. 346a(d), to amend 40 CFR 180.502 by establishing permanent
tolerances for residues of the biochemical pesticide aminoethoxyvinylglycine (AVG) in or
on the food commodities apples and pears at 0.08 part per million (ppm). EPA issued a
final rule, published in the Federal Register of 7 May 1997, which announced that it
established time-limited tolerances for residues of the plant regulator AVG in or on the food
commodities apples and pears at 0.08 ppm, with an expiration date of 1 April 2001. A
correction to this rule was published in the Federal Register of 29 October 1997, whichannounced the correction of the reference dose (RfD) appearing on page 24836, column
three, third full paragraph, line 11, from "0.0002" to "0.002". Because of a then-existing
data gap, all initial tolerances were time-limited. The time limitation was established to
provide sufficient time for the development and review of additional data, specifically a rat
2-generation reproduction study. The petitioner submitted such a study on27 September 1999. Pursuant to section 408(d)(2)(A)(i) of the FFDCA, as amended, the
petitioner submitted a summary of information, data, and arguments in support of their
pesticide petition which was published in the Federal Register of 20 February 1997.
EPA has not republished the summary of information initially submitted by the original
petitioner and published in the 20 February 1997 Federal Register, except where EPAbelieves such information would be helpful in understanding the new data. The current
petitioner is, however, relying on the previously submitted information in addition to the
new data summarized in the full text in sup port of this pesticide petition to establish
permanent tolerances. EPA will take into account all available data when giving due
consideration to the current petition. Pursua nt to section 408(d)(2)(A)(i) of the FFDCA,G/SPS/N/USA/414
Page 2
as amended, the petitioner has submitted the summary of new information, data, and
arguments in support of their pesticide petition. The summary was prepared by the
petitioner and EPA has not fully evaluated the merits of the pesticide petition. The
summary may have been edited by EPA if the terminology used was unclear, the summary
contained extraneous material, or the summary unintentionally made the reader concludethat the findings reflected EPA's position and not the position of the petitioner.
6. Objective and rationale: [ X ] food safety, [ ] animal health, [ ] plant protection,
[ ] protect humans from animal/plant pest or disease, [ ] protect territory from
other damage from pests
7. An international standard, guideline or recommendation does not exist [ ].
If an international standard, guideline or recommendation exists, give the appropriate
reference and briefly identify deviations: There are Codex residue limits for residues of
the biochemical pesticide aminoethoxyvinylglycine (AVG).
8. Relevant documents and language(s) in which these are available: 66 FR 16931,
28 March 2001 (Available in English)
9. Proposed date of adoption: To be determined.
10. Proposed date of entry into force: To be determined.
11. Final date for comments: 27 April 2001
Agency or authority designated to handle comments: Environmental Protection Agency
[ ] National notification authority, [ ] National enquiry point, or address, fax
number and E-mail address (if available) of other body: Detailed instruction on where
and how to send comments is in the body of the full text - which will be sent upon requestto the address in paragraph 12.
12. Texts available from: [ X ] National notification authority, [ X ] National enquiry point
or address, fax number and E-mail address (if available) of other body:
United States SPS Enquiry Point/Notification Authority
Attn: Carolyn F. Wilson
Room 5545 South Agriculture Building
Stop 10271400 Independence Avenue, S.W.
Washington, D.C.20250
Tel: (202) 720-2239
Fax: (202) 690-0677
E-mail: [email protected]
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00-2513 CONTINÚACOMUNICADO
DE PRENSA
PRESS/183
20 de junio de 2000
Funcionarios examinan la forma de analizar los riesgos con miras
a la adopción de medidas sobre la inocuidad de los alimentos
Cómo han hecho frente los países centroamericanos al riesgo de la encefalopatía espongiforme
bovina, Madagascar a la peste porcina africana, Australia a las peras de China y los Estados Unidos a
la salmonella en los huevos: éstos y otros temas se examinaron en un taller de la OMC de dos días de
duración que finalizó hoy.
Entre los más de 150 participantes se encontraban funcionarios procedentes de las capitales de
gobiernos Miembros de la OMC, encargados entre otras tareas de la elaboración y aplicación de
medidas relativas a la inocuidad de los alimentos y a la protección de los animales y la preservación
de los vegetales (medidas sanitarias y fitosanitarias - MSF).
El taller concentró sus debates en el modo de analizar los riesgos para la salud con vistas a
adoptar las medidas necesarias con tal fin, tal como lo exige el Acuerdo sobre la Aplicación de
Medidas Sanitarias y Fitosanitarias (el "Acuerdo MSF") de la OMC. Funcionarios de todas partes del
mundo tuvieron así la oportunidad de intercambiar experiencias. Presidió el taller el Dr. Alejandro
Thiermann, antiguo Presidente del Comité MSF de la OMC.
Según el Sr. Frank Wolter, Director de la División de Agricultura de la Secretaría de la OMC,
"el objetivo de este taller es aclarar la compleja relación existente entre el análisis del riesgo y las
disciplinas del Acuerdo sobre la Aplicación de Medidas Sanitarias y Fitosanitarias de la OMC".
Al inaugurar el taller de dos días de duración, el Sr. Wolter puso de manifiesto el derecho
fundamental de todos los Miembros de la OMC de asegurar a su población alimentos importados
inocuos y de proteger a sus animales y vegetales contra los riesgos para la salud dimanantes de la
importación, derecho éste que prima sobre el comercio.
No obstante, agregó, para garantizar que no se haga uso indebido de este derecho con fines
proteccionistas, una de las obligaciones básicas en virtud del Acuerdo MSF es que las medidas
tendentes a proteger la salud se basen en principios científicos. Aunque dichas medidas no deben
mantenerse sin testimonios científicos suficientes, el Acuerdo autoriza asimismo la adopción de
medidas provisionales cuando los testimonios científicos pertinentes sean insuficientes. Por eso,
precisó, la evaluación del riesgo para la salud y la referencia a normas sanitarias elaboradas en el
plano internacional son elementos esenciales del Acuerdo MSF.PRESS/183
Página 2/3
El Sr. Wolter señaló que para los Miembros de la OMC, y en particular para numerosos
países en desarrollo, la manera de aportar una justificación científica en la práctica constituye una
crucial cuestión de aplicación.
El segundo objetivo del taller fue reunir en Ginebra a funcionarios de países en desarrollo
procedentes de las respectivas capitales, encargados de cuestiones relacionadas con la inocuidad delos alimentos, la salud de los animales o la preservación de los vegetales, para darles también la
oportunidad de participar en la reunión ordinaria del Comité MSF que debía celebrarse los días 21
y 22 de junio. El Departamento de Agricultura de los Estados Unidos proporcionó fondos para que
la OMC pudiera financiar la participación de expertos provenientes de países menos adelantados.
En el taller los participantes abordaron el tema de la inclusión de la noción de ciencia en el
Acuerdo MSF durante las negociaciones, en particular los primeros contactos con las tresorganizaciones internacionales competentes en materia de normalización, a saber, la Comisión del
Codex Alimentarius FAO/OMS (Codex), la Oficina Internacional de Epizootias (OIE) y la Secretaría
de la Convención Internacional de Protección Fitosanitaria de la FAO (CIPF). Los participantes
escucharon igualmente intervenciones acerca de los fundamentos del análisis del riesgo, así como
información detallada sobre las disposiciones del Acuerdo MSF directamente relacionadas con lajustificación científica.
En el transcurso del taller, expertos de los gobiernos Miembros y de organizaciones
observadoras presentaron estudios monográficos sobre evaluaciones de riesgos reales realizadas por
países y la manera en que ellas habían efectivamente dado lugar a medidas sanitarias específicasencaminadas a garantizar la inocuidad de los alimentos o la protección de la salud de los animales o la
preservación de los vegetales. Los asuntos sanitarios debatidos en el taller se corresponden con el tipo
de preocupaciones comerciales concretas que los Miembros de la OMC han venido asimismo
planteando en las reuniones ordinarias del Comité MSF.
En el sitio Web de Internet de la OMC aparecerá en julio de 2000 un informe resumido del
taller y de las intervenciones de los expertos.
FIN
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Q_WT_DS_234ABR
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WORLD TRADE
ORGANIZATIONWT/DS217/AB/R
WT/DS234/AB/R
16 January 2003
(03-0209)
Original: English
UNITED STATES – CONTINUED DUMPING AND SUBSIDY OFFSET ACT OF
2000
AB-2002-7
Report of the Appellate BodyWT/DS217/AB/R
WT/DS234/AB/R
Page i
I. Introduc tion................................................................................................................. ................1
II. Factual Background .......................................................................................................... ..........4
III. Arguments of the Participants and the Third Particip ants ..........................................................6
A. United States – Appellant .............................................................................................. 6
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement ................................................................................................6
2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement ..............................................................................................10
3. The Combination of Duties and CDSOA Offset Payments............................13
4. Article XVI:4 of the WTO Agreement , Article 18.4 of the
Anti-Dumping Agreement , Article 32.5 of the SCM Agreement
and Article 3.8 of the DSU .............................................................................14
5. The "Advisory Opinion".................................................................................14
6. Article 9.2 of the DSU ....................................................................................14
B. Australia – Appellee..................................................................................................... 15
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement ..............................................................................................15
2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement ..............................................................................................17
3. The Combination of Duties and CDSOA Offset Payments............................174. Article XVI:4 of the WTO Agreement , Article 18.4 of the
Anti-Dumping Agreement , Article 32.5 of the SCM Agreement
and Article 3.8 of the DSU .............................................................................18
5. The "Advisory Opinion".................................................................................18
C. Brazil – Appellee.......................................................................................................... 19
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement ..............................................................................................19
2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement ..............................................................................................20
3. The Combination of Duties and CDSOA Offset Payments............................21
D. Canada – Appellee....................................................................................................... 21
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement ..............................................................................................21
2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement ..............................................................................................24
3. The Combination of Duties and CDSOA Offset Payments............................25
4. Article XVI:4 of the WTO Agreement , Article 18.4 of the
Anti-Dumping Agreement , Article 32.5 of the SCM Agreement
and Article 3.8 of the DSU .............................................................................25
5. The "Advisory Opinion".................................................................................25
6. Article 9.2 of the DSU ....................................................................................26WT/DS217/AB/R
WT/DS234/AB/R
Page ii
E. European Communities, India, Indonesia and Thailand – Appellees.......................... 26
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement ..............................................................................................26
2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement ..............................................................................................28
3. The Combination of Duties and CDSOA Offset Payments............................31
4. Article XVI:4 of the WTO Agreement , Article 18.4 of the
Anti-Dumping Agreement , Article 32.5 of the SCM Agreement
and Article 3.8 of the DSU .............................................................................31
5. The "Advisory Opinion".................................................................................31
6. Article 9.2 of the DSU ....................................................................................32
F. Japan and Chile – Appellee ......................................................................................... 32
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement ..............................................................................................32
2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement ..............................................................................................35
3. The Combination of Duties and CDSOA Offset Payments............................35
4. Article XVI:4 of the WTO Agreement , Article 18.4 of the
Anti-Dumping Agreement , Article 32.5 of the SCM Agreement
and Article 3.8 of the DSU .............................................................................36
5. The "Advisory Opinion".................................................................................366. Article 9.2 of the DSU ....................................................................................37
G. Korea – Appellee ......................................................................................................... 37
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement ..............................................................................................37
2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement ..............................................................................................39
3. The Combination of Duties and CDSOA Offset Payments............................40
H. Mexico – Appellee........................................................................................................ 40
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement ..............................................................................................40
2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement ..............................................................................................43
3. The Combination of Duties and CDSOA Offset Payments............................44
4. Article XVI:4 of the WTO Agreement , Article 18.4 of the
Anti-Dumping Agreement , Article 32.5 of the SCM Agreement
and Article 3.8 of the DSU .............................................................................44
5. The "Advisory Opinion".................................................................................44
I. Arguments of the Third Participants............................................................................ 44
1. Argentina ........................................................................................................44
2. Hong Kong, China ..........................................................................................45
3. Israel ...............................................................................................................47
4. Norway ...........................................................................................................47WT/DS217/AB/R
WT/DS234/AB/R
Page iii
IV. Procedural Matters: Arguments of the Participants and the Third Partic ipants.......................49
A. Allegation of Flaws in the Notice of Appeal ................................................................ 49
1. Canada ............................................................................................................49
2. United States...................................................................................................503. Australia..........................................................................................................51
4. Brazil...............................................................................................................52
5. European Communities, Indi a, Indonesia and Thailand.................................52
6. Japan ...............................................................................................................52
7. Korea...............................................................................................................52
8. Norway ...........................................................................................................53
B. Allegations Regarding the Sc ope of Appellate Review ................................................ 53
1. Canada ............................................................................................................53
2. United States...................................................................................................53
3. Australia..........................................................................................................54
4. European Communities, Indi a, Indonesia and Thailand.................................54
5. Japan ...............................................................................................................556. Korea...............................................................................................................55
7. Norway ...........................................................................................................55
V. Procedural Matters and Ruling ................................................................................................ .55
A. Allegations of Flaws in the Notice of Appeal............................................................... 56
B. Allegations Regarding the Scope of Appellate Review Under Article 17.6
of the DSU.................................................................................................................... 65
1. The United States' Comments About Letters Before the Panel ......................65
2. Allegations of New Evidence in Footnotes 148 and 149................................67
VI. Issues Raised in This Appeal ................................................................................................ ....68
VII. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement ........69
A. The Term "Specific" in the Phrase "Specific Action Against" Dumping
or a Subsidy ................................................................................................................. 73
B. The Term "Against" in the Phrase "Specific Action Against" Dumping
or a Subsidy ................................................................................................................. 77
C. Footnote 24 of the Anti-Dumpi ng Agreement and Footnote 56 of the
SCM Agreement ........................................................................................................... 83
D. Whether the CDSOA is in Accordance with the WTO Agreement............................... 85
1. The Anti-Dumping Agreement .......................................................................85
2. The SCM Agreement ......................................................................................85WT/DS217/AB/R
WT/DS234/AB/R
Page iv
VIII. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement ..........90
A. The Panel's Findings on the Inte rpretation of Articles 5.4 and 11.4........................... 90
B. The Meaning of Articles 5.4 and 11.4.......................................................................... 92
C. The Panel's Conclusion on Good Faith....................................................................... 97
IX. Article XVI:4 of the WTO Agreement , Article 18.4 of the Anti-Dumping Agreement ,
Article 32.5 of the SCM Agreement and Article 3.8 of the DSU............................................99
X. Article 9.2 of the DSU ....................................................................................................... .....100
XI. Findings and Conclusions.................................................................................................... ...103
ANNEX 1: Notification of an Appeal by the United States under paragraph 4 of
Article 16 of the Understanding on Rules and Procedures Governingthe Settlement of DisputesWT/DS217/AB/R
WT/DS234/AB/R
Page v
TABLE OF CASES CITED IN THIS REPORT
Short Title Full Case Title and Citation
Argentina – Footwear (EC) Appellate Body Report, Argentina – Safeguard Measures on Imports of
Footwear , WT/DS121/AB/R, adopted 12 January 2000, DSR 2000:I, 515.
Canada – Aircraft Appellate Body Report, Canada – Measures Affecting the Export of
Civilian Aircraft , WT/DS70/AB/R, adopted 20 August 1999,
DSR 1999:III, 1377.
Canada – Dairy Appellate Body Report, Canada – Measures Affecting the Importation of
Milk and the Exportation of Dairy Products , WT/DS103/AB/R,
WT/DS113/AB/R and Corr.1, adopted 27 October 1999, DSR1999:V, 2057.
Chile – Alcoholic Beverages Appellate Body Report, Chile – Taxes on Alcoholic Beverages ,
WT/DS87/AB/R, WT/DS110/AB/R, adopted 12 January 2000,DSR 2000:I, 281.
EC – Bananas III Appellate Body Report, European Communities – Regime for the
Importation, Sale and Distribution of Bananas , WT/DS27/AB/R, adopted
25 September 1997, DSR 1997:II, 591.
EC – Bananas III (US) Panel Report, European Communities – Regime for the Importation, Sale
and Distribution of Bananas – Complaint by the United States ,
WT/DS27/R/USA, adopted 25 September 1997, as modified by theAppellate Body Report, WT/DS27/AB/R, DSR 1997:II, 943.
EC – Hormones Appellate Body Report, EC Measures Concerning Meat and Meat Products
(Hormones) , WT/DS26/AB/R, WT/DS48/AB/R, adopted
13 February 1998, DSR 1998:I, 135 .
EC – Sardines Appellate Body Report, European Communities – Trade Description of
Sardines , WT/DS231/AB/R, adopted 23 October 2002.
India – Patents (US) Appellate Body Report, India – Patent Protection for Pharmaceutical and
Agricultural Chemical Products , WT/DS50/AB/R, adopted
16 January 1998, DSR 1998:I, 9.
Japan – Alcoholic Beverages II Appellate Body Report, Japan – Taxes on Alcoholic Beverages ,
WT/DS8/AB/R, WT/DS10/AB/R, WT/DS11/AB/R, adopted1 November 1996, DSR 1996:I, 97.
Korea – Dairy Appellate Body Report, Korea – Definitive Safeguard Measure on Imports
of Certain Dairy Products , WT/DS98/AB/R, adopted 12 January 2000,
DSR 2000:I, 3.
Mexico – Corn Syrup(Article 21.5 – US)Appellate Body Report, Mexico – Anti-Dumping Investigation of High
Fructose Corn Syrup (HFCS) from the United States – Recourse to Article21.5 of the DSU by the United States , WT/DS132/AB/RW, adopted
21 November 2001.WT/DS217/AB/R
WT/DS234/AB/R
Page vi
Short Title Full Case Title and Citation
US – 1916 Act Appellate Body Report, United States – Anti-Dumping Act of 1916 ,
WT/DS136/AB/R, WT/DS162/AB/R, adopted 26 September 2000.
US – 1916 Act (EC) Panel Report, United States – Anti-Dumping Act of 1916 – Complaint by
the European Communities , WT/DS136/R and Corr.1, adopted
26 September 2000, as upheld by the Appellate Body Report,WT/DS136/AB/R, WT/DS162/AB/R.
US – 1916 Act (Japan) Panel Report, United States – Anti-Dumping Act of 1916 – Complaint by
Japan , WT/DS162/R and Add.1, adopted 26 September 2000, as upheld by
the Appellate Body Report, WT/DS136/AB/R, WT/DS162/AB/R.
US – Certain EC Products Appellate Body Report, United States – Import Measures on Certain
Products from the European Communities , WT/DS165/AB/R, adopted
10 January 2001.
US – Countervailing Measures onCertain EC ProductsAppellate Body Report, United States – Countervailing Measures
Concerning Certain Products from the European Communities ,
WT/DS212/AB/R, adopted 8 January 2003.
Panel Report, United States – Countervailing Measures Concerning
Certain Products from the European Communities , WT/DS212/R, adopted
8 January 2003, as modified by the Appellate Body Report,
WT/DS212/AB/R.
US – FSC Appellate Body Report, United States – Tax Treatment for "Foreign Sales
Corporations" , WT/DS108/AB/R, adopted 20 March 2000,
DSR 2000:III, 1619.
US – Gasoline Appellate Body Report, United States – Standards for Reformulated and
Conventional Gasoline , WT/DS2/AB/R, adopted 20 May 1996,
DSR 1996:I, 3.
US – Hot-Rolled Steel Appellate Body Report, United States – Anti-Dumping Measures on
Certain Hot-Rolled Steel Products from Japan , WT/DS184/AB/R, adopted
23 August 2001.
US – Norwegian Salmon AD Panel Report, Imposition of Anti-Dumping Duties on Imports of Fresh
and Chilled Atlantic Salmon from Norway , adopted 27 April 1994,
BISD 41S/I/229.
US – Offset Act (Byrd Amendment) Panel Report, United States – Continued Dumping and Subsidy Offset Act
of 2000 , WT/DS217/R, WT/DS234/R, 16 September 2002.
US – Section 110(5) Copyright Act Panel Report, United States – Section 110(5) of the US Copyright Act ,
WT/DS160/R, adopted 27 July 2000.
US – Section 129(c)(1) URAA Panel Report, United States – Section 129(c)(1) of the Uruguay Round
Agreements Act , WT/DS221/R, adopted 30 August 2002.WT/DS217/AB/R
WT/DS234/AB/R
Page vii
Short Title Full Case Title and Citation
US – Section 211 Appropriations
Act Appellate Body Report, United States – Section 211 Omnibus
Appropriations Act of 1998 , WT/DS176/AB/R, adopted 1 February 2002.
US – Shrimp Appellate Body Report, United States – Import Prohibition of Certain
Shrimp and Shrimp Products , WT/DS58/AB/R, adopted 6 November 1998,
DSR 1998:VII, 2755.
US – Underwear Appellate Body Report, United States – Restrictions on Imports of Cotton
and Man-made Fibre Underwear , WT/DS24/AB/R, adopted
25 February 1997, DSR 1997:I, 11.WT/DS217/AB/R
WT/DS234/AB/R
Page 1
WORLD TRADE ORGANIZATION
APPELLATE BODY
United States – Continued Dumping and
Subsidy Offset Act of 2000
United States – Appellant
Australia – Appellee
Brazil – Appellee
Canada – Appellee
Chile – Appellee
European Communities – Appellee
India – Appellee
Indonesia – Appellee
Japan – Appellee
Korea – Appellee
Mexico – Appellee
Thailand – Appellee
Argentina – Third Participant
Costa Rica – Third Participant
Hong Kong, China – Third Participant
Israel – Third Participant
Norway – Third ParticipantAB-2002-7
Present:
Sacerdoti, Presiding Member
Baptista, Member
Lockhart, Member
I. Introduction
1. The United States appeals certain issues of law and legal interpretations developed in the
Panel Report, United States – Continued Dumping and Subsidy Offset Act 2000 (the "Panel
Report"). 1
2. On 12 July 2001, Australia, Brazil, Chile, the European Communities, India, Indonesia,
Japan, Korea and Thailand requested the establishment of a panel to examine the WTO-consistency ofthe United States Continued Dumping and Subsidy Offset Act of 2000 (the "CDSOA").
2 A t i t s
meeting of 23 August 2001, the Dispute Settlement Body (the "DSB") established the Panel.
3. On 10 August 2001, Canada and Mexico separately requested the establishment of a panel
with respect to the same matter. 3 At its meeting of 10 September 2001, the DSB agreed to those
1WT/DS217/R, WT/DS234/R, 16 September 2002.
2WT/DS217/5. Referred to in the Panel Report also as the "Byrd Amendment" and the "Offset Act".
3WT/DS234/12 and WT/DS234/13.WT/DS217/AB/R
WT/DS234/AB/R
Page 2
requests and, pursuant to Article 9.1 of the Understanding on Rules and Procedures Governing the
Settlement of Disputes (the "DSU"), referred the matter to the Panel established on 23 August 2001. 4
4. Australia, Brazil, Canada, Chile, the Europe an Communities, India, Indonesia, Japan, Korea,
Mexico and Thailand (the "Complaining Parties") argued before the Panel that the CDSOA isinconsistent with Articles 18.1 of the Agreement on Implementation of Article VI of the General
Agreement on Tariffs and Trade 1994 (the " Anti-Dumping Agreement "), in conjunction with
Article VI:2 of the General Agreement on Tariffs and Trade 1994 (the "GATT 1994"), and Article 1
of the Anti-Dumping Agreement ; Article 32.1 of the Agreement on Subsidies and Countervailing
Measures (the " SCM Agreement "), in conjunction with Article VI:3 of the GATT 1994 and
Articles 4.10, 7.9 and 10 of the SCM Agreement ; Article 5.4 of the Anti-Dumping Agreement and
Article 11.4 of the SCM Agreement ; and Article XVI:4 of the Marrakesh Agreement Establishing
the World Trade Organization (the " WTO Agreement "), Article 18.4 of the Anti-Dumping Agreement
and Article 32.5 of the SCM Agreement . In addition, with the exception of Australia, the
Complaining Parties contended that the CDSOA is in violation of Article X:3(a) of the GATT 1994,
Article 8 of the Anti-Dumping Agreement and Article 18 of the SCM Agreement . Furthermore, in a
separate claim, Mexico argued that the CDSOA is in violation of Article 5(b) of the SCM Agreement ,
and India and Indonesia asserted that the CDSOA undermines Article 15 of the Anti-Dumping
Agreement .
5. In the Panel Report, circulated to the Members of the World Trade Organization (the "WTO")
on 16 September 2002, the Panel found that the CDSOA is inconsistent with Articles 5.4, 18.1and 18.4 of the Anti-Dumping Agreement ; Articles 11.4, 32.1 and 32.5 of the SCM Agreement ;
Articles VI:2 and VI:3 of the GATT 1994; and Article XVI:4 of the WTO Agreement .
5
6. The Panel concluded that the CDSOA nullifies or impairs benefits accruing to the
Complaining Parties under the Anti-Dumping Agreement , the SCM Agreement and the GATT 1994
to the extent that the CDSOA is inconsistent with those agreements.6 Consequently, the Panel
recommended that the DSB request the United States to bring the CDSOA into conformity with itsobligations under the Anti-Dumping Agreement , the SCM Agreement and the GATT 1994.
7
4WT/DS234/14.
5Panel Report, para. 8.1.
6Ibid., para. 8.4.
7Ibid., para. 8.5.WT/DS217/AB/R
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7. On 18 October 2002, the United States notified the DSB of its intention to appeal certain
issues of law covered in the Panel Report and certain legal interpretations developed by the Panel,pursuant to paragraph 4 of Article 16 of the DSU, and filed a Notice of Appeal pursuant to Rule 20 ofthe Working Procedures for Appellate Review (the " Working Procedures ").
8 On 28 October 2002,
the United States filed its appellant's submission. 9 On 12 November 2002, Australia, Brazil, Canada,
Korea and Mexico each filed a separate appellee's submission. 10 The European Communities, India,
Indonesia and Thailand filed a joint appellees' submission. Japan and Chile also filed a jointappellees' submission. On the same day, Argentina, Hong Kong, China and Norway each filed a thirdparticipant's submission.
11 Israel and Costa Rica notified the Appellate Body of their intention to
appear at the oral hearing as third participants. 12
8. In a letter dated 22 November 2002, the Director of the Appellate Body Secretariat informed
the participants and third participants that, in accordance with Rule 13 of the Working Procedures ,
the Appellate Body had selected Mr. Giorgio Sacerdoti to replace Mr. A.V. Ganesan as PresidingMember of the Division hearing this appeal. The latter was prevented from continuing to serve on theDivision for serious personal reasons.
9. On 5 November 2002, Canada filed a request for a preliminary ruling in respect of
certain questions of fact and law that it claime d were improperly included in the United States'
appellant's submission, alleging that they were no t included in the Notice of Appeal. The following
day, we invited the United States and the other participants and third participants to comment on the
issues raised by Canada in its request for a preliminary ruling, and set 8 November 2002 as thedeadline for submission of comments. We received comments from the European Communities,India, Indonesia and Thailand (as joint appellees), Japan and the United States. By letter of8 November 2002, the Director of the Appellate Body Secretariat informed the participants and thirdparticipants that we had decided not to issue a preliminary ruling, nor to make findings, at that stage,on the substance of Canada's submissions.
8WT/DS217/8, WT/DS234/16, 22 October 2002.
9Pursuant to Rule 21(1) of the Working Procedures .
10Pursuant to Rule 22(1) of the Working Procedures .
11Pursuant to Rule 24(1) of the Working Procedures .
12Pursuant to Rule 24(2) of the Working Procedures .WT/DS217/AB/R
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10. The oral hearing was held on 28 and 29 November 2002. 13 The participants and third
participants presented oral arguments and responded to questions put to them by the Members of theAppellate Body Division hearing the appeal.
II. Factual Background
11. The CDSOA was enacted on 28 October 2000 as part of the Agriculture, Rural Development,
Food and Drug Administration and Related Agencies Appropriations Act, 2001.
14 The CDSOA
amended Title VII of the Tariff Act of 1930 (the "Tariff Act"), entitled "Countervailing and
Antidumping Duties", by adding a new Secti on 754 entitled "Continued Dumping and Subsidy
Offset". 15
12. The CDSOA provides that the United States Commissioner of Customs ("Customs") shall
distribute, on an annual basis, duties assessed pursuant to a countervailing duty order, an anti-dumping duty order, or a finding under the United States Antidumping Act of 1921, to "affected
domestic producers" for "qualifying expenditures".
16 An "affected domestic producer" is defined as a
domestic producer that: (a) was a petitioner or interested party in support of the petition with respectto which an anti-dumping duty order, a finding under the Antidumping Act of 1921, or a
countervailing duty order has been entered; and (b) remains in operation.
17 The term "qualifying
expenditures" refers to expenditures on specific items identified in the CDSOA, which were incurred
13Pursuant to Rule 27 of the Working Procedures .
14Public Law 106-387, 114 Stat. 1549.
15Section 754 of the Tariff Act corresponds to Sectio n 1675c of Title 19 of the United States Code.
16The CDSOA provides that: "[d]uties assessed pursuant to a countervailing duty order, an antidumping
duty order, or a finding under the Antidumping Act of 1921 shall be distributed on an annual basis under thissection to the affected domestic producers for qualifying expenditures. Such distribution shall be known as 'thecontinued dumping and subsidy offset'." (Section 754(a) of the Tariff Act)
17Section 754(b)(1) of the Tariff Act defines "affected domestic producer" as:
… any manufacturer, producer, farmer, rancher, or worker representative
(including associations of such persons) that –
(A) was a petitioner or interested party in support of the petition
with respect to which an anti-dumping duty order, a finding under
the Antidumping Act of 1921, or a countervailing duty order has
been entered, and
(B) remains in operation.
Companies, businesses, or persons that have ceased the production of the
product covered by the order or finding or who have been acquired by acompany or business that is related to a company that opposed theinvestigation shall not be an affected domestic producer.WT/DS217/AB/R
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after the issuance of the anti-dumping duty fi nding, or order or countervailing duty order. 18 Those
expenditures must relate to the production of the same product that is subject to the anti-dumping orcountervailing duty order, with the exception of e xpenses incurred by associations which must relate
to the same case.
19
13. The CDSOA, together with its implementing re gulations issued by Customs, provides that
Customs shall establish a special account and a clearing account with respect to each countervailingduty order, anti-dumping duty order, or a finding under the Antidumping Act of 1921.
20 All anti-
dumping and countervailing duties assessed under such orders or findings are first deposited into a"clearing account".
21 Transfers from "clearing accounts" to "special accounts" are made by Customs
throughout the fiscal year. 22 Such transfers are made only after the entries 23 in question that are
subject to a countervailing duty order or an anti-dumping order or finding have been properly"liquidated".
24 Thus, when, and only when, the entries have been liquidated, will the proceeds be
transferred to a special account. Only once there are funds in a special account (not a clearing
18Section 754(b)(4) of the Tariff Act defines the term "qualifying expenditure" as "an expenditure
incurred after the issuance of the antidumping duty finding or order or countervailing duty order in any of thefollowing categories:
(A) Manufacturing facilities.
(B) Equipment.(C) Research and development.
(D) Personnel training.
(E) Acquisition of technology.(F) Health care benefits to employees paid for by the employer.(G) Pension benefits to employees paid for by the employer.
(H) Environmental equipment, training, or technology.
(I) Acquisition of raw materials and other inputs.(J) Working capital or other funds needed to maintain production."
19Section 159.61(c) of Title 19, Code of Federal Regulations ("C.F.R.").
20Section 754(e)(1) of the Tariff Act, 19 C.F.R. § 159.64(a)(1)(i).
2119 C.F.R. § 159.64(a)(2).
2219 C.F.R. § 159.64(b)(1)(ii).
23Customs defines "entry" as the process of presenting documentation for clearing goods through
customs following the arrival of the goods at a port. (See United States Import Requirements at
www.customs.gov/impoexpo/import).
2419 C.F.R. § 159.64(b)(1)(ii). The United States explained in its first written submission to the Panel
that "[u]nder United States' law, liquidation is defined as the 'final computation or ascertainment of duties' – it is
Customs' determination of the grand total to be paid by the importer." (United States' first written submission tothe Panel, footnote 12.) Generally speaking, it may be said therefore that the United States uses a"retrospective" assessment system under which final liability for antidumping and countervailing duties is
determined only after the goods have been imported. (See "Antidumping Duties; Countervailing Duties",
United States Federal Register, 19 May 1997 (Volume 62, Number 96), p. 27392)WT/DS217/AB/R
WT/DS234/AB/R
Page 6
account), can distributions to domestic producers under the CDSOA be made. 25 Therefore, if
liquidation of entries has been enjoined, for instan ce, by a court—perhaps pending judicial review of
the determination of dumping or countervailable subsidization—or if liquidation of entries has beensuspended due to an administrative review of those entries, the relevant special account will be emptyand no distribution can be made to domestic producers under the CDSOA.
26
14. Pursuant to the CDSOA, Customs shall distribute all funds (including all interest earned on
the funds) from the assessed duties received in the preceding fiscal year (and contained in the specialaccounts) to each affected domestic producer based on a certification by the affected domesticproducer that it is eligible to receive the distribution and desires to receive a distribution for qualifying
expenditures incurred since the issuance of the order or finding.
27 Funds deposited in each special
account during each fiscal year are to be distributed no later than 60 days after the beginning of thefollowing fiscal year.
28 There is no statutory or regulatory requirement as to how a disbursement is to
be spent. 29 The Panel found that CDSOA distributions to "affected domestic producers" made as of
December 2001 totalled over $206 million. 30
III. Arguments of the Participants and the Third Participants
A. United States – Appellant
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement
15. The United States claims that the Panel erred in finding that the CDSOA is a specific action
against dumping and subsidization under Article 18.1 of the Anti-Dumping Agreement and
Article 32.1 of the SCM Agreement .
16. According to the United States, the Panel misapplied the "constituent elements" test as
developed by the Appellate Body in US – 1916 Act . For the United States, the language of the
CDSOA does not include the constituent elements of dumping or of a subsidy, and these constituent
2519 C.F.R. § 159.64(b)(1)(i).
26United States' first written submission to the Panel, para. 13.
27Sections 754(d)(2) and (3) of the Tariff Act.
28Section 754(c) of the Tariff Act.
29"Distribution of Continued Dumping and Subsidy Offset to Affected Domestic Producers", United
States Federal Register, 21 September 2001 (Volume 66, Number 184), p. 48549. See also Panel Report,
para. 7.37.
30Panel Report, para. 7.44.WT/DS217/AB/R
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Page 7
elements do not form part of the essential components of the statute. The United States maintains
that, unlike the measure at issue in US – 1916 Act , the CDSOA by its terms does not impose
measures on dumped or subsidized products, or impose any form of liability on importers/foreignproducers/exporters when dumping or subsidization is found, and dumping or subsidization is not the
trigger for application of the CDSOA. Rather, the United States argues, the CDSOA provides for thedistribution of money ("triggered" by an applicant's qualification as an "affected domestic producer")from the United States government to domestic producers.
17. The United States also submits that the CDS OA is not action "in response" to dumping or a
subsidy. The United States characterizes the Panel's approach as suggesting that the CDSOA could
be perceived as action in response to "injury", which is separate from "dumping" or a "subsidy".
According to the United States, the Panel erred in finding that, because the payments follow from the
collection of anti-dumping or countervailing duties, the payments may be made only in situationspresenting the constituent elements of dumping or of a subsidy. The United States claims that, underthe Panel's approach, any expenditure of the collected duties would be specific action againstdumping or subsidies. The United States adds that, if the collected duties were spent for internationalemergency relief, according to the Panel's reasonin g they would be specific action against dumping or
subsidies, because they would be made only wher e the constituent elements of dumping or of a
subsidy were present. The United States maintains that the only connection that the CDSOA has
with anti-dumping and countervailing duty orders is that the CDSOA limits availability of CDSOA
offset payments to the universe of products covered by an existing or revoked order, and to "affecteddomestic producers", namely those who supported the investigation and still produce the particularproduct. According to the United States, CDSOA payments can and do occur at times when no ordercontinues to exist or even when no dumping or subsidization is currently occurring. Thus, the UnitedStates concludes that the Panel's conclusion that there is a "clear, direct and unavoidableconnection"
31 between the determination of dumping or of a subsidy and CDSOA offset payments is
incorrect. Rather, the United States argues that th e CDSOA is an exercise of the intrinsic right of a
WTO Member to provide subsidies.
18. The United States also claims that the Panel failed to read Article 18.1 of the Anti-Dumping
Agreement and Article 32.1 of the SCM Agreement in conjunction with footnotes 24 and 56 thereto
to determine the meaning of "specific action". According to the United States, the footnotes toArticles 18.1 and 32.1 are an integral part of the Articles' texts and inform the meaning of "specificaction". The effect of these footnotes is to permit action involving dumping or subsidies that is
31Panel Report, para. 7.21.WT/DS217/AB/R
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Page 8
consistent with the GATT 1994 provisions and that is not addressed by the provisions on dumping or
countervailable subsidies in Article VI of the GATT 1994. The United States argues that the Panelshould have interpreted Articles 18.1 and 32.1 in a manner so as to: (1) give meaning to the footnotes'express permission to take "actions" authorized under other relevant provisions of the WTO
Agreement ; and (2) avoid the creation of any limitations on the sovereign power over fiscal matters
not otherwise specifically proscribed by the WTO Agreements. In the present case, the Panelexamined the CDSOA under the SCM Agreement and, according to the United States, did not find
the CDSOA to violate any limitations set forth in th at Agreement. The United States concludes that
the CDSOA is covered by the footnotes 24 and 56, a nd, therefore, the CDSOA is not a specific action
prohibited by Article 18.1 of the Anti-Dumping Agreement or Article 32.1 of the SCM Agreement .
19. The United States also claims that the Panel failed to consider the ordinary meaning of the
term "against" in the context in which it is used or in the light of the object and purpose of the Anti-
Dumping Agreement and Article VI of the GATT 1994. With respect to the determination of the
Panel that the CDSOA operates against dumping or a subsidy, in the sense that it has an adversebearing on dumping or subsidization, the United States argues that an action can be characterized asoperating "against" dumping within the meaning of Article 18.1 of the Anti-Dumping Agreement , or
"against" a subsidy within the meaning of Article 32.1 of the SCM Agreement , only if it applies
directly to the dumped or subsidized imported good or an entity responsible for the dumped or
subsidized imported goods, and if it burdens the dumped or subsidized imported good, or an entity
responsible for the dumped or subsidized imported good. The United States says that the Panel erredby finding that the term "against" in Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of
the SCM Agreement encompasses any form of adverse bearing, whether it be direct or indirect, and
by finding that this term does not imply a requirement that the action applies directly to the importedgood or an entity responsible for it and is burdensome.
20. The United States maintains that the Panel erred by concluding that an "adverse bearing" on
dumping is demonstrated by the effect of the CDSOA on the competitive relationship betweendumped/subsidized goods and domestic products. The United States first criticizes the Panel for
failing to provide any explanation for inclusion of such a "conditions of competition" test under
Articles 18.1 and 32.1. The United States goes on to explain that, even though, historically, there hasbeen a "conditions of competition" test under Article III of the GATT 1994, which is used todetermine whether a measure is applied "so as to afford protection" or accords imports "treatment noless favorable" than that accorded like domestic products, Article 18.1 of the Anti-Dumping
Agreement and Article 32.1 of the SCM Agreement do not call for a "conditions of competition" test,
as the language in Articles 18.1 and 32.1 is markedly different from the language in Article III of theWT/DS217/AB/R
WT/DS234/AB/R
Page 9
GATT 1994. The United States points out that there is no indication in the text of Article 18.1 or
Article 32.1 that use of the words "against dumping" or "against a subsidy" was intended toencompass a "conditions of competition" test.
21. The United States further submits that, even assuming, arguendo , that a "conditions of
competition" test is applicable to an analysis under Articles 18.1 and 32.1, the CDSOA's impact onthe conditions of competition would be too remote and indirect to result in a violation. The UnitedStates posits several reasons: first, the CDSOA does not mandate that qualifying expenses be basedon costs incurred by domestic producers in compet ing with dumped/subsidized imports subject to an
order; second, there is nothing in the text of the CDSOA that directs, or even provides any incentive
for, domestic producers to spend disbursements to bolster their competitive position over
dumped/subsidized products; third, the CDSOA cannot ensure that, even if domestic producers douse the distributed money in the production of the product covered by an order, they will besuccessful in improving their competitive position vis-à-vis foreign producers/exporters; and fourth,
the CDSOA does not prohibit foreign producers from lowering prices to compete with domesticproducts. The United States argues, therefore, that the Panel's conclusion that the CDSOA has anadverse bearing on the conditions of competition is pure speculation.
22. The United States maintains that the Panel erred in finding that the CDSOA will have
the effect of providing a financial incentive for domestic producers to file, or at least support, a
petition, and that this compounds the CDSOA's adverse bearing on dumping or subsidization, because
the financial incentive will likely result in a greater number of anti-dumping/countervail applicationsand investigations, and in a greater number of anti-dumping/countervail orders. According to theUnited States, even if the CDSOA were to result in more investigations being initiated and, in turn,
more orders being put in place, such a result could not lead to a violation of Article 18.1 of the Anti-
Dumping or Article 32.1 of the SCM Agreement . This is because the Panel did not find any
provision of United States law relating to the imposition of anti-dumping or countervailing dutyorders to be inconsistent with United States WTO obligations. Thus, any increase in WTO-consistentinvestigations and orders cannot result in violations of Articles 18.1 and 32.1. The United States goes
on to state that, even assuming, arguendo , that an increase in WTO-consistent anti-dumping and
countervailing duty investigations and orders could lead to a WTO violation, no evidence wasadduced before the Panel to show that the CDS OA provides a financial in centive that will induce
producers to file or support a petition they otherwise would not file or support. According to theUnited States, nor was there any evidence that an y such incentive will lead to an increase in
investigations or orders brought before the Panel.WT/DS217/AB/R
WT/DS234/AB/R
Page 10
23. The United States argues that the Panel incorrectly relied on the stated purpose of the
CDSOA to confirm that the CDSOA constitutes specific action against dumping or a subsidy.
According to the United States, debates surroundin g the passage of the CDSOA or the "Findings of
Congress" introducing the CDSOA would be relevant to its interpretation only if the terms of theCDSOA were ambiguous and its operation unclear. In this case, because there was no allegation thatthe CDSOA is ambiguous, the only relevant question before the Panel was whether, by its terms, theCDSOA constitutes specific action against dumping and subsidization.
24. The United States also submits that the Panel erred in extending the Appellate Body's
reasoning in US - 1916 Act on permissible responses to dumping to the permissible responses to
subsidization under the GATT 1994 and the SCM Agreement . The United States contrasts the
language of Article VI:2 of the GATT 1994 and Article 1 of the Anti-Dumping Agreement with
Article VI:3 of the GATT 1994 and Article 10 of the SCM Agreement . The United States argues that
the conclusion reached by the Appellate Body in US – 1916 Act —that Article VI of the GATT 1994
encompasses all measures taken against dumping—was based on the specific language of Article VI:2of the GATT 1994 and Article 1 of the Anti-Dumping Agreement . The United States submits that
such a conclusion cannot be extended to the subsidy provisions of Article VI of the GATT 1994 andof Part V of the SCM Agreement , because their scope is limited to the imposition of countervailing
duties (and by implication, provisional duties and price undertakings).
2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement
25. The United States claims that the Panel erred in finding a violation of Article 5.4 of the
Anti-Dumping Agreement and Article 11.4 of the SCM Agreement . The United States argues that the
Panel agreed with the United States that those provis ions "require[ ] only that the statistical thresholds
be met, and impose[ ] no requirement that the in vestigating authorities inquire into the motives or
intent of a domestic producer in electing to support a petition." 32 The Panel also concluded that the
United States has implemented its obligations under Article 5.4 of the Anti-Dumping Agreement and
Article 11.4 of the SCM Agreement in its domestic laws and that the CDSOA did not in any way
amend or modify such laws. According to the United States, the Panel should have "ended itsinquiry" there.
33
32United States' appellant's submission, para. 95, quoting Panel Report, para. 7.63.
33United States' appellant's submission, para. 97.WT/DS217/AB/R
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26. The United States further refers to the Panel's finding that the CDSOA is inconsistent with
Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement because it
allegedly undermines the value of those provisions to the countries with whom the United Statestrades, and because it allegedly defeats the object and purpose of those articles. In this respect, theUnited States emphasizes that the Appellate Body has repeatedly directed panels to the words of the
agreement to determine the intentions of parties and has explained that, as set out in Article 31 of theVienna Convention on the Law of Treaties (the " Vienna Convention ")
34, principles of treaty
interpretation do not condone the imputation into a treaty of words or concepts that are not there.According to the United States, the Panel used the object and purpose of Articles 5.4 and 11.4, rather
than the terms of those provisions, as the basis for finding a violation.
27. The United States submits that a finding of a violation cannot be based solely on the
conclusion that a measure, although consistent with the text of the relevant provisions, "underminesthe value"
35 of those provisions to other trading partners. According to the United States, the Panel in
this case confused the basis for finding a violation of Article 5.4 of the Anti-Dumping Agreement and
Article 11.4 of the SCM Agreement with the basis for making a finding of non-violation nullification
and impairment under Article XXIII:1(b) of the GATT 1994.
28. The United States criticizes the Panel for its finding that the United States may be regarded as
not having acted in good faith. According to the United States, there is no basis in the WTO
Agreement for a panel to conclude that a Member has not acted in good faith, or to enforce a principle
of "good faith" as a substantive obligation agreed to by WTO Members. The United Statesemphasizes that dispute settlement panels are subject to clear and unequivocal limits on theirmandate: they may clarify "existing provisions" of covered WTO agreements and may examine themeasures at issue in the light of the relevant provisions of the covered WTO agreements.
36
29. The United States maintains that the Panel erred in conducting an analysis of whether the
CDSOA creates an incentive for a domestic producer to support an investigation, despite its finding
that the texts of Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement
do not impose an obligation to inquire into the motives behind such support. It was thus legal error
for the Panel to conclude that the CDSOA creates a financial incentive to support applications in anti-
34Done at Vienna, 23 May 1969, 1155 U.N.T.S. 331; 8 International Legal Materials 679.
35United States' appellant's submission, para. 101.
36Ibid., para. 106, referring to Articles 3.2 and 7.1 of the DSU.WT/DS217/AB/R
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dumping and countervailing duty investigations and therefore "in effect mandates" 37 domestic
producers to support such petitions, and then to use this conclusion as a basis for finding that theCDSOA is inconsistent with Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement . Moreover, according to the United States, the Panel's finding was based on
"nothing more than assumption and speculation"
38 that the CDSOA creates a "spectre" 39 of such
investigations being initiated without proper industry support.
30. The United States adds that the Panel's finding is at odds with the CDSOA and the operation
of relevant United States laws. Under those laws, the United States Department of Commerce("USDOC") alone, and not the United States International Trade Commission ("USITC"), makes a
determination whether there is sufficient domestic industry support for initiation of an anti-dumping
or countervailing duty investigation. The necessary declaration of support to qualify for CDSOAdistributions is made by domestic producers before the USITC, and not before USDOC. Moreover,the United States notes that the CDSOA declaration of support is not required prior to the initiation
of an investigation, and may contradict previously expressed opposition to an application. The United
States adds that a domestic producer can express support as late as the final injury investigationquestionnaire, which can be issued more than 200 days after an application has been filed.
31. The United States submits that the Panel's "failure to understand the operation of U.S. law is
compounded by its consideration of the only two purported pieces of 'evidence' that have been
advanced in support of complaining parties' claim."
40 One of the pieces of evidence is described as a
letter from a domestic producer in which it reportedly changed its position to express support for anapplication to be able to benefit from any pot ential CDSOA distributions. USDOC's decision to
initiate the investigations, however, had been made 294 days before the domestic producerpurportedly changed its position before the USITC. Moreover, an examination of the letter reveals,according to the United States, that it is not what th e Panel claimed it to be. In fact, the United States
points out that "the company that authored the letter states therein that it is expressing its 'continuing'support for the petitions ( i.e., it is not expressing a change in position)".
41
32. The United States also refers to a letter in which a United States' producer purportedly urged
other domestic producers to support a petition agai nst Canadian softwood lumber imports by citing
37United States' appellant's submission, para. 112.
38Ibid., para. 113.
39Ibid.
40Ibid., para. 118.
41Ibid., para. 120.WT/DS217/AB/R
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the CDSOA. According to the United States, ex amination of the letter referencing the CDSOA
shows that it was not written by a domestic producer, but instead by a law firm informing domestic
producers of the merits and circumstances of their case, as well as various provisions of United Stateslaw, including the CDSOA. Thus, according to the United States, there was no evidence to support
the Panel's conclusion. As such, there was no evidence on the record with which Complaining Partiescould meet their burden to establish a prima facie case and, as a consequence, the Panel's finding
amounts to a shifting of the burden of proof to the United States.
3. The Combination of Duties and CDSOA Offset Payments
33. The United States alleges that the Panel exceeded its terms of reference by examining claims
concerning the CDSOA in combination with other United States laws and regulations. CitingArticle 7 of the DSU and the Appellate Body Report in India – Patents (US) , the United States notes
that a panel's terms of reference are limited to the claims set out in the complaining parties' request forestablishment of a panel. In this case, the United States argues, the Complaining Parties' request forestablishment of a panel set out a challenge to the CDSOA as such, that is, the Complaining Partieschallenged the CDSOA prior to implementation and in dependent of any other laws. According to the
United States, although the Panel acknowledged that the CDSOA was the measure at issue, the Panel
proceeded to find that the CDSOA violates Article 18.1 of the Anti-Dumping Agreement and
Article 32.1 of the SCM Agreement because the combination of anti-dumping duties (or
countervailing duties) and the CDSOA transfers a competitive advantage to affected domesticproducers.
34. The United States notes, however, that the request did not include a challenge to provisions of
United States laws or regulations relating to the imposition of anti-dumping or countervailing duties,or a challenge to the CDSOA in conjunction with provisions of United States laws or regulations
relating to the imposition of anti-dumping or countervailing duties. Furthermore, according to the
United States, the Complaining Parties did not even mention in their request for establishment of a
panel the provisions of United States laws or regulations relating to the imposition of anti-dumping orcountervailing duties. Therefore, the United States argues that the Panel's terms of reference werelimited to determining whether the CDSOA, as such, violates identified provisions of the WTO
Agreement .
35. The United States acknowledges that the Panel can review relevant provisions of United
States law for interpretative purposes, but argues that the Panel was not at liberty to examine theCDSOA together with other provisions of United States law in order to find a WTO violation. Insupport of its claim, the United States refers to the Appellate Body Report in US – Certain ECWT/DS217/AB/R
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Page 14
Products and the Panel Report in US – Section 129(c)(1) URAA . Therefore, the United States
concludes, the Panel exceeded its terms of reference by examining whether the CDSOA, incombination with United States laws on the imposition of anti-dumping duties (or countervailingduties), violates Articles 18.1 and 32.1.
4. Article XVI:4 of the WTO Agreement , Article 18.4 of the Anti-Dumping
Agreement , Article 32.5 of the SCM Agreement and Article 3.8 of the DSU
36. The United States requests that the Appellate Body reverse the Panel's finding that the
CDSOA violates Article XVI:4 of the WTO Agreement on the grounds that the CDSOA is consistent
with Articles VI:2 and VI:3 of the GATT 1994, Articles 5.4, 18.1 and 18.4 of the Anti-Dumping
Agreement , and Articles 11.4, 32.1 and 32.5 of the SCM Agreement . For the same reason, the United
States requests the Appellate Body to reverse the Panel's finding that the benefits accruing to theComplaining Parties under the WTO Agreement have been nullified or impaired.
42
5. The "Advisory Opinion"
37. The United States maintains that the Panel erred by rendering an advisory opinion on a
measure that was not before it. Specifically, the United States appeals the Panel's statement that"[e]ven if CDSOA offset payments were funded directly from the US Treasury, and in an amountunrelated to collected anti-dumping duties, we would still be required to reach the conclusion … thatoffset payments may be made only in situations presenting the constituent elements of dumping."
43
The United States asserts that there was no measure before the Panel where payments were funded
directly from the United States Treasury and, therefore, there was no basis for the Panel to opine on
what its findings would be if such a measure were presented to it. The United States emphasizes that
this finding should be reversed because the Panel has no authority to make findings on a matter that isnot before it.
6. Article 9.2 of the DSU
38. The United States submits that the Panel erred in denying the request by the United States for
the issuance of a separate panel report in the dispute brought by Mexico. According to the United
States, Article 9.2 of the DSU gives Members an unqualified right to the issuance of separate panelreports upon request. Specifically, that provision contains no requirement for a party to make itsrequest for a separate panel report by a certain time in the panel proceeding. Nor does it, according to
42United States' appellant's submission, para. 133.
43Panel Report, para. 7.22.WT/DS217/AB/R
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the United States, require the requesting party to demonstrate that it would suffer prejudice if its
request is not accepted. Nor does it require that a separate interim report be issued, contrary to whatthe Panel stated.
B. Australia – Appellee
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement
39. Australia submits that the Panel did not err in concluding that the CDSOA is "specific action"
against dumping or a subsidy. The Panel's position—that a measure that may be taken only insituations presenting the constituent elements of dumping is clearly specific action in response todumping—was not an unexplained assumption. The Pa nel's conclusion was plainly arrived at in the
context of its examination of the scope of the Ap pellate Body's findings concerning the meaning of
the phrase "specific action against dumping" in US – 1916 Act .
40. According to Australia, the Panel did not err in determining that the CDSOA acts specifically
in response to dumping. The Panel correctly applied the rationale of the Appellate Body's finding inUS – 1916 Act in holding that offset payments under the CDSOA are conditioned on a determination
of dumping: offset payments are actions which may be taken only in response to conduct whichpresents the constituent elements of dumping. In the view of Australia, the constituent elements ofdumping are built into the essential elements for eligibility under the CDSOA. A determination of
dumping or subsidization is the first requirement for eligibility for offset payments under the CDSOA.
41. Australia contends that the Panel did not err when it concluded that it did not need to examine
footnote 24 to the Anti-Dumping Agreement and footnote 56 to the SCM Agreement . The Appellate
Body's findings in US – 1916 Act are fully dispositive of this matter in this dispute, and the Panel's
finding is fully consistent with them. Having found the CDSOA to be "specific action against
dumping" within the meaning of Article 18.1 of the Anti-Dumping Agreement and "specific action
against a subsidy" within the meaning of Article 32.1 of the SCM Agreement , the Panel correctly
concluded that the CDSOA was governed solely by Articles 18.1 and 32.1. Otherwise, the Panel
would have erroneously treated footnotes 24 and 56 as the primary provisions, and Articles 18.1and 32.1 as the residual provisions.
42. Australia maintains that the Panel did not err when it concluded that the CDSOA acts
"against" dumping. The Panel's conclusion that action "against" dumping must have some adversebearing on dumping, took account of all ordinary m eanings of the word "against". According to
Australia, the Panel did not err when it concluded that there is no requirement that a measure actWT/DS217/AB/R
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directly on an imported dumped product or entities responsible for that product. The Panel correctly
noted that Article 18.1 of the Anti-Dumping Agreement refers only to measures that act against
"dumping" as a practice, and that there is no express requirement that the measure must act against theimported dumped product, or entities responsible for that product. The Panel similarly noted thatArticle 32.1 of the SCM Agreement refers to specific action against "a subsidy", not action against
the imported subsidized product or a responsible entity. In the view of Australia, the notion of"direct" does not necessarily attach to the term "against". For Australia, the Panel considered both themeaning and the context of the word "against", was mindful of the Appellate Body's findings inUS – 1916 Act , and correctly concluded that the ordinary meaning of the term "against", which is not
qualified in any way in Article 18.1, encompasses any form of adverse bearing, be it direct or indirect.
43. Australia submits that the Panel did not err in finding that the CDSOA has an adverse
bearing on dumping. The United States argues that the Panel did not examine whether the CDSOAburdens imports or the entity responsible for their importation, but rather whether the CDSOAdistorts the conditions under which imports compete. However, according to Australia, this argumentis premised on the Panel having erred in concluding that there is no requirement that a measure actdirectly on an imported dumped product or a responsible entity. As the Panel did not err in makingthat conclusion, the United States' argument is not sustainable. In any case, Australia maintains thatthe Panel's conclusion that the CDSOA has an adverse bearing on dumping is correct. Offset
payments to "affected domestic producers" when combined with anti-dumping duties operate to
impose a double remedy in respect of dumped goods. To provide a double remedy is to cross the lineof equilibrium at which point something undesirable is counteracted or removed, and to create a newsituation requiring redress or relief. By its very nature, a double remedy to "affected domesticproducers" is adverse to dumped goods.
44. According to Australia, the Panel did not err in considering that the CDSOA's "legislative
history" confirmed that the CDSOA constitutes "specific action against dumping". The Panel's reviewof the intent of United States Congress after it had already concluded that the CDSOA bears adverselyon dumping and therefore acts against dumping, cannot be considered to be reliance on the intent of
United States Congress to reach a finding. It is not an error per se for a panel to review whether the
stated purpose or intent of a law concurs with its own findings.
45. Australia maintains that the Panel did not err when it concluded that the Appellate Body's
interpretation of the provisions of the Anti-Dumping Agreement in US – 1916 Act applies equally to
the provisions of the SCM Agreement . For Australia, the Panel correctly concluded that the only
remedies permitted by the GATT 1994, as interpreted by the SCM Agreement , were countervailingWT/DS217/AB/R
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duties, provisional measures, undertakings and countermeasures, and that to the extent that the
CDSOA may be regarded as a specific action against a subsidy, but not a permissible remedy, itwould be inconsistent with Article 32.1 of the SCM Agreement . Textual differences between
Article VI:2 of the GATT 1994 and Article 1 of the Anti-Dumping Agreement , on the one hand, and
Article VI:3 of the GATT 1994 and Article 10 of the SCM Agreement , on the other hand, do not
render the Panel's conclusion invalid.
2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement
46. Australia submits that the Panel reached its finding in respect of Article 5.4 of the Anti-
Dumping Agreement and Article 11.4 of the SCM Agreement on the basis of the text of the relevant
provisions. Thus, the Panel did not confuse viola tions of Articles 5.4 and 11.4 with a non-violation
claim of nullification and impairment under Article XXIII:1(b) of the GATT 1994. Australia submits
that the Panel expressly stated that "the first consequence" of the CDSOA's operation is that it
renders the quantitative tests established by those Articles irrelevant, and that it was on this basis that
the Panel found a violation of those Articles.
47. Australia endorses the Panel's application of the principle of good faith in its analysis of
claims made in relation to Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM
Agreement . According to Australia, the Panel's finding is consistent with the general rule of treaty
interpretation set out in Article 31 of the Vienna Convention and the Appellate Body's findings in
US – Gasoline and US – Hot-Rolled Steel . Adopting a measure that renders meaningless a WTO
Member's application of these provisions cannot be consistent with the principle of good faith that
informs them.
48. Australia endorses the Panel's conclusion that the CDSOA creates a financial incentive for
domestic producers to initiate and support petitions. According to Australia, it was not an error forthe Panel to use that conclusion as a basis for its finding that the CDSOA is inconsistent with
Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement .
44
3. The Combination of Duties and CDSOA Offset Payments
49. Australia argues that the Panel did not exceed its terms of reference by examining claims
concerning the CDSOA in combination with other United States laws and regulations. Australia
agrees with the United States that the Complaining Parties' panel request did not include a challenge
44Australia's appellee's submission, para. 61.WT/DS217/AB/R
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to provisions of United States laws or regulations relating to the imposition of anti-dumping or
countervailing duties, or a challenge to the CDSOA in conjunction with provisions of UnitedStates laws or regulations relating to the imposition of anti-dumping or countervailing duties.However, according to Australia, "[t]he Panel's reference to 'the combination of anti-dumping dutiesand offset subsidies' is not a finding concerning the CDSOA in combination with other anti-dumpinglaws and regulations of the United States as such."
45 Rather, it is, and "should properly be seen, as a
general reference to 'anti-dumping duties' as a permissible remedy within the meaning of the
Anti-Dumping Agreement ." 46
4. Article XVI:4 of the WTO Agreement , Article 18.4 of the Anti-Dumping
Agreement , Article 32.5 of the SCM Agreement and Article 3.8 of the DSU
50. Australia submits that the Panel correctly found that the CDSOA violates Articles 5.4
and 18.1 of the Anti-Dumping Agreement and Articles 11.4 and 32.1 of the SCM Agreement .
Accordingly, the Panel's finding that the CDSOA is inconsistent with Article 18.4 of the Anti-
Dumping Agreement , Article 32.5 of the SCM Agreement and Article XVI:4 of the WTO
Agreement is also correct. Australia goes on to argue that, under Article 3.8 of the DSU, such
violations constitute a prima facie case of nullification or impairment. Because the United States
did not present to the Panel any evidence to rebut such presumption of nullification and impairment,the CDSOA constitutes a violation of Article 3.8 of the DSU as well.
5. The "Advisory Opinion"
51. Australia submits that the Panel did not exceed its terms of reference by clarifying the scope
of its finding in the first sentence of paragraph 7.22. Australia notes that, in arguing that the Panelerred in issuing an advisory opinion on a measure outside its terms of reference, the United States hasnot entered any argument in relation to the first sentence of paragraph 7.22; rather, the United States'argument relates strictly to the second sentence of the Panel's statement at paragraph 7.22 of itsReport.
45Australia's appellee's submission, para. 72, quoting Panel Report, para. 7.36.
46Australia's appellee's submission, para. 72.WT/DS217/AB/R
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C. Brazil – Appellee
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement
52. Brazil submits that the Panel did not err in finding that CDSOA payments violate Article 18.1
of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement . For Brazil, there can be
no question that entitlement to the remedy provided for in the CDSOA is an actionwhich is taken in response to situations presenting the constituent elements of dumping, precisely thesituation addressed by the Appellate Body in US – 1916 Act. The specific action—distribution of
duties assessed under anti-dumping duty orders to affected domestic producers—is permitted onlywhen the constituent elements of dumping have been demonstrated. Brazil argues that it is not the
expenditure of the collected anti-dumping duties in a vacuum that constitutes the response to
dumping, but the disbursement to the petitioning parties that make up the industry producing theproduct covered by the anti-dumping order.
53. Brazil refers to the United States' argument that, because CDSOA payments can and do occur
at points in time when an order no longer exists and there is no finding that dumping is currentlyoccurring, they cannot be considered against, or in response to, dumping or subsidization.
47 Brazil
disagrees with this argument. For Brazil, this apparently addresses the delay in disbursement, whichwould be more a function of the retrospective nature of the anti-dumping regime in the United Statesand the logistics of liquidation and payment, rather than some disconnect between the payments and a
finding of the constituent elements of dumping. The more appropriate question to ask is whether the
payments can be made before a finding of the cons tituent elements of dumping. According to Brazil,
the answer is no.
54. For Brazil, it is indisputable that CDSOA payments constitute specific action against
dumping. This is discerned from a review of Article VI of the GATT 1994, the premise behind theCDSOA, the actual effect of CDSOA payments, as well as the comparisons to be drawn from themeasure at issue in US – 1916 Act , which the Appellate Body has already found to be a specific
action against dumping. The measure, which the panel and Appellate Body found in US – 1916 Act
to be inconsistent with Article VI of the GATT 1994 and Article 18.1 of the Anti-Dumping
Agreement , included the very same remedy that the Panel in these proceedings found invalid, namely
the awarding of monetary damages to parties that have been found to be injured by dumping. Both
47United States' appellant's submission, para. 22.WT/DS217/AB/R
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the damages awarded by the CDSOA and the dama ges awarded under the measure at issue in US –
1916 Act are based on a demonstration of the constituent elements of dumping. Brazil adds that the
CDSOA is not simply a decision by the Unite d States government on how to spend revenues
generated by anti-dumping duties. It is, rather, intended to have the effect of providing an additionalremedy for dumping. It provides additional deterrence in that monies paid in the form of dumpingduties by importing parties are distributed in the form of monetary damages to competitors. It alsoprovides an additional incentive to United States' domestic industries to pursue anti-dumping actionsin that it rewards them with monetary damages.
55. Brazil supports the conclusion of the Panel that an action "against" dumping must have some
adverse bearing on dumping. The term "against" is best understood in the context of Article VI:2 of
the GATT 1994, which states that anti-dumping duties are to be imposed in order to "offset or preventdumping". Brazil sees no inconsistency in the Panel's treatment of the term "against" and the objectand purpose of anti-dumping duties. In respect of the United States' contention that the Panelestablished a new "conditions of competition" test under Article 18.1 of the Anti-Dumping
Agreement and Article 32.1 of the SCM Agreement , Brazil contends that Article 18.1 of the Anti-
Dumping Agreement refers only to measures that act against "dumping" as a practice; there is no
express requirement in the provision that the measure must act against the imported dumped product,or entities connected to, or responsible for, the dumped good.
2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement
56. Brazil endorses the Panel's conclusion that the CDSOA violates Article 5.4 of the Anti-
Dumping Agreement and Article 11.4 of the SCM Agreement . Brazil maintains that the CDSOA
operates in such a manner that United States' investigating authorities are unable to conduct anobjective and impartial examination of the level of support for an application. As a consequence, thePanel correctly concluded that the CDSOA has undermined the value of provisions of Article 5.4 ofthe Anti-Dumping Agreement and Article 11.4 of the SCM Agreement and that the United States
"may be regarded as not having acted in good faith in promoting this outcome."
48 According to
Brazil, the incentive to file or support anti-dumping and countervailing duty petitions created byCDSOA payments raises the potential for a minority of domestic producers to be able to control andinitiate anti-dumping and/or countervailing dut y proceedings. The numerical thresholds under
Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement have, as their
object and purpose, to prevent this from happening. According to Brazil, "[i]t is this return to the
48Brazil's appellee's submission, para. 27.WT/DS217/AB/R
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situation that existed before the Uruguay Round Agreements that implicates and violates the
provisions of Article 5.4 of the AD Agreement and Article 11.4 of the SCM Agreement ." 49
3. The Combination of Duties and CDSOA Offset Payments
57. Brazil argues that the Panel did not exceed its terms of reference by examining claims
concerning the CDSOA in combination with other United States laws and regulations. According toBrazil, the Complaining Parties raise no claims against United States laws or regulations relating to
the imposition of anti-dumping or countervailing duties, because they are not the subject of this
dispute. Rather, Brazil argues, the relationship of those laws and regulations to the claims that theCDSOA violates Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM
Agreement is incidental to the dispute. Brazil submits that the Complaining Parties do not dispute
that, in as much as they are permitted specific actions, anti-dumping and countervailing duties arepresumably valid under the Anti-Dumping Agreement and the SCM Agreement . Instead, Brazil
claims that the Complaining Parties are disputing the CDSOA payments because they clearly do notqualify as permissible measures under Article 18.1 and Article 32.1.
D. Canada – Appellee
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement
58. Canada submits that the CDSOA is a specific action against dumping or subsidization within
the meaning of Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM
Agreement . According to Canada, neither the text nor context of Article 18.1 or the Appellate Body's
interpretation of that provision in US – 1916 Act indicates that the constituent elements of dumping
must be built into a measure for it to constitute "specific action." A measure is "specific action"where its operation is contingent upon the existence of constituent elements of dumping or a subsidy.A WTO Member may not escape its obligations by calling dumping or a subsidy something else, orby not incorporating the definition of dumping or a subsidy into the measure itself. Where a practice
is clearly defined in national laws, it is not necessary for each and every law targeting that practice to
specifically incorporate the constituent elements of that practice. Requiring that the constituent
elements of dumping or of a subsidy be built into the measure for it to constitute "specific action",would eviscerate Articles 18.1 and 32.1. This woul d create a loophole for measures that have no
other purpose and effect than to act against dumping or a subsidy, solely because they do not, inthemselves, contain the elements of these practices.
49Brazil's appellee's submission, para. 30.WT/DS217/AB/R
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59. Canada maintains that, in fact, the CDSOA does incorporate the constituent elements of
dumping and a subsidy. Offset subsidies are possible only where there is an anti-dumping orcountervailing duty order. Such orders are imposed once there has been a determination of injuriousdumping or a subsidy. Offset subsidies are therefore possible only where there is already adetermination of dumping or a subsidy, and in no other circumstance. As well, offset subsidies arepaid out to "affected domestic producers". These are not domestic producers generally affected byimports. Rather, they are producers that produce like domestic products and that initiate or support ananti-dumping or countervailing investigation. Finally, offset subsidies reimburse certain "qualifyingexpenditures"; qualifying expenditures must relate to a product covered by an order. Thus, for
Canada, every element of the CDSOA depends, fo r its operation, on a finding of dumping or
subsidization.
60. Canada argues that the "trigger" for the operation of the CDSOA is, by design, an anti-
dumping or countervailing duty order, not simply status as an "affected domestic producer". The verynotion of "affected domestic producer" in this context does not exist separate from, or without thepresence of, dumping or subsidization.
61. Canada contends that the Panel did not need to examine whether the CDSOA was an "action"
within footnotes 24 and 56, because it had already found it was "specific action" within the meaningof Articles 18.1 and 32.1. "Specific action" is to be distinguished from "action" within the meaning of
the footnotes. A measure is a "specific action" against dumping where the objective reason for the
imposition of the measure is dumping itself. Action triggered by something other than dumping (likea safeguard based on a serious increase in imports that could have been caused by dumping by foreignexporters) that nevertheless has an incidental impact on dumping is "action" within the meaning offootnote 24. In that event, the basis for the imposition of a measure would not objectively bedumping, but its causes or effects. Canada adds that a measure does not escape the requirements ofArticle 18.1 of the Anti-Dumping Agreement on the sole ground that it is otherwise consistent with
the GATT 1994.
62. Canada submits that the Panel decided correctly that the CDSOA is "against" dumping or a
subsidy. The Panel's interpretation of the term "aga inst" is in accordance with the principles of treaty
interpretation. For Canada, a measure that is in some way related to dumping may have but one ofthree possible effects on the practice: it may encourage it; be neutral to it; or, discourage it. Ameasure is against dumping when it is structured in a way as to discourage the practice of dumpingexports. This interpretation of "against" is supported by the context of Article 18.1. The provisionsof the Anti-Dumping Agreement regulate not only what measures WTO Members may impose inWT/DS217/AB/R
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response to dumping, but also the modalities of that imposition. The Anti-Dumping Agreement
specifically permits duties, provisional duties and undertakings, and prohibits all specific action,direct or indirect, against dumping that is not one of those remedies. This limitation on specific action
is in keeping with the object and purpose of the Anti-Dumping Agreement to further the substantial
reduction of tariffs and other barriers to trade, to eliminate discriminatory treatment in international
trade relations and to develop a more viable and durable multilateral trading system.
63. Canada further maintains that, in finding advers e bearing in respect of the CDSOA, the Panel
relied on traditional concepts employed by panels: an examination of conditions of competition. Inthis regard, the Panel was not reading words into the text of the treaty or proposing a new test. In fact,
the Panel considered "conditions of competition" in giving substance to the proposed definition that a
measure is "against dumping" where it "burdens" imports.
64. Canada contends that the United States' argument s concerning the alleged "remoteness" of the
consequences of the CDSOA or the "speculative" nature of the Panel's analysis, are without merit.The CDSOA is mandatory legislation that is being challenged as such. The direct and necessaryconsequences of the CDSOA are apparent from its design, architecture and underlying structure.Based on the design, architecture and underlying structure of the CDSOA, the Panel determined thatcertain consequences necessarily follow from its operation that tied the offset payments to dumpingand subsidies.
65. Canada submits that Article 32.1 of the SCM Agreement is identical in terminology,
structure and intent to Article 18.1 of the Anti-Dumping Agreement , except for the reference to
subsidy instead of dumping. This identical wording gives rise to a strong interpretative presumption
that the two provisions set out the same obligation or prohibition. In the view of Canada, footnote 35to Article 10 of the SCM Agreement expressly confirms this presumption. It provides that there are
two sets of "specific action" consistent with the WTO Agreement , and requires that Members may
choose one or the other specific action against a su bsidy: countermeasures under Part II or III and
countervailing duties, undertakings and provisional measures under Part V. For Canada, no otherremedies are contemplated. Article 32.1 is identical in scope to Article 18.1 of the Anti-Dumping
Agreement . Remedies against subsidies are restricted to the three measures governed by Part V of the
SCM Agreement , and to multilaterally-sanctioned countermeasures.WT/DS217/AB/R
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2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement
66. Canada endorses the Panel's finding that the CDSOA violates Article 5.4 of the Anti-
Dumping Agreement and Article 11.4 of the SCM Agreement .
67. Canada emphasizes that Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement require an investigating authority to determine that an application has the support of
the domestic industry, based on an examination of the level of support for an application in thedomestic industry. Canada argues that "[t]his determination and examination is not a mechanical
exercise of toting up the number of producers and their share of domestic production."
50 T h e
requirement is, rather, for an objective and impartial assessment of evidence on the record that
indicates that requisite support exists to initiate an investigation.
68. Canada submits that, under the CDSOA, "the United States pays domestic producers either to
bring or to support applications." 51 According to Canada, providing such a "monetary reward for
producers to support an antidumping application … precludes the possibility of an objective and
impartial determination … of industry support." 52 Canada submits that the CDSOA violates
Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement precisely
because it prevents the United States from complying with its obligations under those Agreements.
69. Canada takes the view that, in arguing for a literal reading of the texts of Article 5.4 of the
Anti-Dumping Agreement and Article 11.4 of the SCM Agreement , the United States ignores the fact
that those provisions "expressly require an authority to examine (enquire into the nature, look closely
or analytically) the evidence as to those thresholds and determine (establish precisely) industry
support." 53 According to Canada, this is "manifestly at variance with the apparent U.S. position that
the sole obligation of a member is to tally up numbers presented by applicants." 54
70. Canada further submits that the Panel's reference to good faith and object and purpose was not
meant to replace the text of Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM
Agreement with either of these principles; but "rather to give a full and effective meaning to the text
50Canada's appellee's submission, para. 96.
51Ibid., para. 106.
52Ibid.
53Ibid., para. 109. (original emphasis)
54Ibid.WT/DS217/AB/R
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in the light of these interpretative principles." 55 Good faith and object and purpose are elements to be
considered in the elaboration of an obligation by virtue of Article 31 of the Vienna Convention .
According to Canada, "[t]his necessarily means that the obligation under Article 5.4 and 11.4 cannotbe met where a Member vitiates its own capacity to make a 'determination', or to undertake an'examination', by offering inducements that influence the basis for that determination."
56 S u c h a n
inducement, Canada argues, would render the determination partial and subjective.
3. The Combination of Duties and CDSOA Offset Payments
71. Canada argues that the Panel made no findings with regard to United States anti-dumping and
countervailing duty laws outside of the CDSOA; ra ther, the statement of the Panel is clearly with
regard to the operation and effect of the CDSOA in the context of the United States trade remediessystem. According to Canada, when the Panel stated that the combination of anti-dumping duties and
offset subsidies is not merely to level the playin g field, but to transfer the competitive advantage to
affected domestic producers, it was referencing the impact of offset payments in addition to dutiesthat would also exist. Canada further states that the CDSOA does not operate in a vacuum, and itconstitutes a second remedy against dumped imports.
4. Article XVI:4 of the WTO Agreement , Article 18.4 of the Anti-Dumping
Agreement , Article 32.5 of the SCM Agreement and Article 3.8 of the DSU
72. Canada agrees with the Panel that the CDSOA is inconsistent with Article XVI:4 of the
WTO Agreement , Article 18.4 of the Anti-Dumping Agreement and Article 32.5 of the SCM
Agreement because it violates Articles 18.1 and 5.4 of the Anti-Dumping Agreement , Articles 32.1
and 11.4 of the SCM Agreement , and Articles VI:2 and VI:3 of the GATT 1994. Based on these
findings, Canada also agrees with the Panel's conclusion that the CDSOA constitutes a breach ofArticle 3.8 of the DSU, because it nullifies and impairs benefits accruing to the complainants underthe covered agreements.
5. The "Advisory Opinion"
73. Canada takes the view that the Panel did not render an advisory opinion. Instead, it made a
statement in support of its overall argument concerning the operation of the CDSOA. According toCanada, the Panel did not arrive at a legal conclusion in respect of the payment of duties from theUnited States Treasury itself, and so could not have been in legal error. Nor did the Panel offer an
55Canada's appellee's submission, para. 115.
56Ibid., para. 117.WT/DS217/AB/R
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"advisory opinion" on that issue. Canada also po ints out that, in stating that "[e]ven if CDSOA
offset payments were funded directly from the US Treasury, and in an amount unrelated to collectedanti-dumping duties, we would still be required to reach the conclusion … that offset payments maybe made only in situations presenting the constituent elements of dumping"
57, the Panel was merely
responding to specific arguments raised by the United States in the course of the proceedings.
6. Article 9.2 of the DSU
74. Canada argues that Article 9.2 should be interpreted in the context of the other provisions of
the DSU and in the light of the overall object and purpose of that Agreement. Canada refers, inparticular, to Articles 3.2 and 3.3 of the DSU.
75. Canada argues that to interpret Article 9.2 in a manner that permits a WTO Member to ask for
separate reports at any time, including at the end of the panel process, would undermine the promptsettlement of disputes. Canada submits that such a reading of Article 9.2 would also violateprocedural fairness and impose an additional burden on the rights of parties. Canada concludes thatArticle 9.2 of the DSU does not grant an unfettered right to Members to ask for separate reports at anypoint in time; rather, where the exercise of such a right amounts to a potential abus de droit , a panel
must have the discretion to refuse to grant the request.
E. European Communities, India, Indonesia and Thailand – Appellees
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement
76. The European Communities, India, Indonesia and Thailand, as joint appellees, submit that the
Panel correctly applied the test enunciated by the Appellate Body in US – 1916 Act in determining
that the CDSOA is a specific action against dumping or a subsidy. According to them, this test doesnot require the Panel to establish whether the constituent elements of dumping are "explicitly builtinto" the CDSOA, but, rather, whether the offset payments are actions that may be taken only
when the constituent elements of dumping are present. This test is met not only when the constituent
elements of dumping are "explicitly built into" the action at issue, but also where they are implicit in
the express conditions for taking the action concerned. They maintain that the CDSOA offsetpayments meet this test for the following reasons. First, the offset payments are not made to allUnited States' enterprises, or even to all United States' producers "affected" by imports, but only andexclusively to the United States' producers "affected" by an instance of dumping or subsidization
57Panel Report, para. 7.22.WT/DS217/AB/R
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which has been previously the subject of an anti-dumping or a countervailing duty order, respectively.
Second, the offset payments are paid for "qualifying expenses" incurred by the affected domesticproducers "after" the issuance of an anti-dumping or a countervailing duty order and prior to thetermination of the order. Third, the "qualifying expenses" must be related to the production of aproduct that has been the subject of an anti-dumping or countervailing duty order.
77. The European Communities, India, Indonesia and Thailand argue that, to determine whether
the CDSOA is specific, the Panel was not required to examine footnote 24 of the Anti-Dumping
Agreement and footnote 56 of the SCM Agreement . According to them, the scope of Article 18.1 of
the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement and that of the footnotes are
mutually exclusive. Therefore, once it is established that an action is "specific action against
dumping", it is not necessary to make a finding to the effect that such action is not covered by thefootnote. They add that, in any event, offset payments do not constitute "action" under other relevantprovisions of the GATT 1994 within the meaning of footnotes 24 and 56 and that the CDSOA is notan action taken "under other relevant provisions" of the GATT 1994.
78. The European Communities, India, Indonesia and Thailand contend that the Panel was not
required to further consider whether the CDSOA was action "against" dumping or a subsidy because,in the light of the test enunciated by the Appellate Body in US – 1916 Act , a conclusion that the
CDSOA offset payments constitute specific action against dumping or a subsidy stems from the
establishment that the offset payments are an action that may be taken only when the constituent
elements of dumping, or of a subsidy, are present. In any event, they submit that the Panel'sinterpretation of the term "against", which encompasses action that has an "indirect" adverse bearingon dumping or subsidization, is in accordance with the rules of treaty interpretation. According to
them, the Panel's interpretation is consistent with the ordinary meaning of the term "against" as it
corresponds to definitions such as "in competition with", "to the disadvantage of", "in resistance to"and "as protection from"; it would also be borne out by the immediate context of the term "against",in particular by the surrounding language of Articles 18.1 and 32.1, which does not prohibit specificaction against dumped or subsidized imports, or against the importers of dumped or subsidized
products, but rather against "dumping" and against "a subsidy". Also, they point out that the SCM
Agreement authorizes indirect action in the form of "countermeasures".
79. The European Communities, India, Indonesia and Thailand support the conclusion of the
Panel that the CDSOA has an adverse bearing on dumping and subsidization because it putsdumped/subsidized imports at a competitive disadv antage. According to the European Communities,WT/DS217/AB/R
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India, Indonesia and Thailand, this conclusion is based exclusively on the interpretation of
Articles 18.1 and 32.1, more specifically of the term "against".
80. The European Communities, India, Indonesia and Thailand submit that the CDSOA operates
"against" dumping/a subsidy because the offset payments are objectively apt to have an "adversebearing" on dumping or subsidization. In this vein, they point out that the qualifying expenses underthe CDSOA are costs incurred "in competing with" th e dumped/subsidized imports. They add that the
offset payments allow the domestic producers to improve their competitive position vis-à-vis
dumped and subsidized imports, and it is reasonable to expect that, in practice, they will use them forthat purpose.
81. The European Communities, India, Indonesia and Thailand support the Panel's conclusion
that the stated purpose of the CDSOA confirms that it is specific action against dumping. They are ofthe view that the stated purpose of the CDSOA is relevant for its interpretation, and they assert thatSection 1002 is an integral part of the terms of the CDSOA.
82. The European Communities, India, Indonesia and Thailand submit that countervailing
measures and countermeasures are the only permitted responses to subsidization. According to them,the Appellate Body's finding in US – 1916 Act —that the only specific actions against dumping
allowed by Article VI of the GATT 1994, as interpreted by the Anti-Dumping Agreement , are
definitive duties, provisional measures and price undertakings—was not based exclusively on the
presence of the term "measure" in Article 1 of the Anti-Dumping Agreement . They add that
footnote 35 to Article 10 of the SCM Agreement provides contextual confirmation that the
SCM Agreement does not allow the application of other measures against a subsidy. They contend
that, as the wording of Article 32.1 mirrors that of Article 18.1, it is reasonable to assume that bothprovisions have a similar object and purpose; consequently, they should have a similar scope.Furthermore, they submit that the United States' interpretation of Article 32.1 would reduce thatprovision to redundancy.
2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement
83. The European Communities, India, Indonesia and Thailand endorse the finding of the Panel
that the CDSOA is inconsistent with Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of
the SCM Agreement . They assert that, contrary to what the United States maintains, the Panel
reached its conclusion based on the text of those provisions.WT/DS217/AB/R
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84. The European Communities, India, Indonesia and Thailand submit that the examination of
the relevant facts for establishing whether an application is made "by or on behalf of the domesticindustry" must be conducted in an "objective" manner. This is not stated expressly in Articles 5.4or 11.4, but it is a corollary of the principle of good faith which informs all the covered agreements.
According to them, the CDSOA is incompatible with the obligation to make an "objective"
examination required by Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement because, through the offset payments, the United States authorities are "unduly
influencing the very facts which they are required to 'examine'."
58
85. The European Communities, India, Indonesia and Thailand argue that the United States'
reading of Articles 5.4 and 11.4 would lead to absurd and unacceptable results and cannot be correct.
If it did not matter whether an application or an expression of support is "genuine", the authoritiescould take any action within their reach in order to coerce or induce the domestic producers to makeor support applications, so as to ensure that the quantitative thresholds of Articles 5.4 and 11.4 arereached.
86. The European Communities, India, Indonesia and Thailand emphasize that they are not
suggesting that an investigating authority is to ascertain actively in each case the subjectivemotivations of a producer in expressing support for an application; but they argue that if there isevidence calling into question the credibility of a declaration of support, the administrative authorities
cannot ignore such evidence without violating Article 5.4 of the Anti-Dumping Agreement and
Article 11.4 of the SCM Agreement .
87. The European Communities, India, Indonesia and Thailand endorse the Panel's conclusion
that the CDSOA defeats the object and purpose of Article 5.4 of the Anti-Dumping Agreement and
Article 11.4 of the SCM Agreement because it encourages the initiation of investigations in cases
where the domestic industry has no genuine interest in the imposition of anti-dumping orcountervailing duties. The consequence is that United States investigating authorities are preventedfrom reaching a proper determination of support before initiating an investigation.
88. The European Communities, India, Indonesia and Thailand submit that Members must
observe the general principle of good faith, recognized by the Appellate Body as a pervasive principle
that informs the covered agreements, in the application and interpretation of the Anti-Dumping
Agreement and the SCM Agreement . They submit that the obligation to perform a treaty obligation
58European Communities', India's, Indonesia's and Thailand's appellees' submission, para. 127.WT/DS217/AB/R
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in good faith means that such obligations "must no t be evaded by a merely literal interpretation". 59 It
means also that the parties "must abstain from acts that are calculated to frustrate the object andpurpose of the treaty".
60
89. The European Communities, India, Indonesia and Thailand emphasize that the Panel's finding
that the CDSOA provides a financial incentive to file or support applications is a question of fact, andnot a question of law. They add that the United States has not claimed that, by finding that theCDSOA provides a financial incentive to file or support applications, the Panel has actedinconsistently with Article 11 of the DSU; accordin gly, in their view, this finding is beyond the scope
of appellate review.
90. In any event, the European Communities, India, Indonesia and Thailand submit that the Panel
correctly concluded that the CDSOA provides a fina ncial incentive to file or support applications.
They submit that the reason why the evidence of "actual effects" of the CDSOA cannot be shown isbecause, as a result of the CDSOA, "it has become impossible, both for the U.S. authorities and for
the complainants, to tell whether a domestic producer supports the imposition of measures as such orthe distribution of the offset. The appropriate consequence to be drawn from this is not that theCDSOA can have no effects on the degree of support, but rather that the U.S. authorities are no longerin a position to make a proper determination of support, whether positive or negative."
61
91. The European Communities, India, Indonesia and Thailand emphasize that they "have not
claimed that the CDSOA affects the standing determination in each and every case." 62 Rather, their
claim is that "there is a risk that the offset payments will influence the decision of the domesticproducers in an indeterminate number of cases"
63 and that by creating that risk, the United States has
acted inconsistently with the obligation to conduct an objective examination of the level of support.They submit that "[t]he existence of such risk can be reasonably inferred, as the Panel did, from thepotential amount of the payments made under the CDSOA, as compared to the costs of filing or
supporting applications."
64
92. The European Communities, India, Indonesia and Thailand note that the United States argues
that the declarations of support for the purposes of the distribution of the offset payments can be made
59European Communities', India's, Indonesia's and Thailand's appellees' submission, para. 148.
60Ibid.
61Ibid., para. 163.
62Ibid., para. 164.
63Ibid.
64Ibid.WT/DS217/AB/R
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to the USITC after the initiation of the investigation. They stress that it remains true, however, that
the CDSOA provides an incentive for filing applicat ions or for supporting them before the initiation
of the investigation because domestic producers cannot be sure that the other domestic producers willfile or support an application, and thus whether the thresholds set out in Article 5.4 of the Anti-
Dumping Agreement and Article 11.4 of the SCM Agreement will be met.
3. The Combination of Duties and CDSOA Offset Payments
93. The European Communities, India, Indonesia and Thailand argue that the Panel did not
exceed its terms of reference in the manner alleged by the United States. According to them, the
Panel made findings and recommendations exclusively with respect to the CDSOA. They argue thatthe Panel made no finding or recommendation with respect to the WTO-consistency of the UnitedStates laws or regulations relating to the imposition of anti-dumping duties or countervailing duties.Rather, the European Communities, India, Indonesia and Thailand submit that the Panel treated theduties imposed pursuant to those laws and regulations as a fact when assessing the WTO-consistencyof the CDSOA. They argue that the Panel correctly took into account those facts when assessingwhether the offset payments had an adverse bearing on dumping and subsidization. According to
them, by doing so, the Panel was merely assessing the effects of the CDSOA against the relevant
factual background, and thus the Panel did not exceed its terms of reference.
4. Article XVI:4 of the WTO Agreement , Article 18.4 of the Anti-Dumping
Agreement , Article 32.5 of the SCM Agreement and Article 3.8 of the DSU
94. The European Communities, India, Indonesia and Thailand argue that the CDSOA is
inconsistent with Article XVI:4 of the WTO Agreement and nullifies or impairs benefits accruing to
the complainants under Article 3.8 of the DSU because the CDSOA is inconsistent with the Anti-
Dumping Agreement and the SCM Agreement .
5. The "Advisory Opinion"
95. The European Communities, India, Indonesia and Thailand note that the statement at issue
was provided in response to a United States' ar gument. They argue that paragraph 7.22, where the
statement in question appears, is part of the Panel's reasoning, and is pertinent and useful in order tounderstand the Panel's rationale for considering why the CDSOA constitutes "specific action"against dumping or a subsidy. Thus, they argue that the statement in question is not beyond thePanel's terms of reference.WT/DS217/AB/R
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6. Article 9.2 of the DSU
96. The European Communities, India, Indonesia and Thailand argue that, even though
Article 9.2 of the DSU does not set any deadline for requesting a separate panel report, this does notmean that the parties to a dispute may request a separate report at any time of the proceedings. Citingthe Appellate Body's statement in US – FSC , they argue that WTO Members are under a positive
duty to exercise their procedural rights under the DSU in good faith and may forfeit those rights if
they fail to do so. In the same way as the principle of good faith requires a defendant to raise its
objections "seasonably and promptly"
65, it requires also that the right to a separate report under
Article 9.2 of the DSU be exercised in a timely manner. They conclude that, because the UnitedStates clearly failed to request the report in a timely manner, the Panel was correct in rejecting theUnited States' request.
F. Japan and Chile – Appellee
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement
97. Japan and Chile, as joint appellees, submit that the CDSOA constitutes a violation of
Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement . They argue
that the United States' assertion that a Members' sovereign power over fiscal matters is totally
unconstrained by its WTO obligations is an overstatement. WTO Members agreed to impose manylimitations on their sovereign powers to promulgate and enforce domestic laws and regulations, evenin fiscal matters. For example, Article III of the GATT 1994 limits the power of Members withregard to taxation. Article VI of the GATT 1994 and the SCM Agreement restrain the otherwise
sovereign power of Members to provide subsidies. Specifically relevant to this dispute, the United
States has committed not to adopt measures that would constitute specific action against dumping orsubsidization except in accordance with the provisions of the GATT 1994, as interpreted by the Anti-
Dumping Agreement and the SCM Agreement .
98. Japan and Chile contend that the presence of the constituent elements of dumping, as
determined by the United States investigating authorities themselves, is a condition sine qua non of
the application of the CDSOA. This is supported by the text of the law itself, which provides thatduties assessed pursuant to anti-dumping or countervailing duty orders shall be distributed to affecteddomestic producers. In US – 1916 Act , the Appellate Body stated that a measure constitutes a
65European Communities's, India's, Indonesia's and Thailand's appellees' submission, para. 188, quoting
Appellate Body Report, US – FSC , para. 166.WT/DS217/AB/R
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specific action if it is taken only in situations presenting the constituent elements of dumping. They
contend that the CDSOA meets this test, as the CDSOA refers explicitly to the requirement of ananti-dumping order. Thus, the "constituent elements of dumping" can be found in theCDSOA's textual reference to the prerequisite of an anti-dumping order. According to Japan and
Chile, the CDSOA addresses dumping and subsidizati on as such. As the title of the CDSOA and the
Congressional findings in Section 1002 of the CDSOA make clear, the distribution of duties to theaffected domestic producers offsets continued dumping and subsidization. The CDSOA actsspecifically against dumping because it addresses dumping and subsidization as such, since dumpingor subsidization are its cause and trigger, and because it will apply only when the constituent elements
of dumping or subsidization are present. They add that, in their view, there is a clear connection
between the determination of dumping and CDSOA offset payments.
99. Japan and Chile argue that the text of the CDSOA refutes the United States' claim that the link
between the CDSOA and dumping or subsidization is remote. The findings listed in Section 1002 of
the CDSOA reveal an immediate and clear link between dumping or subsidization and the offsetpayments. According to them, the link is evident from the title of the CDSOA— the Continued
Dumping and Subsidy Offset Act .
100. According to Japan and Chile, the Panel corr ectly found that the CDSOA acts "against"
dumping, in the sense that it has an adverse bearing on dumping. For them, there is no textual basis
in either Article 18.1 or 32.1 for the interpretation of the word "against" as requiring a direct contact
or impact on the dumped good or on the entity responsible for it. Therefore, the United States'argument that action "against" dumping must operate directly on the imported goods or entitiesresponsible for them is not supported by the ordinary meaning of the phrase "specific action againstdumping" in its context and in the light of the object and purpose of the Anti-Dumping Agreement or
the SCM Agreement . They add that the very rationale underpinning Articles 18.1 and 32.1 is that
Members should not be allowed to modify the conditions of competition between imported anddomestic products that are in a competitive relationship, except to the extent necessary to counteractdumping and subsidization. They submit that the issue is not whether the CDSOA gives the affected
domestic producers the incentive to use offset payments to bolster their competitive position, or
whether it guarantees that producers will be successful in any attempts to bolster their competitivepositions. The CDSOA gives the affected domestic producers the resources to improve theircompetitive positions vis-à-vis dumped imports, and it does so only because the imports are
dumped—not as the United States' argument implies—regardless of the fact that they are dumped.That is precisely the element that, according to Japan and Chile, renders the CDSOA action againstdumping. They also submit that the CDSOA creates an incentive to file or support applications forWT/DS217/AB/R
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anti-dumping or countervailing investigations, and that a measure that leads to an increased number of
investigations and orders is a measure "against" dumping/a subsidy.
101. According to Japan and Chile, the Panel correctly interpreted and gave full meaning to
footnote 24 of the Anti-Dumping Agreement and footnote 56 of the SCM Agreement . The Panel
explained, in accordance with the decision of the Appellate Body in the US – 1916 Act case, that
"specific action" under Articles 18.1 and 32.1 must be distinguished from "action" under footnotes 24and 56. Article 18.1 covers "specific action" against dumping. Footnote 24, by contrast, addressesnon-specific action, and clarifies that the prohibition in Article 18.1 does not cover non-specific actionunder "other relevant provisions of the GATT", that is, provisions not interpreted by the Anti-
Dumping Agreement . Footnote 24 covers action that addresses the "causes or effects of dumping",
but not action that addresses dumping as such , or which makes dumping the cause for its imposition.
Footnote 56 also refers exclusively to non-specific action.
102. Japan and Chile maintain that the Panel treated the stated purpose of the CDSOA as
confirming evidence of the fact that the CDSOA acts against dumping, a conclusion it had alreadyreached based on other considerations. According to them, reliance on municipal law as evidence offacts is accepted under WTO law and general public international law.
103. Japan and Chile argue that the minor textual differences between the text in the Anti-
Dumping Agreement and the SCM Agreement do not undermine the Panel's conclusions regarding
the applicability of the Appellate Body's interpretation of Article 18.1 of the Anti-Dumping
Agreement in the US – 1916 Act to Article 32.1 of the SCM Agreement . They point to footnote 35
of the SCM Agreement , and note that it expressly states that, in certain circumstances, "only one
form of relief
" against subsidization may be available. Thus, according to them, the text of the SCM
Agreement makes plain that Article VI of the GATT 1994 applies to more than one type of action
against subsidization. They add that, if Article VI of the GATT 1994 and the SCM Agreement
governed only countervailing duties, as the United States alleges, then the prohibition in Article 32.1would not prohibit effectively specific action against a subsidy and would be rendered meaningless.The meaning and effectiveness of Article 32.1, like Article 18.1, lie in the fact that it prohibits all
types of specific action against a subsidy, except for the specific actions that are permitted under
Article VI of the GATT 1994 and the SCM Agreement . Japan and Chile also note that Article 18.1 of
the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement are virtually identical, and
that, in US – 1916 Act , the Appellate Body stated that Article 18.1 supports a conclusion that
Article VI of the GATT 1994 is applicable to any "specific action against dumping" of exports. TheyWT/DS217/AB/R
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Page 35
argue that, by the same logic, Article 32.1 means that Article VI of the GATT 1994 is applicable to
any specific action against a subsidy.
2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement
104. Japan and Chile maintain that the language of Article 5.4 of the Anti-Dumping Agreement
and Article 11.4 of the SCM Agreement reflects the intention of WTO Members to ensure that anti-
dumping and countervailing duty petitions have a specified level of support before investigationsbased on those petitions are initiated. According to them, the CDSOA distorts the proper expression
and measure of this support by providing a financial incentive to members of an industry to expresstheir views one way rather than another.
105. Japan and Chile refer to the report of the Appellate Body in US – FSC
, and in EC – Sardines ,
to maintain that WTO Members are required to fulf ill, perform and execute their treaty obligations in
accordance with the "pervasive" principle of good faith. According to them, the Panel correctly found
that the United States ignored its good faith obligations when it adopted the CDSOA.
106. Japan and Chile find support for their conclusion in other provisions of the Anti-Dumping
Agreement and the SCM Agreement . They see, implicit in those provisions, a recognition that even a
properly initiated investigation can impose a severe burden on the parties required to respond.According to them, those provisions, as well as Article 5.4 of the Anti-Dumping Agreement and
Article 11.4 of the SCM Agreement , seek to limit that burden. The object and purpose of Articles 5.4
and 11.4 was thus to place disciplines on the initiation of burdensome anti-dumping andcountervailing duty investigations and to require that support, within the meaning of those provisions,
be "freely-expressed".
66
107. Japan and Chile agree with the United States that the motives of domestic producers in
deciding whether to support or file an application are not relevant under Articles 5.4 and 11.4. Theysubmit, however, that the action by the United States to influence those motives through a payment isrelevant.
3. The Combination of Duties and CDSOA Offset Payments
108. Japan and Chile argue that the Panel's finding that the CDSOA has an adverse bearing on the
conditions of competition of dumped or subsidized goods is not based on, nor does it question, the
consistency of the United States laws or regulations relating to the imposition of anti-dumping or
66Japan's and Chile's appellees' submission, para. 101.WT/DS217/AB/R
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countervailing duties. According to them, the CDSOA was the only measure whose consistency
with the GATT 1994, the Anti-Dumping Agreement and the SCM Agreement was examined by the
Panel. In examining whether the CDSOA constitutes a specific action against dumping/a subsidy,and whether it is consistent with Articles 18.1 and 32.1, they claim it was necessary for the Panel toconsider other relevant United States trade laws in its examination of the CDSOA, since the terms ofthe CDSOA incorporate those laws by direct refe rence to anti-dumping and countervailing duty orders
and to findings under the Antidumping Act of 1921. Nevertheless, none of the Panel's conclusionsdepends on any finding regarding the text of laws other than the CDSOA.
109. Japan and Chile also note the United States' reference to footnote 334 of the Panel Report
(referring to the combination of anti-dumping dutie s and offset payment subsidies in the particular
circumstances of the CDSOA). According to them , the purpose of footnote 334 is to reiterate the
Panel's statement in paragraph 7.52, which makes clear that the Panel did not make findings regardinganti-dumping and countervailing duty orders under the respective United States trade laws that wereoutside its terms of reference. They argue that it is inaccurate to assert that the Panel examined otherprovisions of United States law in order to find a WTO violation. Rather, they argue that the Panelmade an objective assessment of the facts of the case, which included anti-dumping andcountervailing duty orders issued under applicable United States laws.
4. Article XVI:4 of the WTO Agreement , Article 18.4 of the Anti-Dumping
Agreement , Article 32.5 of the SCM Agreement and Article 3.8 of the DSU
110. Japan and Chile argue that, because the CDSOA is inconsistent with Articles 18.1 and 5.4 of
the Anti-Dumping Agreement , Articles 32.1 and 11.4 of the SCM Agreement , and Articles VI:2
and VI:3 of the GATT 1994, it is also in violation of Article XVI:4 of the WTO Agreement ,
Article 18.4 of the Anti-Dumping Agreement and Article 32.5 of the SCM Agreement .
5. The "Advisory Opinion"
111. Japan and Chile submit that the Panel's observations contained in paragraph 7.22 of the Panel
Report are not, as the United States claims, an "adv isory opinion." They point out that the Panel was
merely clarifying the factual basis for its finding that the offset payments under the CDSOA can bemade only in situations where the constituent elements of dumping are present. By stating that it
would have reached the same conclusion had the payments been funded directly from the United
States Treasury, and in an amount unrelated to the collected anti-dumping duties, the Panel, accordingto them, was emphasizing that the connection between the offset payments and the determination ofWT/DS217/AB/R
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dumping was so clear, direct and unavoidable, that it would remain even if the payments were funded
from another source.
6. Article 9.2 of the DSU
112. Japan and Chile argue that the Panel's decision not to accept the United States' request for
separate panel reports was justified by the right of the Complaining Parties to a prompt settlement ofthe dispute and the need to prevent an untimely and abusive exercise of rights on the part of the
United States, which would have prejudiced the complainants. According to them, it is inherent in
every legal precept that confers rights to a party in a proceeding that such rights, either procedural orsubstantive, must be exercised in a reasonable and timely manner.
113. Japan and Chile submit that, by rejecting the request for separate panel reports, the Panel did
not diminish the United States' rights under Arti cle 9.2 of the DSU; rather, it protected the
complainants' right under Article 3.3 of the DSU to a prompt settlement of the dispute and also
protected them from an abusive exercise of the United States' rights. They also claim that the Panelproperly determined that acceptance of the United States' request would have delayed the issuance ofthe final report and would have prolonged the nul lification and impairment of the rights of the
complainants under the covered agreements caused by the CDSOA. Thus, they conclude, that the
Panel maintained the proper balance between the procedural right of the United States to separatepanel reports and its obligations not to nullify and impair the benefits accruing to the complainantsunder the covered agreements.
G. Korea – Appellee
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement
114. Korea submits that the CDSOA is a specific action in response to dumping. According to
Korea, the Panel carefully analyzed the structur e and design of the CDSOA, and found that the
CDSOA requires the constituent elements of dumping for its application. It was only on that basis
that the Panel concluded that there is a clear, direct and unavoidable connection between the
determination of dumping and CDSOA offset paym ents, and that the CDSOA is "specific action"
related to dumping.
115. Korea contends that the Panel's definition of "against" was in line with the rules of treaty
interpretation. Korea notes the United States' assertion that "against" implies that an action mustcome into contact directly with the imported or subsidized good or importer, exporter or foreignWT/DS217/AB/R
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producer. Korea argues that "in contact with" is an ordinary meaning of "against" when it is used
to describe physical contact, and that it cannot be the ordinary meaning of "against" as it is used inrelevant WTO provisions. Korea adds that the proper context in which the term "against" is used is"against dumping". It is neither against dumped imports nor against entities connected to thedumped good.
116. Korea submits that the Panel fully explained why the "conditions of competition" test is
applicable to Article 18.1 and Article 32.1. The Panel found, from the ordinary meaning of"against", that a measure will act "against" dumping if it has an adverse bearing on the practice ofdumping. The Panel then took note of the fact that "against" is not qualified in any way in
Article 18.1, and thus found that the ordinary meaning of "against" encompasses any form of adverse
bearing, be it direct or indirect. The Panel then proceeded to analyze the structure and design of the
CDSOA to see how the CDSOA distorts the conditi ons of competition between dumped and domestic
products. From this, the Panel found that the CDS OA distorts the conditions of competition between
domestic and dumped products, which it found to be a form of adverse bearing on dumping.
117. Korea supports the Panel's finding that the CDSOA has an adverse impact on the conditions
of competition. Korea disagrees with the United States that this finding of the Panel is based on meresuppositions, and argues that it results rather from an analysis of the structure and design of theCDSOA. Korea contends that the Panel correctly referred to the stated purpose of the CDSOA to
confirm this finding. Korea notes that in Chile – Alcoholic Beverages , the Appellate Body made a
distinction between subjective intentions inhabiting the minds of individual legislators, and the
purpose or objective objectively expressed in the statute itself. According to Korea, although it is not
necessary for the panel to sort through the subjective intentions of legislators, the Appellate Body
found that the purpose or objective objectively expressed in the statute itself are pertinent. The
Appellate Body added that this objective expression can be discerned from the design, the
architecture and the structure of a measure.
67 Korea submits that the Panel's analysis was in full
compliance with such guidance from the Appellate Body.
118. Korea maintains that the Panel correctly found that its findings on claims under Article 18.1
of the Anti-Dumping Agreement apply equally in respect of the claims under Article 32.1 of the
SCM Agreement . According to Korea, the Appellate Body's analysis in US – 1916 Act was not
based on any particular provisions of the Anti-Dumping Agreement in isolation, but on the Anti-
Dumping Agreement as a whole. Also, Korea notes that the Panel stated that it is important to have
67Appellate Body Report, Chile – Alcoholic Beverages , para. 62.WT/DS217/AB/R
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regard to the fact that the types of remedies foreseen by the SCM Agreement are broad, including
countervailing duties and countermeasures.
2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement
119. Korea endorses the Panel's finding that the CDSOA constitutes a violation of Article 5.4 of
the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement .
120. According to Korea, the peculiarity of Article 5.4 of the Anti-Dumping Agreement and
Article 11.4 of the SCM Agreement is that the object and purpose of those provisions is explicitly
contained in the provisions themselves. Korea concludes that a violation of the "object and purpose"of those provisions is a violation of the explicit terms of those provisions as well.
121. Korea notes the assertion by the United States that the Panel's finding is not based on a
violation of Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement , but
rather on a violation of the principle of good faith. According to Korea, the United States seems
thereby to assert that, even though "good faith implementation of a treaty provision is a substantive
obligation arising from the Vienna Convention on the Law of Treaties "
68, it is not "part of the WTO
law." 69
122. Korea submits that WTO Members must observe the general principle of good faith,
recognized by the Appellate Body as a pervasive principle that informs the covered agreements, in theapplication and interpretation of the Anti-Dumping Agreement and the SCM Agreement .
123. Korea endorses the Panel's finding that the CDSOA provides a financial inducement to
domestic producers to file or support applications for the initiation of anti-dumping and countervailing
duty investigations, because CDSOA payments are made only to those producers that file or support
such applications and because the financial rewards for doing so are significant. Korea submits thatthe Panel's findings to this effect were based on a careful examination of the structure and operation ofthe CDSOA and not on speculation, as the United States asserts.
68Korea's appellee's submission, para. 50.
69Ibid.WT/DS217/AB/R
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3. The Combination of Duties and CDSOA Offset Payments
124. Korea notes that the United States, in making the claim that the Panel exceeded its terms of
reference by examining the CDSOA in combination with United States laws, does not make anyreference to the Panel Report. Korea argues that the absence of any reference is not because ofinadvertence, but because the Panel did not make such an examination.
125. According to Korea, the CDSOA and anti-d umping (or countervailing) duties are not
bifurcated and independent from each other. On the contrary, the presence of anti-dumping duties is a
sine qua non for the disbursement of CDSOA offset payments. Korea submits that all of the relevant
findings of the Panel were made in relation to the analysis of the CDSOA alone, without any
reference to United States laws on the imposition of anti-dumping (or countervailing) duties.
H. Mexico – Appellee
1. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement
126. Mexico submits that the Panel interpreted Articles 18.1 and 32.1 properly. The Panel applied
the analysis of "constituent elements" used by the Appellate Body in US – 1916 Act and determined
that the CDSOA offset payments acted specifically in response to dumping. The Panel interpreted the
meaning of "against dumping" as "an adverse bearing on dumping" and applied its legal interpretation
to the facts of the dispute in order to determine that the CDSOA was a non-permissible "specificaction against dumping". The Panel also applied its analysis in relation to Article 18.1 of the Anti-
Dumping Agreement to the argument on Article 32.1 of the SCM Agreement , and found that the
CDSOA was a non-permissible "specific action against a subsidy".
127. Mexico contends that it is not necessary for the "constituent elements" of dumping or of a
subsidy to be expressed in the language of the law. Interpreting Article 18.1 as requiring that a lawmust explicitly establish the constituent elements of dumping opens up the possibility ofcircumventing this provision. Such an interpretation should, therefore, be avoided.
128. Mexico argues that the distribution of CDSOA offset payments is directly related to, and
caused by, the imposition of anti-dumping or countervailing duties, which legally can be imposedonly when the elements of dumping and subsidy are present. According to Mexico, the Panelcorrectly found that there is a clear, direct and unavoidable connection between the determination of
dumping and CDSOA offset payments.WT/DS217/AB/R
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129. Mexico adds that there is nothing in the "constituent elements" test that specifies that the
payments and the dumping must occur at the same time. Even though, under certain circumstances,CDSOA payments may be retrospective, this does not alter the fact that there is an unavoidableconnection between the payments and the dumping or subsidization. By their very structure anddesign, CDSOA payments occur after the collection of anti-dumping and countervailing duties.
130. Mexico maintains that the scope of Articles 18.1 and 32.1 on the one hand, and footnotes 24
and 56 on the other, are mutually exclusive. Action prohibited by an article cannot be permitted by afootnote to that article. According to Mexico, even though the footnotes are relevant to this dispute,the United States has not established that the CDS OA is action "under other relevant provisions of
GATT 1994". The fact that the measures are not inconsistent with the GATT 1994 does not mean
that they are taken under other relevant provisions of the GATT 1994.
131. Mexico submits that there is no basis for in terpreting the word "against" as meaning that
action must have an adverse bearing on imports or persons "directly" related to the imports. There isno mention in any part of Articles 18.1 or 32.1 of actions taken "directly" against dumped orsubsidized imports and there is no text or context that imposes this requirement. Those Articlessimply refer to "action against", which may include direct or indirect action. The reference inArticle 18.1 to "dumping of exports" instead of " dumped exports" and the reference in Article 32.1 to
"a subsidy of another Member" instead of "subsidized imports" or "subsidized exports" confirms this.
For Mexico, if those who drafted the two Agreements had wanted to follow the limited interpretation
given by the United States, they would have used other words instead of "dumping of exports" or "asubsidy of another Member".
132. Mexico contends that the Panel did not interpret Articles 18.1 and 32.1 to include a
"conditions of competition" test. The Panel's reference to conditions of competition was in thecontext of evaluating the relevant facts and ci rcumstances of the CDSOA, and whether the CDSOA
has "an adverse bearing" on dumping. For Mexico, the Panel was not creating a new legal test.Mexico maintains that the distortion of competition between the dumped product and the domesticproduct is proof of an adverse bearing on dumping.
133. Mexico submits that the conclusions of the Panel that the CDSOA has a specific adverse
impact on the competitive relationship between domestic products and dumped imports, and that suchdissuasive effect means that the CDSOA bears adversely on dumping, and therefore acts against
dumping, are not the result of speculation and are not based on assumptions or hypothetical examples.
Rather, they are the result of the Panel's analysis of the structure and design of the CDSOA. The realimpact of the CDSOA is shown in the Panel's finding that "[e]xporters/foreign producers know that ifWT/DS217/AB/R
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they dump products in the United States, and if those products are subject to an anti-dumping order,
not only will anti-dumping duties be levied, but those duties will be transferred to at least some oftheir US competitors in the form of CDSOA offset payments."
70
134. Mexico argues that the Panel is empowered to examine the legislative history of a law when
examining its significance. In US – 1916 Act , the panel considered the text of the measure at issue in
that dispute in the context of its enactment, including the legislative history. 71 I n US –
Countervailing Measures on Certain EC Products , the panel indicated that "when examining internal
legislation, a Panel must look to all the elements that establish its meaning, not just the statutorylanguage. Therefore, it is also necessary to look at other domestic interpretive tools such as the
legislative history …".
72 I n US – Section 110(5) Copyright Act , the panel stated that "we also
observed that stated public policy purposes could be of subsidiary relevance for drawing inferencesabout the scope of an exemption and the clarity of its definition. In our view, the statements from thelegislative history indicate an intention of establishing an exception with a narrow scope."
73 Mexico
adds that the Panel in this case did not base its finding that the CDSOA constitutes "specific actionagainst dumping" on the legislative history. Rather, it looked to the legislative history of theCDSOA to confirm its finding.
135. Mexico maintains that the Panel correctly interpreted Article 32.1 of the SCM Agreement .
As noted by the Panel, Article 18.1 and Article 32.1 contain essentially identical language. The
Panel acknowledged the differences between Article 1 of the Anti-Dumping Agreement and Article 10
of the SCM Agreement , but did not see why a different approach should apply in respect of the
permissible responses to subsidization. In the case of the Anti-Dumping Agreement , the permitted
responses to dumping are provisional anti-dumping duties, definitive anti-dumping duties and priceundertakings. In the case of the SCM Agreement , the permitted responses to a subsidy are provisional
and definitive countervailing duties, price undertakings, and countermeasures.
70Panel Report, para. 7.39.
71Panel Report, US – 1916 Act (EC) , paras. 6.120-6.133 and 6.228; Panel Report, US – 1916 Act
(Japan) , paras. 6.141-6.151 and 6.289.
72Panel Report, US – Countervailing Measures on Certain EC Products , para. 7.139.
73Panel Report, US – Section 110(5) Copyright Act , para. 6.157.WT/DS217/AB/R
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2. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement
136. Mexico supports the finding of the Panel that the CDSOA is inconsistent with Article 5.4 of
the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement , because it operates in such a
way that the investigating authorities cannot carry out an objective and impartial examination of the
degree of support for the application.
137. Mexico submits that, contrary to the United States' claim, the wording of these provisions
interpreted in good faith and taking into account their context and object and purpose, does not meanthat the only thing WTO Members have to do is to examine whether the statistical thresholds inArticles 5.4 and 11.4 have been met prior to initiating an investigation. Rather, Articles 5.4 and 11.4require a positive determination based on the degree of support for an application "by or on behalf ofthe domestic industry". Such a determination must be objective and must comply with the principleof good faith.
138. Mexico submits that, for the thresholds set out in Article 5.4 of the Anti-Dumping Agreement
and Article 11.4 of the SCM Agreement to be meaningful, a WTO Member may not distort the
degree of support for, or opposition to, any particular application. In order to comply with thisobligation, it is not necessary to enquire into the motives or intent of producers that elect to support anapplication. Members of the WTO must ensure, however, that no measure increases (or decreases)the possibility that the domestic industry meets the prescribed threshold, and that the investigatingauthority's decision regarding the degree of support is objective and unbiased.
139. Mexico concludes that, "[b]y giving applicants or those supporting applications economic
advantages, the CDSOA prevents the United States investigating authorities from making an objective
and unbiased finding regarding the degree of support for any application."
74 In itself, the CDSOA
"invariably distorts the degree of support for an application" 75 and is therefore inconsistent with
Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement .
140. Mexico further submits that the Panel's analysis of whether or not the CDSOA creates a
financial incentive to support anti-dumping or countervailing duty investigations is relevant withrespect to addressing the issue of whether the United States has maintained measures which preventinvestigating authorities from conducting an objective examination of whether or not an applicationhas been made "by or on behalf of the domestic industry" within the meaning of Articles 5.4 and 11.4.
74Mexico's appellee's submission, para. 54.
75Ibid.WT/DS217/AB/R
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3. The Combination of Duties and CDSOA Offset Payments
141. Mexico argues that the Panel did not exceed its terms of reference by examining the claims
concerning the CDSOA in combination with other laws and regulations. According to Mexico, theCDSOA is within the Panel's terms of reference. In addition, the complainants did not contest the
consistency of United States legislation on anti-dumping and countervailing duties, so it is notnecessary for this legislation to be identified as the actual measure in dispute in this case. At the same
time, however, the Panel had the authority to examine the context of the CDSOA, which includes
other United States legislation. Mexico also claims that the panel report in US – Section 129(c)(1)
URAA , cited by the United States, does not support th e United States' position, but is rather contrary
to it
.
4. Article XVI:4 of the WTO Agreement , Article 18.4 of the Anti-Dumping
Agreement , Article 32.5 of the SCM Agreement and Article 3.8 of the DSU
142. Mexico argues that the Panel correctly found that the CDSOA is inconsistent with
Articles 5.4, 18.1 and 18.4 of the Anti-Dumping Agreement , Articles 11.4, 32.1 and 32.5 of the SCM
Agreement , and Articles VI.2 and VI.3 of the GATT 1994. Therefore, the CDSOA is inconsistent
with Article XVI.4 of the WTO Agreement . It also nullifies or impairs the benefits accruing to the
Complaining Parties under these agreements.
5. The "Advisory Opinion"
143. Mexico argues that paragraph 7.22 of the Panel Report is obiter dictum and not a legal
finding by the Panel that has to be upheld, modified or reversed by the Appellate Body.
I. Arguments of the Third Participants
1. Argentina
(a) Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement
144. Argentina supports the conclusion of the Panel that the CDSOA is inconsistent with
Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement , because it
induces United States producers to file or to support applications for the petition for the initiation ofanti-dumping and countervailing duty investigations.WT/DS217/AB/R
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145. Argentina emphasizes that the object and purpose of Articles 5.4 and 11.4 should be
considered "just as valid" 76 as the text of those provisions. According to Argentina, Articles 5.4
and 11.4 seek to ensure not only that WTO Members comply with the threshold tests set out in those
provisions, but also that investigations are initiated in proper form and that "unjustified proliferationof investigations"
77 is avoided. According to Argentina, this "object and purpose" is also reflected in
the requirement contained in those provisions not to initiate investigations when domestic producersexpressly supporting the application account for less than 25 per cent of the domestic industry.
146. Argentina notes that the mere initiation of an investigation brings with it the possibility of
provisional measures being introduced in accordance with Article 7 of the Anti-Dumping Agreement
and Article 12.12 of the SCM Agreement . Argentina submits that a proliferation of investigations
could entail injury to a large number of exporters to the United States' market and disrupt normaltrade flows among WTO Members.
(b) Article XVI:4 of the WTO Agreement , Article 18.4 of the Anti-
Dumping Agreement , Article 32.5 of the SCM Agreement and
Article 3.8 of the DSU
147. Argentina argues that, because the CDSOA is inconsistent with the United States' WTO
obligations under the Anti-Dumping Agreement and the SCM Agreement , it also violates
Article XVI:4 of the WTO Agreement .
2. Hong Kong, China
(a) Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement
148. Hong Kong, China submits that the mandate d distribution of offsets under the CDSOA
constitutes specific action against dumping and subsidization under Article 18.1 of the Anti-Dumping
Agreement and Article 32.1 of the SCM Agreement . Although the constituent elements of dumping
are not referred to in the CDSOA, no payments under the CDSOA can be made unless anti-dumping
duties are collected. Anti-dumping duties cannot be collected unless an anti-dumping order isimposed. An anti-dumping order cannot be imposed unless the constituent elements of dumpingexist. The same is true for subsidization. Notwithstanding the fact that the CDSOA does not
refer to the constituent elements of dumping or subsidization, actions under the CDSOA can be
76Argentina's third participant's submission, para. 7.
77Ibid., para. 8.WT/DS217/AB/R
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taken only if the constituent elements of dumping and/or subsidization are found. Thus, actions under
the CDSOA are clearly "in response" to the constituent elements of dumping and/or subsidization.
149. Hong Kong, China adds that the CDSOA is a sp ecific action against dumping or subsidization
because it places imported goods at a competitive disadvantage relative to domestically-producedgoods, and brings about an adverse impact on the imported goods. The additional burden is a directresult of the domestic producers of the United States having an increased cash flow that, in turn, is theresult of distribution of funds directly stemming from the existence of an anti-dumping orcountervailing duty order. The mere fact that the United States producers receive a distributionbecause an anti-dumping or countervailing duty order is in place is sufficient to render the CDSOA
inconsistent with the Anti-Dumping Agreement and the SCM Agreement .
150. Hong Kong, China says that the Panel has not concluded that there exists a test for conditions
of competition or competitive advantage in Article 18.1 of the Anti-Dumping Agreement and
Article 32.1 of the SCM Agreement . Rather, according to Hong Kong, China, the Panel has used this
analysis only to demonstrate that the CDSOA is a direct burden on imported goods. By offsetting the
effects of dumping and subsidization in addition to the anti-dumping and countervailing duty order,payments under the CDSOA impermissibly alter the competitive conditions in favour of domestic
producers. According to Hong Kong, China, if anti-dumping and countervailing duties level the
playing field, the CDSOA payments tilt the field back in favour of the domestic producers in the
United States. By definition, CDSOA payments would improve the recipients' competitive position.
Hong Kong, China says that it is, therefore, established, through the conditions of competitionanalysis, that the CDSOA results in a "direct" burden on imported goods.
151. Hong Kong, China notes that in the dispute concerning the US – 1916 Act , the Appellate
Body unequivocally restricted permissible responses to dumping to definitive anti-dumping duties,provisional measures or price undertakings. The Appellate Body's analysis was not based on anyparticular provisions in the Anti-Dumping Agreement in isolation, but rather on the Anti-Dumping
Agreement as a whole. In that case, the Appellate Body looked at the overall purpose and meaning of
the Anti-Dumping Agreement and found that only those measures expressly provided for in the
Anti-Dumping Agreement are permissible specific actions against dumping. As far as the present
case on the CDSOA is concerned, Hong Kong, China says that it sees no reason why the sameanalysis of examining the overall purpose and meaning of the whole Agreement should not beadopted in order to decide whether any action that is not expressly provided for in the Agreement ispermissible.WT/DS217/AB/R
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(b) Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement
152. Hong Kong, China submits that the object and purpose of Article 5.4 of the Anti-Dumping
Agreement and Article 11.4 of the SCM Agreement is to limit the initiation of investigations to those
instances where the domestic industry has a genuine interest in the adoption of measures against
dumping or subsidization. Hong Kong, China maintains that the CDSOA provides domestic
producers who have not been adversely affected by dumped/subsidized imports with an incentive tofile or to support anti-dumping and countervailing actions, and in doing so, renders the quantitativethresholds in Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement
meaningless.
3. Israel
(a) Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement
153. Israel submits that the CDSOA is a specific action against dumping and subsidization within
the meaning of Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM
Agreement , because it awards monetary damages to parties that have been found to be injured by
dumping or subsidization.
(b) Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement
154. Israel endorses the Panel's finding that the CD SOA is inconsistent with Article 5.4 of the
Anti-Dumping Agreement and Article 11.4 of the SCM Agreement , because it operates in such a way
that the investigating authorities are unable to co nduct an objective and impartial examination of the
level of support that exists for an application.
4. Norway
(a) Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement
155. Norway submits that the Panel correctly c oncluded that the CDSOA is a non-permissible
specific action against dumping contrary to Article 18.1 of the Anti-Dumping Agreement and that it
is a non-permissible specific action against a subsidy contrary to Article 32.1 of the SCM Agreement .
As Article 32.1 of the SCM Agreement contains parallel language to Article 18.1 of the Anti-
Dumping Agreement , Norway says it agrees with the Panel that the phrase "specific action against aWT/DS217/AB/R
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subsidy" must be understood similarly to encompa ss, at a minimum, action that may be taken only
when the constituent elements of a subsidy are pres ent. Norway adds that a Member's actions with
respect to subsidies are spelled out in Articles VI and XVI of the GATT 1994, as interpreted by the SCM Agreement , and limited to one of the following three types of action against subsidization:
"countervailing measures" imposed in accordance with Part V of the SCM Agreement ;
"countermeasures" against a "prohibited subsidy" imposed in accordance with Part II of theSCM Agreement ; or, "countermeasures" against subsidies that cause "adverse effects" to the interests
of the Member concerned, according to Part III of the SCM Agreement . The "specific measures"
available to a WTO Member to meet subsidization are thus limited to the above-mentioned measures.
156. Norway notes that the United States has argued in US – Norwegian Salmon AD that limits
exist with respect to the actions a Member State may take in response to unfair trade practices.
157. Norway contends that the legislative histor y of the CDSOA is a relevant and important
factor to be taken into account when demonstrating that the CDSOA was aimed at creating anadditional specific measure as a response to foreign dumping and subsidization.
(b) Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement
158. Norway expresses agreement with the Panel that the CDSOA, by mandating offset payments
to affected domestic producers, provides a strong financial incentive to domestic producers to fileapplications for the imposition of anti-dumping or countervailing measures, or to support suchapplications made by other domestic producers. In Norway's submission, a domestic producer cannot
be considered to have made an "application", or to have "supported" it, within the meaning of
Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement , if it does so in
order to qualify for offset payments provided under the CDSOA.
159. Norway submits that the CDSOA has the effect of stimulating the filing of applications and
making it easier for applicants to obtain the support of other domestic producers, so as to meet thequantitative thresholds laid down in Article 5.4 of the Anti-Dumping Agreement and in Article 11.4
of the SCM Agreement . In doing so, the CDSOA operates in a way which prevents the United States'
authorities from conducting an objective examination of whether an application is made "by or onbehalf of the domestic industry" as required by Article 5.4 of the Anti-Dumping Agreement and
Article 11.4 of the SCM Agreement .WT/DS217/AB/R
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(c) Article XVI:4 of the WTO Agreement , Article 18.4 of the Anti-
Dumping Agreement , Article 32.5 of the SCM Agreement and
Article 3.8 of the DSU
160. Norway argues that the CDSOA is inconsistent with Article XVI:4 of the WTO Agreement
and nullifies and impairs benefits accruing to the complainants because it is inconsistent withArticles 18.1 and 5.4 of the Anti-Dumping Agreement , and with Articles 32.1 and 11.4 of the SCM
Agreement .
IV. Procedural Matters: Arguments of the Participants and the Third Participants
A. Allegation of Flaws in the Notice of Appeal
1. Canada
161. In a letter dated 5 November 2002, Canada requested the Appellate Body to issue a
preliminary ruling that the United States is in breach of Rule 20(2)(d) of the Working Procedures ,
because the United States' appellant's submission contains certain arguments, allegations and requestsfor ruling that the United States did not include in the Notice of Appeal dated 18 October 2002.Canada refers explicitly to paragraph 40 of the United States' appellant's submission, in which theUnited States argues that the Panel failed to set out "the basic rationale behind" its finding as requiredby Article 12.7 of the DSU (by not explaining why it examined the burden the measure creates onthe conditions of competition under which imports compete), and that the Panel failed to conduct an"objective assessment of the matter before it" as required by Article 11 of the DSU.
162. Canada also refers to Sections IV and VI of the United States' appellant's submission, where
the United States alleges that the Panel exceeded its terms of reference, by examining claims
concerning the CDSOA in combination with other United States laws and regulations, and by issuingan advisory opinion on a measure outside its terms of reference. According to Canada, these claimsrelate to the exercise of jurisdiction by the Panel under Article 7 of the DSU, and the United Statesshould have included them in its Notice of Appeal.
163. Canada concludes that the United States' cl aims, concerning violations by the Panel of
Articles 7, 11 and 12 of the DSU, are outside the scope of appellate review, because the United Statesfailed to include them in its Notice of Appeal.WT/DS217/AB/R
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2. United States
164. Responding to the arguments raised by Canada in its request for a preliminary ruling, the
United States argues that its Notice of Appeal "is more than sufficient in setting out the 'findings orlegal interpretations of the Panel' from which the United States is appealing."
78 The United States
submits that, in the first numbered paragraph of its Notice of Appeal, it appeals as erroneous thePanel's findings that the CDSOA is inconsistent with Article 18.1 of the Anti-Dumping Agreement
and Article 32.1 of the SCM Agreement ; and that such findings are based on "erroneous findings of
issues of law and related legal interpretations."
79 According to the United States, each of its
arguments alleged by Canada to be outside the scope of the appeal falls within the matters raised inthis first numbered paragraph of the United States' Notice of Appeal.
165. As regards paragraph 40 of the United States' appellant's submission, the United States notes
that one of the legal bases for the Panel's findings on Article 18.1 of the Anti-Dumping Agreement
and Article 32.1 of the SCM Agreement is the "conditions of competition" test. Because the United
States' claim at issue in paragraph 40 concerns th e "conditions of competition" test, it relates to
Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement . The United
States' Notice of Appeal covers the Panel's findings and related legal interpretations regarding
Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement , and,
therefore, the matters addressed in paragraph 40 "fal l squarely within the matters raised in the first
numbered paragraph of the U.S. notice."
80 The United States also argues that Canada's claim that the
United States' Notice of Appeal should have specifically cited Articles 11 and 12.7 of the DSU iscontrary to the Appellate Body's interpretation of Rule 20 of the Working Procedures . The United
States submits that, under the interpretation of this rule set out by the Appellate Body in US –
Shrimp , the Notice of Appeal need only identify the findings or legal interpretations of the Panel
which are being appealed as erroneous; the Notice of Appeal is not designed to be a summary or
outline of the arguments to be made by the appellant. The United States clarified at the oral hearing
that it does not request the Appellate Body to make a specific finding that the Panel has failed tocomply with Articles 11 or 12.7 of the DSU; the comments on these Articles found in paragraph 40are simply supportive of the United States' argument that the Panel erred in interpreting Article 18.1of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement .
78United States' letter of 8 November 2002.
79Ibid.
80Ibid.WT/DS217/AB/R
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166. Turning next to Canada's contentions regarding Section IV of the United States' appellant's
submission, the United States submits that the Panel's findings on Article 18.1 of the Anti-Dumping
Agreement and Article 32.1 of the SCM Agreement were based in part on the Panel's findings
concerning the CDSOA in combination with other United States laws. Because the United States'claim at issue in Section IV concerns the combin ation issue, it relates to Article 18.1 of the Anti-
Dumping Agreement and Article 32.1 of the SCM Agreement . The United States' Notice of Appeal
covers the Panel's findings and related legal interpretations regarding Article 18.1 of the Anti-
Dumping Agreement and Article 32.1 of the SCM Agreement , and, therefore, the matters addressed
in Section IV "are plainly covered" by the Notice of Appeal.
81
167. As to Canada's contentions on Section VI of the United States' appellant's submission, the
United States submits that the Panel's advisory opinion was made in the context of its findings onArticle 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement . Section VI
concerns the advisory opinion issue and, therefore, relates to Article 18.1 of the Anti-Dumping
Agreement and Article 32.1 of the SCM Agreement . Because the United States' Notice of Appeal
covers the Panel's findings and related legal interpretations regarding Article 18.1 of the Anti-
Dumping Agreement and Article 32.1 of the SCM Agreement , the matters addressed in Section VI
"are well within the scope"
82 of the Notice of Appeal.
168. The United States also argues that Canada's arguments alleging that due process mandates
that these issues should be included in the Notice of Appeal are without merit. The United States
points out that there is no "notice of appeal" preceding an "other appellant's" submission under theWorking Procedures . Furthermore, an appellee has 15 days to respond to an appellant's submission
(which is preceded by a notice of appeal), but only 10 days to respond to an "other appellant's"submission (which is not preceded by a notice of appeal). Thus, the United States argues, Canada'slogic regarding due process would suggest that all appeals to date under the WTO in which there hasbeen an "other appellant's" submission have violated the "fundamental requirements of due process".
3. Australia
169. Australia contends that some allegations of errors by the United States are not properly before
the Appellate Body by reason of insufficiencies of the Notice of Appeal. Australia submits that the
Notice of Appeal does not include any reference to the fact that the Panel may have violated
81United States' letter of 8 November 2002.
82Ibid.WT/DS217/AB/R
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Articles 11 and 12.7 of the DSU. Nor does it include any reference that the Panel may have exceeded
its terms of reference.
4. Brazil
170. According to Brazil, the United States' claim that the Panel exceeded its terms of reference by
examining claims concerning the CDSOA in combination with other United States laws is notproperly before the Appellate Body, because the United States failed to include this claim in its Notice
of Appeal.
5. European Communities, India, Indonesia and Thailand
171. The European Communities, India, Indonesia and Thailand argue that, only if the allegations
of error are adequately identified in the Notice of Appeal, are the other parties to the proceedings in aposition to exercise their rights under the DSU and the Working Procedures . They also recall the
Appellate Body's recognition that Article 3.10 of the DSU commits WTO Members to engage in the
dispute settlement procedures "in good faith" and that the procedural rights under the DSU must
be exercised in a manner that does not prevent other Members from exercising their own rights.
According to the European Communities, India, Indonesia and Thailand, withholding a claim of erroruntil the filing of the appellant's submission is inconsistent with the requirements of good faith anddue process. Thus, the European Communities, India, Indonesia and Thailand conclude that theclaims identified in Canada's letter dated 5 November 2002 should be excluded from the scope of thisappeal.
6. Japan
172. Japan argues that the claims identified in Canada's letter dated 5 November 2002 as new
claims of error made by the United States cannot be characterized simply as grounds for the currentappeal, as legal arguments in support of an allegation included in the Notice of Appeal, or asstatements of a provision of the covered agreements. Therefore, Japan concludes that the UnitedStates contravened Rule 20(2)(d) of the Working Procedures by including these new allegations in
its appellant's submission.
7. Korea
173. Korea submits that the United States included in its appellant's submission several points not
raised in the Notice of Appeal. According to Korea, this is in violation of Rule 20(2)(d) of the
Working Procedures .WT/DS217/AB/R
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8. Norway
174. Norway contends that some of the allegations in the United States' appellant's submission are
not mentioned in the Notice of Appeal and, therefor e, should be excluded from the scope of appellate
review.
B. Allegations Regarding the Scope of Appellate Review
1. Canada
175. Canada further argues in its request for a preliminary ruling and in its appellee's submission
that the United States' appellant's submission is "inconsistent with Article 17.6 of the DSU, becauseit purports to adduce new evidence … and that consideration of such new evidence is outside thescope of appellate review."
83 According to Canada, Article 17.6 of the DSU prohibits the Appellate
Body from receiving and examining evidence that was not before the Panel in order to impugn the
factual findings of the Panel.
176. Canada submits that in paragraphs 120-121 of the United States' appellant's submission, the
United States purports to impugn evidence on which the Panel relied, namely two letters submitted tothe Panel by Canada. For Canada, this attempt by the United States to impugn the "credibilityand weight"
84 the Panel attached to the two letters is inconsistent with Article 17.6 of the DSU.
Canada also stresses that the United States does so even though it did not comment on this evidencewhen the evidence was first brought before the Panel, and even though the Panel gave the UnitedStates ample opportunity to comment on the letters.
177. In addition, Canada submits that in footnotes 148-149 of the United States' appellant's
submission, the United States adduces new evidence that it characterizes as being "available on thepublic record". Canada argues that consideration by the Appellate Body of such new evidence would
be contrary to Article 17.6 of the DSU and that such new evidence "should be struck from therecord".
85
2. United States
178. The United States argues that nothing in its appellant's submission requests, or in any way
indicates, that the Appellate Body should do anyt hing but examine the issues of law underlying the
83Canada's letter dated 5 November 2002.
84Canada's appellee's submission, para. 155.
85Canada's letter dated 5 November 2002.WT/DS217/AB/R
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Panel's findings and the associated legal interpretations. According to the United States,
paragraphs 120 and 121 of its appellant's submission, cited by Canada, "go to the core of one of thelegal errors committed by the Panel"
86, namely that the Panel assumed, as a matter of law, without
sufficient basis, that the statute would necessarily result in the initiation of anti-dumping and subsidycases with less than the level of support required under the WTO Agreement . The United States
argues that the Panel's erroneous conclusions resulted, in part, from the Panel's "misunderstanding oftwo letters"
87, and that paragraphs 120 and 121 of the appellant's submission seek to clarify the
contents of these letters. The United States claims that, in showing that the Panel lacked a basis for its
finding that the CDSOA amounts to a prima facie violation of the WTO Agreement , the arguments
in paragraphs 120 and 121 are entirely appropriate and "well within the scope of the matters to be
examined in this appeal." 88
179. As to footnotes 148 and 149 of its appellant's submission, the United States submits that the
appeal involves a prima facie challenge to the CDSOA and that the issue turns on whether or not the
Panel had a sufficient basis for its legal conclusions. Thus, the United States argues, it "cited to [thepublic documents in these footnotes] to provide th e Appellate Body with a greater understanding of
the facts involved in the dispute and to reinforce th e point that the panel lacked a sufficient basis for
its findings."
89
3. Australia
180. Australia submits that, under Article 17.6 of the DSU, paragraphs 120 and 121 of the United
States' appellant's submission, and footnotes 148 a nd 149 thereto, should be disregarded, as the United
States may not contest the accuracy of, or introduce, factual evidence for the first time in appealproceedings.
4. European Communities, India, Indonesia and Thailand
181. The appellees argue that the new factual arguments and the new factual evidence adduced by
the United States at paragraphs 120 and 121 of its appellant's submission, and in the accompanyingfootnotes, should be disregarded by the Appellate Body. The new factual arguments inparagraphs 120 and 121 were not raised during the Panel proceedings. In addition, the footnotes referto documents that were not part of the record of the Panel proceedings.
86United States' letter dated 8 November 2002.
87Ibid.
88Ibid.
89Ibid.WT/DS217/AB/R
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5. Japan
182. Japan first recalls that in Canada – Aircraft , the Appellate Body declined to rule on a new
argument made by Brazil on appeal. According to Japan, the Appellate Body's decision was based on
the ground that in order to rule on the new argument, it would have to solicit, receive and review new
facts that were not before the Panel, and that were not considered by it, a scenario excluded byArticle 17.6 of the DSU. Therefore, Japan argu es that the new argument and the new evidence
brought by the United States should be rejected.
6. Korea
183. Korea contends that the United States' appellant's submission is inconsistent with Article 17.6
of the DSU because it adduces new evidence that had not been presented to the Panel.
7. Norway
184. Norway argues that the United States has adduced new factual arguments and new factual
evidence in its appellant's submission that are outside the scope of appellate review.
V. Procedural Matters and Ruling
185. We turn first to the procedural matters raised in this appeal. As we indicated earlier in this
Report 90, Canada, supported by other appellees 91 and one third participant 92, argues that the United
States is in breach of Rule 20(2)(d) of the Working Procedures , because the United States'
appellant's submission allegedly includes claims, allegations and requests for ruling that were notincluded in the United States' Notice of Appeal.
93 Canada requests that these claims be struck from
the appeal. In addition, Canada objects, with support from other appellees 94 and one third
participant95, to the inclusion in the United States' appellant's submission of arguments that, in
Canada's view, impugn certain evidence relied upon by the Panel, and to the inclusion of what Canada
90Supra , paras. 161-163.
91Australia, Chile, the European Communities, India, Indonesia, Japan, Korea and Thailand join
Canada in respect of allegations regarding the non-inclusion of claims under DSU Articles 7, 11 and 12.7. In
addition, Brazil joins Canada in respect of allegations regarding the non-inclusion of claims under Article 7 of
the DSU.
92Norway.
93The Notice of Appeal is attached as Annex I to this Report.
94Australia, Chile, the European Communities, India, Indonesia, Japan, Korea and Thailand.
95Norway.WT/DS217/AB/R
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regards as new evidence that was not before the Panel. Canada submits that these arguments and the
alleged new evidence are outside the scope of appellate review by virtue of Article 17.6 of the DSU.
186. Canada requested a preliminary ruling on these issues 96, to which the United States objected
on the grounds that Canada's claims are "meritless" 97 and because neither the DSU nor the
Working Procedures permits such rulings. 98 We denied the request for a preliminary ruling 99
without ruling on the substance of the issues. We will address them here in turn.
A. Allegations of Flaws in the Notice of Appeal
187. Canada, supported by other participants, argues that the United States refers in its appellant's
submission to four issues that were not included in the Notice of Appeal:
• the United States' contention in paragraph 40 of its appellant's submission that the
Panel failed to meet its obligations under Article 11 of the DSU 100 because the
Panel did not undertake an objective assessment of the matter before it;
• the United States' contention in paragraph 40 of its appellant's submission that the
Panel failed to meet its obligations under Article 12.7 of the DSU 101 because the
Panel did not explain why it examined the burden that the measure creates on
conditions of competition;
96Letter dated 5 November 2002 from the Permanent Representative of Canada to the Presiding
Member (hereinafter, Canada's letter dated 5 November 2002). A letter was submitted jointly on 8 November2002 by the European Communities, India, Indonesia and Thailand, in support of Canada's request for apreliminary ruling. Japan also filed a letter on 8 November 2002 in support of Canada's request for apreliminary ruling.
97United States' letter dated 8 November 2002.
98Ibid.
99Letter from the Director of the Appellate Body Secretariat dated 8 November 2002.
100Article 11 states in relevant part:
… a panel should make an objective assessment of the matter before it,
including an objective assessment of the facts of the case and theapplicability of and conformity with the relevant covered agreements, and
make such other findings as will assist the DSB in making the
recommendations or in giving the rulings provided for in the covered
agreements.
101Article 12.7 states in relevant part:
… the report of a panel shall set out the findings of fact, the applicability of
relevant provisions and the basic rationale behind any findings and
recommendations that it makes." (emphasis added)WT/DS217/AB/R
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• the United States' contention in Section IV of its appellant's submission that the Panel
exceeded its terms of reference 102 by examining claims concerning the CDSOA
"in combination" with other United States laws and regulations; and
• the United States' contention in Section VI of its appellant's submission that the Panel
exceeded its terms of reference by issuing an "advisory opinion" on a measure that
was not before it.
188. Canada submits that these "claims, allegations and requests for ruling" 103 are not properly
before us because they were not included in the Notice of Appeal. According to Canada,
Rule 20(2)(d) of the Working Procedures "requires a Notice of Appeal to include 'a brief statement
of the nature of the appeal, including allegations of errors in the issues of law covered in the panelreport and legal interpretations developed by the panel.'"
104 Canada argues that these requirements,
"as well as the requirements of due process, mandate[ ] the United States to include in its Notice of
Appeal all claims of error that the United States intends to raise."
105 Canada submits that "[b]y
failing to include any reference to claims that the Panel violated Articles 7, 11 and 12.7 of theDSU, the United States is in breach of these requirements."
106 Canada asserts that these claims of
error are very serious allegations that must not be made without proper notification to the appellees in
the Notice of Appeal. 107 Finally, Canada requests that the claims with respect to Articles 7, 11
and 12.7 be struck from this appeal.
189. The United States clarified at the oral hearing that it is not requesting a finding that the Panel
failed to act consistently with Articles 11 and 12.7 of the DSU. The United States explained that thereference in paragraph 40 of its appellant's submission to the Panel's failure to meet its obligations
102Article 7.1 of the DSU sets out the standard terms of reference for panels:
Panels shall have the following terms of reference unless the parties to the
dispute agree otherwise within 20 days from the establishment of the panel:
"To examine, in the light of the relevant provisions in
(name of the covered agreement(s) cited by the parties to the
dispute), the matter referred to the DSB by (name of party) in
document ... and to make such findings as will assist the DSB inmaking the recommendations or in giving the rulings provided forin that/those agreement(s)."
103Canada's appellee's submission, para. 139.
104Ibid.
105Ibid. (original emphasis)
106Ibid.
107Canada's letter dated 5 November 2002.WT/DS217/AB/R
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under Articles 11 and 12.7 of the DSU is merely an argument in support of its claim that the Panel
erred in interpreting Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM
Agreement .
190. As we have not been asked to make findings under Articles 11 and 12.7, we make no such
findings. However, we observe that paragraph 40 of the United States' appellant's submission refers
explicitly to the Panel's failure to meet its obligations under those provisions. The clear implication isthat the United States was indeed making claims under Articles 11 and 12.7 of the DSU. We alsonote that the United States did not suggest in it s letter of 8 November 2002, objecting to Canada's
request for a preliminary ruling on the scope of appeal, that it was not requesting findings under those
provisions. In our view, Canada and the other appellees were therefore justified in interpreting the
United States' appellant's submission as if such clai ms were indeed being made by the United States.
However, given the United States' explanation at the oral hearing that it was not pursuing such claims,the issue of whether they were notified in the Notice of Appeal has become moot.
191. We look next to the other two matters raised by Canada and other participants as not being in
the Notice of Appeal and hence not properly before us, namely the United States' arguments inSections IV and VI of its appellant's submission that the Panel exceeded its terms of reference. TheUnited States contends
108 that its Notice of Appeal is in accordance with Rule 20(2)(d) and relies on
our interpretation of that Rule in US – Shrimp , where we said:
The Working Procedures for Appellate Review enjoin the appellant
to be brief in its notice of appeal in setting out "the nature of the
appeal, including the allegations of errors". We believe that, in
principle, the "nature of the appeal" and "the allegations of errors"
are sufficiently set out where the notice of appeal adequately
identifies the findings or legal interpretations of the Panel which arebeing appealed as erroneous. The notice of appeal is not expected to
contain the reasons why the appellant regards those findings or
interpretations as erroneous. The notice of appeal is not designed to
be a summary or outline of the arguments to be made by the
appellant. The legal arguments in support of the allegations of errorare, of course, to be set out and developed in the appellant's
submission.
109 (original emphasis)
108United States' letter dated 8 November 2002.
109Appellate Body Report, US – Shrimp , para. 95.WT/DS217/AB/R
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192. According to the United States, its Notice of Appeal "is more than sufficient in setting out the
'findings or legal interpretations of the Panel' from which the United States is appealing." 110 T h e
United States contends that the claims regarding the Panel's exceeding its terms of reference areincluded in the Notice of Appeal because they fall within the United States' claim set out in the Noticethat the Panel erred in its interpretation of Article 18.1 of the Anti-Dumping Agreement and
Article 32.1 of the SCM Agreement . In any event, the United States stated at the oral hearing that, as
a question of jurisdiction, it is open to the Appell ate Body to examine whether a panel exceeded its
terms of reference even if no such claim is included in the Notice of Appeal.
193. In examining these submissions, we look first to Rule 20(2) of the Working Procedures ,
which prescribes what is to be included in the Notice of Appeal. In addition to the title of the panel
report under appeal, the name of the appellant, and the service address, paragraph (d) states that aNotice of Appeal shall include:
… a brief statement of the nature of the appeal, including the
allegations of errors in the issues of law covered in the panel report
and legal interpretations developed by the panel.
194. We have examined this provision in previous appeals.
111 Most recently, in US –
Countervailing Measures on Certain EC Products , we said:
[O]ur previous rulings have underscored the important balance that
must be maintained between the right of Members to exercise theright of appeal meaningfully and effectively, and the right of
appellees to receive notice through the Notice of Appeal of the
findings under appeal, so that they may exercise their right of defence
effectively. …[The] requirements under Rule 20(2) serve to ensure
that the appellee also receives notice, albeit brief, of the "nature of
the appeal" and the "allegations of errors" by the panel.
112
195. The underlying rationale of Rule 20(2)(d) is thus to require the appellant to provide notice of
the claims of error that the appellant intends to argue on appeal. 113
110United States' letter dated 8 November 2002.
111Appellate Body Report, US – Shrimp , paras. 92-97; Appellate Body Report, EC – Bananas III ,
paras. 151-152; Appellate Body Report, US – Countervailing Measures on Certain EC Products , paras. 50-75.
112US – Countervailing Measures on Certain EC Products , para. 62.
113In its letter dated 8 November 2002, the United States points out that, under the Working
Procedures , there is no "notice of appeal" preceding an "o ther appellant's" submission and therefore Canada's
arguments regarding due process are without merit. In our view, the United States' argument is inappositebecause the Working Procedures do not require an other appellant to file a Notice of Appeal. In this respect,
we refer to para. 62 of our Report in US – Countervailing Measures on Certain EC Products and footnote 142
thereto.WT/DS217/AB/R
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196. Turning to the Notice of Appeal filed in this ca se, the United States maintains that "[e]ach of
the U.S. arguments claimed by Canada to be outside the scope of the appeal fall squarely within thematters raised in the first numbered paragraph of the U.S. notice."
114
197. We examine first the arguments in Section IV of the United States' appellant's submission,
which is entitled "The Panel Exceeded Its Terms of Reference By Examining Claims Concerning TheCDSOA In Combination With Other U.S. Laws And Regulations." In that Section, the United Statessubmits that the Panel exceeded its terms of reference by examining whether the CDSOA, in
combination with United States laws on the imposition of anti-dumping duties (or countervailingduties), violate Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM
Agreement .
115 The United States argues that the Panel's terms of reference are limited to examining
whether the CDSOA, as such , is WTO-consistent, and do not permit an examination of whether the
CDSOA, in combination with any other United States law or regulation, violates United States
obligations' under the WTO Agreement .
198. Canada, supported by other appellees 116 and one third participant 117, alleges that Section IV
of the United States' appellant's submission relates to a claim as to "the exercise of jurisdiction by thePanel under Article 7 of the DSU"
118, and that such claim was not included in the Notice of Appeal.
Canada asks us to exclude this claim from the scope of appeal. The United States responds that"[b]ecause the U.S. notice of appeal covers the Panel's findings and related legal interpretations
regarding Antidumping Agreement Article 18.1 and SCM Agreement 13.2 [ sic], the matters addressed
in Section IV are plainly covered by the notice of appeal."
119
199. A plain reading of the first numbered paragraph of the United States' Notice of Appeal, which
the United States submits includes the claim that the Panel exceeded its terms of reference by rulingon the CDSOA in combination with other laws, reveals that there is no explicit reference to Article 7of the DSU. Nor is there any allegation, explicit or implied, that the Panel exceeded its terms ofreference with respect to any of its findings. I ndeed, no such claim is apparent in any of the
paragraphs of the Notice of Appeal.
114United States' letter dated 8 November 2002. For the full text of the United States' Notice of Appeal,
see Annex 1 to this Report.
115United States' appellant's submission, para. 131.
116Australia, Brazil, Chile, the European Communities, India, Indonesia, Japan, Korea and Thailand.
117Norway.
118Canada's letter dated 5 November 2002.
119United States' letter dated 8 November 2002.WT/DS217/AB/R
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200. We do not agree with the United States' contention that the first numbered paragraph of the
United States' Notice of Appeal, referring generally to the Panel's failure properly to interpretArticle 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement , "plainly
covers" a claim that the Panel exceeded its terms of reference. As we have said, the Notice of Appeal"serve[s] to ensure that the appellee also receives notice, albeit brief, of the 'nature of the appeal' and
the 'allegations of errors' by the panel."
120 Generic statements such as that relied upon by the United
States cannot serve to give the appellees adequate notice that they will be required to defend againsta claim that the Panel exceeded its terms of reference. This is particularly so for procedural errors; it
can be especially difficult to discern a claim of procedural error by a panel from general references to
panel findings or from extracts of a panel report, because allegations of procedural error by a panel
may not necessarily be raised until the appellate stage.
201. Therefore, we agree with Canada and other participants that the Notice of Appeal does not
provide adequate notice that a claim that the Panel exceeded its terms of reference in ruling on theCDSOA in combination with other laws would be argued by the United States on appeal.
202. Canada, supported by other appellees
121 and one third participant 122, also challenges the
United States' arguments set out in Section VI of the United States' appellant's submission as being
outside the scope of appeal because they were not in cluded in the Notice of Appeal. Section VI of the
United States' appellant's submission is entitled "The Panel Erred in Issuing an Advisory Opinion on a
Measure Outside of Its Terms of Reference." The United States contends in that Section that the
Panel rendered an "advisory opinion" by making a finding on a measure that was not before it, when itsaid:
Even if CDSOA offset payments were funded directly from the US
Treasury, and in an amount unrelated to collected anti-dumping
duties, we would still be required to reach the conclusion – for thereasons set forth in the preceding paragraph - that offset payments
may be made only in situations presenting the constituent elements of
dumping.
123
203. The United States argues that because there was no measure before the Panel regarding
payments funded directly from the United States Treasury, the Panel had no authority to make this
finding.
120Appellate Body Report, US – Countervailing Measures on Certain EC Products , para. 62.
121Australia, Chile, the European Communities, India, Indonesia, Japan, Korea, Mexico and Thailand.
122Norway.
123Panel Report, para. 7.22.WT/DS217/AB/R
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204. Canada, supported by other participants, alleges that Section VI of the United States'
appellant's submission relates to a claim as to "the exercise of jurisdiction by the Panel under Article 7of the DSU"
124, which was not in the Notice of Appeal. Canada requests us to rule that this claim of
the United States is outside the scope of appellate review. The United States responds that "[b]ecausethe U.S. notice of appeal covers the Panel's findings and related legal interpretations regardingAntidumping Agreement Article 18.1 and SCM Agreement Article 13.2 [ sic], the matters addressed in
Section VI are well within the scope of the notice of appeal."
125
205. We have already explained that we see no reference, explicit or implicit, in the Notice of
Appeal regarding the Panel's exceeding its terms of reference. Therefore, our reasoning above applies
equally to the United States' claim regarding the alleged advisory opinion in the Panel Report.
206. Having concluded that the Notice of Appeal does not provide notice to the appellees that the
United States intended to make claims that the Panel exceeded its terms of reference, the next
question is whether we are precluded from examining these claims on appeal. As we have explained,if an appellee has not received sufficient notice in the Notice of Appeal that a particular claim will beadvanced by the appellant, that claim normally will be excluded from the appeal. However, weobserve that the United States has argued in this appeal that we are entitled to examine questions ofjurisdiction in any event, even if not included in the Notice of Appeal.
126
207. We agree with the United States' position. We have stated previously, in relation to a panel's
obligation to address issues related to its jurisdiction, that:
… panels have to address and dispose of certain issues of a
fundamental nature, even if the parties to the dispute remain silent on
those issues. In this regard, we have previously observed that "[t]he
vesting of jurisdiction in a panel is a fundamental prerequisite for
lawful panel proceedings." For this reason, panels cannot simply
ignore issues which go to the root of their jurisdiction – that is, totheir authority to deal with and dispose of matters. Rather, panels
must deal with such issues – if necessary, on their own motion – in
order to satisfy themselves that they have authority to proceed.
127
(footnote omitted)
124Canada's letter dated 5 November 2002.
125United States' letter of 8 November 2002.
126United States' response to questioning at the oral hearing.
127Appellate Body Report, Mexico – Corn Syrup (Article 21.5 – US) , para. 36.WT/DS217/AB/R
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208. In our view, the same reasoning applies in this case. As we have said, "[a]n objection to
jurisdiction should be raised as early as possible" 128 and it would be preferable, in the interests of due
process, for the appellant to raise such issues in the Notice of Appeal, so that appellees will be
aware that this claim will be advanced on appeal. However, in our view, the issue of a panel'sjurisdiction is so fundamental that it is appropriate to consider claims that a panel has exceeded itsjurisdiction even if such claims were not raised in the Notice of Appeal.
209. It is convenient to proceed now with a consideration of the United States' claims that the
Panel exceeded its terms of reference "by examin ing claims concerning the CDSOA in combination
with other U.S. laws and regulations" and "in issuing an advisory opinion on a measure outside of its
terms of reference."
129
210. Turning to the first of the United States' contentions, the Panel stated, in connection with its
discussion on whether the CDSOA operates "against" dumping or a subsidy, that:
We agree that dumping over time may be evidence of a competitive
advantage. However, the combination of anti-dumping duties and
offset subsidies is not merely to level the playing field, but to transferthat competitive advantage to "affected domestic producer".
130
(emphasis added; footnote omitted)
211. In addition, the Panel said in a footnote:
Although our finding that the CDSOA constitutes "specific action
against dumping" and subsidy rests on the adverse impact of the
CDSOA on exporters/foreign producers engaged in dumping, that
adverse impact does not result exclusively from the provision of
offset payment subsidies (or the use of a subsidy). The adverseimpact results from the combination of anti-dumping duties and
offset payment subsidies in the particular circumstances of theCDSOA.
131 (original underlining)
212. In our view, these statements do not constitute a finding by the Panel that was outside its
terms of reference. The Panel was merely reflectin g in its reasoning the fact that the CDSOA does not
operate in a vacuum but, rather, operates in a context that includes other laws and regulations. The
Panel's view was that the combination of anti-dum ping duties (or countervailing duties) and CDSOA
offset payments distorts the competitive relationship between dumped (subsidized) and domestic
128Appellate Body Report, US – 1916 Act , para. 54.
129United States' appellant's submission, Sections IV and VI.
130Panel Report, para. 7.36.
131Ibid., para. 7.119 and footnote 334 thereto.WT/DS217/AB/R
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products, to the detriment of dumped (subsidized) products. This led the Panel to find that the
CDSOA—alone—has an adverse bearing on dumping (subsidization) and, therefore, operates"against" dumping (subsidies) within the meaning of Article 18.1 of the Anti-Dumping Agreement
(and Article 32.1 of the SCM Agreement ). Therefore, we dismiss the claim of the United States that
the Panel exceeded its terms of reference by examining claims concerning the CDSOA "in
combination" with other United States laws and regulations.
213. We turn next to the United States' contention that the Panel erred in issuing an "advisory
opinion" on a measure outside of its terms of reference. The United States takes issue with thefollowing statement by the Panel:
Even if CDSOA offset payments were funded directly from the US
Treasury, and in an amount unrelated to collected anti-dumping
duties, we would still be required to reach the conclusion – for the
reasons set forth in the preceding paragraph - that offset paymentsmay be made only in situations presenting the constituent elements of
dumping.
132
214. We note that the Panel made this observation in response to the United States' argument that
the fact that CDSOA distributions are funded by proceeds from anti-dumping and countervailingduties does not render the CDSOA a "specific action against dumping."
133 The Panel reasoned that,
even if the offset payments were funded directly from the United States Treasury, and in an amountunrelated to the collected duties, it would still "reach the conclusion … that offset payments may be
made only in situations presenting the constituent elements of dumping."
134 We do not agree with the
United States that, in making this statement, the Panel was making a finding on a matter that wasoutside the Panel's terms of reference. In our view, the Panel was simply making an observation tomake it abundantly clear that its finding was in no way based on the fact that offset payments are
132Panel Report, para. 7.22.
133Ibid., para. 7.20. See also Panel Report, para. 4.504, which sets out, in relevant part, the United
States' contention in its first oral statement, that "the complaining parties' primary argument is that because the
source of the funds for the distributions under CDSOA are AD/CVD duties, the CDSOA is, on its face,
inconsistent with the Antidumping and SCM Agreements. The reality is that, because money is fungible, the
only real connection between the funds distributed under CDSOA and the orders is that the duties collected
serve to cap or limit the amount of the annual distributions."
134Panel Report, para. 7.22.WT/DS217/AB/R
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funded from collected anti-dumping duties. Therefore, we dismiss the United States' claim that the
Panel issued an "advisory opinion" exceeding its terms of reference.135
B. Allegations Regarding the Scope of Appellate Review Under Article 17.6 of the DSU
215. We turn next to the second procedural issue raised by Canada 136, supported by other
appellees 137 and one third participant 138, namely the issue whether the United States included
arguments and evidence in its appellant's submission that are outside the scope of appellate review by
virtue of Article 17.6 of the DSU. Specifically, Canada points to the comments in paragraphs 120
and 121 of the United States' appellant's submission regarding two letters referred to inparagraphs 7.62 and 7.45 of the Panel Report. In addition, Canada contends that footnotes 148and 149 of the United States' appellant's submission refer to evidence that was not before the Panel.
216. In examining these questions, we recall first that Article 17.6 of the DSU provides:
An appeal shall be limited to issues of law covered in the panel report
and legal interpretations developed by the panel.
1. The United States' Comments About Letters Before the Panel
217. In paragraphs 7.45 and 7.62 of the Panel Report, the Panel refers to a letter from a United
States producer 139 which, according to the Panel, demonstrates that that producer changed its position
concerning an application after initiation of the investigation, and decided to express support for the
application to impose anti-dumping and countervailing duties in order to remain eligible for possibleoffset payment subsidies.
140 In the same paragraphs, the Panel also referred to a letter from a lawyer
dated 8 January 2001 141, which, according to the Panel, illu strates the potential for the CDSOA to
encourage domestic producers to support applications for the imposition of dumping or countervailing
135We observe that the concept of "advisory opinion" has a special meaning in the context of
international adjudication. A number of international courts and tribunals, including the International Court of
Justice and the European Court of Justice, provide in their statutes or rules for the provision of such opinions
upon the request of States or of certain authorized bodies.
136Canada's letter dated 5 November 2002; Canada's appellee's submission, paras. 149-157.
137Australia, Chile, the European Communities, India, Indonesia, Japan, Korea and Thailand.
138Norway.
139Brief of Fred Tebb & Sons, Inc., dated 22 March 2002, filed by Canada on 27 March 2002 in the
Panel proceedings. (Exhibit CDA-20)
140Panel Report, para. 7.62.
141Letter from J. Ragosta, Dewey Ballantine, dated 8 January 2001, p. 2, attached to a letter from
R. Wood, Chairman of the Coalition for Fair Lumber Imports, regarding an "Important Legal Request onSubsidized Canadian Lumber Imports", dated 8 January 2001.WT/DS217/AB/R
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duties. 142 The Panel referred to those letters in paragraph 7.62 to support its finding that the United
States failed to comply with its obligations under Article 5.4 of the Anti-Dumping Agreement and
Article 11.4 of the SCM Agreement (more specifically, as regards the issue that the CDSOA operates
as an incentive for domestic producers to support applications for imposition of anti-dumping andcountervailing duties). These letters were also cited in paragraph 7.45 in relation to the finding thatthe CDSOA is contrary to Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement (more specifically, as regards the question whether the CDSOA operates "against"
dumping or subsidies within the meaning of those provisions).
218. The United States makes the following comments on the letters in paragraphs 120 and 121 of
its appellant's submission:
Moreover, the examination of the letter reveals that the letter is not
what the Panel claimed it to be. It is neither a letter from a "domestic
producer" nor a letter changing positions. In fact, the company that
authored the letter states therein that it is expressing its "continuing"
support for the petitions ( i.e., it is not expressing a change in
position), citing a letter it submitted to the ITC over a month earlierin which the producer had already expressed support for the petition.
Moreover, the company had entered an appearances before the ITC
and Commerce as a "foreign manufacturer, producer, or exporter, or
the United States importer, of subject merchandise" - not a domestic
producer. Thus, the letter is irrelevant to the issue for which the Panelcited it. Contrary to the claim of the Panel, the company did not
change its position.
143 (footnotes omitted)
142Panel Report, para. 7.45.
143United States' appellant's submission, para. 120.WT/DS217/AB/R
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The Panel also cited a letter in which a U.S. producer purportedly
urged other domestic producers to support a petition against
Canadian softwood lumber imports by citing the CDSOA.
Examination of the letter referencing the CDSOA, however, showsthat it was not written by a domestic producer, but instead by a law
firm informing domestic producers of the merits and circumstances
of their case, as well as various provisions of U.S. law including the
CDSOA. Importantly, the letter counsels that petitioners/supporters
cannot count on obtaining funds under the CDSOA. The letter does
not try to use the CDSOA to induce other domestic producers to
support a petition. It certainly does not promise CDSOAdisbursements if domestic producers support the petition.
Furthermore, there is no indication that the letter actually had the
effect of influencing any domestic producers to support the petition,
much less to support a petition it otherwise would not but for the
potential to become eligible for CDSOA offsets.
144 (original
emphasis; footnotes omitted)
219. Canada agrees that the two letters referred in paragraphs 120-121 of the United States
appellant's submission were in evidence before the Panel. Canada's objection is that the United States
is prohibited by virtue of Article 17.6 of the DSU from challenging the "credibility and weight thePanel attached to the two letters."
145 Canada argues that the Panel's statements about the letters did not
form part of its legal reasoning. Therefore, according to Canada, we cannot consider the UnitedStates' explanations about the nature of the letters because there is "no question of legalcharacterisation by the Panel of facts before it in respect of the two letters".
146
220. We do not regard the United States' comments in paragraphs 120-121 as impugning the
Panel's factual findings on the two letters. In our view, the United States' comments form part of its
challenge to the Panel's legal conclusions that the CDSOA is inconsistent with Article 5.4 of the Anti-
Dumping Agreement and Article 11.4 of the SCM Agreement , as well as with Article 18.1 of the
Anti-Dumping Agreement and Article 32.1 of the SCM Agreement . Whether such findings are
supported by those letters is an issue of law, properly raised by the United States in its Notice ofAppeal, on which we have the authority to decide under Article 17.6 of the DSU.
2. Allegations of New Evidence in Footnotes 148 and 149
221. In footnotes 148 and 149 of the United States' a ppellant's submission, the United States cites
various documents in connection with its challenge to the Panel's conclusions about the import of the
144United States' appellant's submission, para. 121.
145Canada's appellee's submission, para. 155.
146Ibid.WT/DS217/AB/R
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two letters referred to above, noting that they are "available on the public record". 147 According to
Canada 148, supported by other participants 149, the documents constitute new evidence that was not
before the Panel and, consequently, our consideration of that evidence is beyond the scope ofappellate review by virtue of Article 17.6 of the DSU.
222. We agree with the submission of Canada. It is not disputed that footnotes 148 and 149 of the
United States' appellant's submission refer to documents that were not part of the Panel record. TheUnited States submits that it referred to the documents "to provide the Appellate Body with a greaterunderstanding of the facts involved in the dispute".
150 However, Article 17.6 is clear in limiting our
jurisdiction to issues of law covered in panel reports and legal interpretations developed by panels.
We have no authority to consider new facts on appeal. The fact that the documents are "available on
the public record" does not excuse us from the limitations imposed by Article 17.6. We note that theother participants have not had an opportunity to comment on those documents and, in order to do so,may feel required to adduce yet more evidence. We would also be precluded from considering suchevidence. We find, therefore, that the documents referred to in footnotes 148 and 149 of the United
States' appellant's submission that were not part of the Panel record, constitute new evidence.Consequently, by virtue of Article 17.6 of the DS U, we are precluded from taking those documents
into account in deciding this appeal.
VI. Issues Raised in This Appeal
223. The following issues are raised in this appeal:
(a) whether the Panel erred in finding, in paragraphs 7.51 and 8.1 of the Panel Report,
that the Continued Dumping and Subsidy Offset Act of 2000 ("CDSOA") is a non-
permissible specific action against dumping or a subsidy, contrary to Article 18.1 ofthe Agreement on Implementation of Article VI of the General Agreement on Tariffs
and Trade 1994 (the " Anti-Dumping Agreement ") and Article 32.1 of the Agreement
on Subsidies and Countervailing Measures (the " SCM Agreement ");
147United States' appellant's submission, footnotes 148 and 149.
148Canada's letter dated 5 November 2002; Canada's appellee's submission, paras. 149-157.
149Australia, Chile, the European Communities, India, Indonesia, Japan, Korea, Norway and Thailand.
150United States' letter dated 8 November 2002.WT/DS217/AB/R
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(b) whether the Panel erred in finding, in paragraphs 7.66 and 8.1 of the Panel Report,
that the CDSOA is inconsistent with Article 5.4 of the Anti-Dumping Agreement and
Article 11.4 of the SCM Agreement ;
(c) whether the Panel erred in finding, in paragraphs 7.93 and 8.1 of the Panel Report,
that the CDSOA is inconsistent with certain provisions of the Anti-Dumping
Agreement and the SCM Agreement and that, therefore, the United States has failed
to comply with Article 18.4 of the Anti-Dumping Agreement , Article 32.5 of the
SCM Agreement and Article XVI.4 of the Marrakesh Agreement Establishing the
World Trade Organization (the " WTO Agreement ");
(d) whether the Panel erred in finding, in paragraph 8.4 of the Panel Report, that,
pursuant to Article 3.8 of the Understanding on Rules and Procedures Governing the
Settlement of Disputes (the "DSU"), the CDSOA nullifies or impairs benefits
accruing to the Complaining Parties under those Agreements; and
(e) whether the Panel acted inconsistently with Article 9.2 of the DSU by rejecting, in
paragraph 7.6 of the Panel Report, the request by the United States for a separatepanel report on the dispute brought by Mexico.
VII. Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement
224. We turn now to the United States' appeal of the Panel's conclusion that the CDSOA is a non-
permissible specific action against dumping, contrary to Article 18.1 of the Anti-Dumping
Agreement , and a non-permissible specific action against a subsidy, contrary to Article 32.1 of the
SCM Agreement .
151 We will start by reviewing briefly the Panel's analysis of this issue.
225. The Panel began its analysis by referring to our ruling in US – 1916 Act, where we said:
In our view, the ordinary meaning of the phrase "specific action
against dumping" of exports within the meaning of Article 18.1 isaction that is taken in response to situations presenting the
constituent elements of "dumping". "Specific action against
dumping" of exports must, at a minimum, encompass action that may
be taken only when the constituent elements of "dumping" are
present.
152 (original emphasis; footnote omitted)
151Panel Report, para. 7.51.
152Appellate Body Report, US – 1916 Act , para. 122.WT/DS217/AB/R
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226. The Panel decided that this ruling is not conclusive of whether the CDSOA is a specific
action against dumping or a subsidy for three reasons. First , the Panel observed that, in US – 1916
Act, we were not interpreting Article 18.1 of the Anti-Dumping Agreement , as such, but were rather
referring to that Article in order to clarify the scope of application of Article VI of the General
Agreement on Tariffs and Trade (the "GATT 1994"). 153 Second , the Panel noted that we were not
required to consider, in deciding that appeal, the meaning of the word "against" as used in Article 18.1of the Anti-Dumping Agreement , because there was no disagreement between the participants in that
dispute that the measure at issue, which imposed criminal and civil liabilities on importers engaged indumping, constituted action "against" dumping.
154 Third , the Panel opined that the category of action
"in response to" dumping is broader than the category of action "against" dumping. 155
227. Having decided that our ruling in US – 1916 Act was not dispositive of the issues in the
present case, the Panel developed the following standard to determine whether a measure is a specificaction against dumping or a subsidy: a measure will constitute specific action against dumping or asubsidy if: (1) it acts "specifically" in response to dumping or a subsidy, in the sense that the measuremay be taken only in situations presenting the constituent elements of dumping or a subsidy; and (2)
it acts "against" dumping or a subsidy, in the sense that the measure has an adverse bearing on the
practice of dumping or on the practice of subsidization.
156
228. Applying this standard to the CDSOA, the Panel, as a preliminary matter, determined that the
CDSOA is a "specific action related to"157 dumping or a subsidy. According to the Panel, the
CDSOA meets the first condition of the standard because CDSOA payments may be made only in
situations where the constituent elements of dumping (or of a subsidy) are present. The Panel alsopointed out that CDSOA offset payments follow automatically from the collection of anti-dumping
(or countervailing) duties, which in turn may be collected only following the imposition of anti-
dumping (or countervailing duty) orders, which in turn may be imposed only following adetermination of dumping (or subsidization). The Pa nel thus determined that the CDSOA is a specific
action related to dumping (or subsidization) because there is a "clear, direct and unavoidable
153Panel Report, para. 7.15.
154Ibid., para. 7.16.
155Ibid., para. 7.17.
156Ibid., para. 7.18. In paragraph 7.18, the Panel refers only to dumping. We understand, however,
that, in the light of the conclusion the Panel reached in paragraph 7.51, the two conditions set out in paragraph
7.18 extend mutatis mutandis to Article 32.1 of the SCM Agreement , which deals with subsidies.
157Panel Report, para. 7.23.WT/DS217/AB/R
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connection" 158 between the determination of dumping (or subsidization) and CDSOA offset
payments.
229. Moving to the question whether the CDSOA acts "against" dumping or a subsidy, in the sense
that it has an adverse bearing on dumping or a subsidy, the Panel affirmed that Article 18.1 of theAnti-Dumping Agreement (and Article 32.1 of the SCM Agreement ) concerns measures that act
against dumping as a practice (or subsidization as a practice), and do not require that the measure atissue must act against the imported dumped (or subsidized) product, or entities connected to, orresponsible for, the dumped (or subsidized) product , such as the importer, exporter, or foreign
producer.
159 The Panel added that the term "against" in Article 18.1 of the Anti-Dumping Agreement
and Article 32.1 of the SCM Agreement encompasses measures having a direct, as well as indirect,
adverse bearing on the practice of dumping (or subsidization). 160
230. Two considerations led the Panel to find that the CDSOA operates "against" dumping (or a
subsidy), in the sense that it has an adverse bearing on dumping (or a subsidy). First, according to thePanel, the CDSOA acts against dumping (or a subsidy) by conferring on affected domestic producers,which incur qualifying expenses, an offset payment subsidy that would allow them to establish acompetitive advantage over dumped (or subsidized) imports. Second, the Panel was of the view thatthe CDSOA has an adverse bearing on dumping (or a subsidy) because it provides a financialincentive for domestic producers to file anti-dumping (or countervail) applications, or at least to
support such applications, in order to establish their eligibility for offset payments.
231. The Panel noted that, in our Report in US – 1916 Act, we found that Article VI of the
GATT 1994, in particular Article VI:2, read in conjunction with the Anti-Dumping Agreement , limits
the permissible responses to dumping to definitive anti-dumping duties, provisional measures andprice undertakings.
161 The Panel took the view that a similar approach should apply in respect of the
permissible responses to subsidization. 162 The Panel observed that Part V of the SCM Agreement
foresees definitive countervailing duties, provisional measures and undertakings, whereas Part IIIforesees countermeasures. According to the Panel, these are the permissible responses tosubsidization.
163 Because the CDSOA does not fall within the range of the permissible responses to
158Panel Report, para. 7.21.
159Ibid., para. 7.33.
160Ibid.
161Ibid., para. 7.7.
162Ibid.
163Ibid.WT/DS217/AB/R
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dumping under Article VI of the GATT 1994 and the Anti-Dumping Agreement , or within the range
of the permissible responses to subsidization under the GATT 1994 and the SCM Agreement , the
Panel concluded that the CDSOA constitutes a no n-permissible specific action against dumping,
contrary to Article 18.1 of the Anti-Dumping Agreement , and a non-permissible specific action
against a subsidy, contrary to Article 32.1 of the SCM Agreement .
232. In addition, the Panel rejected the United Stat es' argument that the CDSOA is an action
permitted by virtue of footnote 24 to Article 18.1 of the Anti-Dumping Agreement and footnote 56 to
Article 32.1 of the SCM Agreement . According to the Panel, a measure that has been characterized as
"specific" under Article 18.1 of the Anti-Dumping Agreement or Article 32.1 of the SCM
Agreement cannot be permitted under those footnotes, because the footnotes cover non-specific
actions against dumping or a subsidy. In other words, the "actions" covered in the provisions and the"actions" covered in the footnotes are mutually exclusive.
233. On appeal, the United States contends that the Panel erred in finding that the CDSOA
constitutes specific action against dumping within the meaning of Article 18.1 of the Anti-Dumping
Agreement and specific action against a subsidy within the meaning of Article 32.1 of the SCM
Agreement , and asks us to reverse the Panel's finding that the CDSOA is inconsistent with
Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement .
234. We begin our analysis with a review of the relevant provisions. Article 18.1 of the Anti-
Dumping Agreement reads as follows:
Final Provisions
No specific action against dumping of exports from another Member
can be taken except in accordance with the provisions of
GATT 1994, as interpreted by this Agreement.
24
__________________
24 This is not intended to preclude action under other relevant provisions of
GATT 1994, as appropriate.WT/DS217/AB/R
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235. Article 32.1 of the SCM Agreement reads as follows:
Other Final Provisions
No specific action against a subsidy of another Member can be taken
except in accordance with the provisions of GATT 1994, as
interpreted by this Agreement.56
__________________
56 This paragraph is not intended to preclude action under other relevant
provisions of GATT 1994, where appropriate.
236. Looking to the ordinary meaning of the words used in these provisions, we read them as
establishing two conditions precedent that must be met in order for a measure to be governed by them.
The first is that a measure must be "specific" to dumping or subsidization. The second is that a
measure must be "against" dumping or subsidization. These two conditions operate together andcomplement each other. If they are not met, the measure will not be governed by Article 18.1 of theAnti-Dumping Agreement or by Article 32.1 of the SCM Agreement . If, however, it is established
that a measure meets these two conditions, and thus falls within the scope of the prohibitions in thoseprovisions, it would then be necessary to move to a further step in the analysis and to determine
whether the measure has been "taken in accordance with the provisions of GATT 1994", asinterpreted by the Anti-Dumping Agreement or the SCM Agreement . If it is determined that this is
not the case, the measure would be inconsistent with Article 18.1 of the Anti-Dumping Agreement or
Article 32.1 of the SCM Agreement .
A. The Term "Specific" in the Phrase "Specific Action Against" Dumping or a Subsidy
237. We observe that Article 18.1 of the Anti-Dumping Agreement is identical in language,
terminology and structure to Article 32.1 of the SCM Agreement , except for the reference to
dumping instead of subsidy. The Panel analyzed the terms "specific" and "against" in Article 18.1 inthe same manner as it did with respect to their use in Article 32.1. We agree with the Panel's
approach. We also note that the United States does not challenge such approach and that, at the oral
hearing, none of the appellees or third participants expressed the view that the terms, as used inArticle 18.1 should have a different meaning as used in Article 32.1.
238. As mentioned above, in US – 1916 Act , we interpreted the phrase "specific action against
dumping" in Article 18.1 of the Anti-Dumping Agreement . We said:
164
164Appellate Body Report, US – 1916 Act , para. 122.WT/DS217/AB/R
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In our view, the ordinary meaning of the phrase "specific action
against dumping" of exports within the meaning of Article 18.1 is
action that is taken in response to situations presenting the
constituent elements of "dumping". "Specific action againstdumping" of exports must, at a minimum, encompass action that may
be taken only when the constituent elements of "dumping" are
present.
66
__________________
66 We do not find it necessary, in the present cases, to decide whether the
concept of "specific action against dumping" may be broader.
Given that Article 18.1 of the Anti-Dumping Agreement and 32.1 of the SCM Agreement are
identical except for the reference in the former to dumping, and in the latter to a subsidy, we are of the
view that this finding is pertinent for both provisions.
239. We recall that, in US – 1916 Act , the United States argued that the 1916 Act did not fall
within the scope of Article VI of the GATT 1994 because it targeted predatory pricing, as opposed todumping. We disagreed, and determined that the 1916 Act was a "specific action against dumping"because the constituent elements of dumping were "built into"
165 the essential elements of civil and
criminal liability under the 1916 Act. We also found that the "wording of the 1916 Act … makesclear that these actions can be taken only with respect to conduct which presents the constituent
elements of 'dumping'."
166 Accordingly, a measure that may be taken only when the constituent
elements of dumping or a subsidy are present, is a "specific action" in response to dumping within the
meaning of Article 18.1 of the Anti-Dumping Agreement or a "specific action" in response to
subsidization within the meaning of Article 32.1 of the SCM Agreement . In other words, the measure
must be inextricably linked to, or have a strong correlation with, the constituent elements of dumpingor of a subsidy. Such link or correlation may, as in the 1916 Act, be derived from the text of themeasure itself.
240. This leads to the question of how to determine what are the constituent elements of dumping
or a subsidy. We recall that, in US – 1916 Act , we said the constituent elements of dumping are
found in the definition of dumping in Article VI:1 of the GATT 1994, as elaborated in Article 2 of the
165Appellate Body Report, US – 1916 Act , para. 130.
166Ibid. (original emphasis)WT/DS217/AB/R
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Anti-Dumping Agreement . 167 As regards the constituent elements of a subsidy, we are of the view
that they are set out in the definition of a subsidy found in Article 1 of the SCM Agreement . 168
241. We turn now to determine whether the CDSOA is a "specific action" against dumping or
subsidization within the meaning of Article 18.1 of the Anti-Dumping Agreement or Article 32.1 of
the SCM Agreement .
242. In our view, the Panel was correct in finding that the CDSOA is a specific action related to
dumping or a subsidy within the meaning of Article 18.1 of the Anti-Dumping Agreement and
Article 32.1 of the SCM Agreement . 169 It is clear from the text of the CDSOA, in particular from
Section 754(a) of the Tariff Act170, that the CDSOA offset payments are inextricably linked to, and
strongly correlated with, a determination of dumping, as defined in Article VI:1 of the GATT 1994
and in the Anti-Dumping Agreement , or a determination of a subsidy, as defined in the SCM
Agreement . The language of the CDSOA is unequivocal. First , CDSOA offset payments can be
made only if anti-dumping duties or countervailing duties have been collected. Second , such duties
can be collected only pursuant to an anti-dumping duty order or countervailing duty order. Third , an
anti-dumping duty order can be imposed only following a determination of dumping, as defined in
Article VI:1 of the GATT 1994 and in the Anti-Dumping Agreement . Fourth , a countervailing duty
order can be imposed only following a determination that exports have been subsidized, according tothe definition of a subsidy in the SCM Agreement . In the light of the above elements, we agree with
the Panel that "there is a clear, direct and unavoidable connection between the determination of
dumping and CDSOA offset payments"
171, and we believe the same to be true for subsidization. In
other words, it seems to us unassailable that CDSOA offset payments can be made only following adetermination that the constituent elements of dumping or subsidization are present. Therefore,consistent with the test established in US – 1916 Act , we find that the CDSOA is "specific action"
167Appellate Body Report, US – 1916 Act , paras. 105-106 and 130.
168In response to questioning at the oral hearing, th e participants did not dispute that the constituent
elements of dumping refer to the definition of dumping in Article VI:1 of the GATT 1994, as elaborated inArticle 2 of the Anti-Dumping Agreement , and that the constituent elements of a subsidy refer to the definition
of a subsidy found in Article 1 of the SCM Agreement .
169Panel Report, para. 7.23.
170Section 754(a) of the Tariff Act provides:
Duties assessed pursuant to a countervailing duty order, an anti-dumping
duty order, or a finding under the Antidumping Act of 1921 shall bedistributed on an annual basis under this section to the affected domestic
producers for qualifying expenditures. Such distribution shall be known as
the "continued dumping and subsidy offset".
171Panel Report, para. 7.21.WT/DS217/AB/R
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related to dumping or a subsidy within the meaning of Article 18.1 of the Anti-Dumping Agreement
and of Article 32.1 of the SCM Agreement .
243. In its appellant's submission, the United States argues that the CDSOA is not specific action
related to dumping or to a subsidy because, contra ry to the 1916 Act examined in a previous appeal,
the language of the CDSOA does not refer to the c onstituent elements of dumping (or of a subsidy),
and dumping (or subsidization) is not the trigger for application of the CDSOA. 172 The United States
suggested at the oral hearing that the CDSOA is not "specific" because the constituent elements of
dumping or of a subsidy do not form part of the essential components of the CDSOA. In addition,the United States submits that, according to the Panel's reasoning, any expenditure of collected
anti-dumping (or countervailing) duties, including expenditure for international emergency relief,
would be characterized as specific action against dumping (or a subsidy). For the United States, thePanel's approach "cannot withstand scrutiny."
173
244. We disagree with these arguments. The criterion we set out in US – 1916 Act for specific
action in response to dumping is not whether the constituent elements of dumping or of a subsidy areexplicitly referred to in the measure at issue, nor whether dumping or subsidization triggers theapplication of the action, nor whether the constituent elements of dumping or of a subsidy form partof the essential components of the measure at issue. Our analysis in US – 1916 Act focused on the
strength of the link between the measure and the elements of dumping or a subsidy. In other words,
we focused on the degree of correlation between the scope of application of the measure and the
constituent elements of dumping or of a subsidy. In noting that the "wording of the 1916 Act alsomakes clear that these actions can be taken only with respect to conduct which presents the
constituent elements of 'dumping'"
174, we did not require that the language of the measure include
the constituent elements of dumping or of a subsidy. This is clear from our use of the word "also",which suggests that this aspect of the 1916 Act was a supplementary reason for our finding, and notthe basis for it. Indeed, we required that the co nstituent elements of dumping (or of a subsidy) be
"present"
175, which in our view can include cases where the constituent elements of dumping and of a
subsidy are implicit in the measure. Thus, we agree with the European Communities, India, Indonesia
and Thailand that the "test"176 established in US – 1916 Act "is met not only when the constituent
elements of dumping are 'explicitly built into' the action at issue, but also where … they are implicit in
172United States' appellant's submission, para. 18.
173Ibid., para. 20.
174Appellate Body Report, US – 1916 Act , para. 130. (original emphasis)
175Ibid., para. 122.
176European Communities', India's, Indonesia's and Thailand's appellees' submission, para. 14.WT/DS217/AB/R
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the express conditions for taking such action." 177 In fact, the presence of the constituent elements of
dumping and of a subsidy is implied by the very words of the CDSOA, which refer to "[d]utiesassessed pursuant to a countervailing duty order, an antidumping duty order, or a finding under theAntidumping Act of 1921 …".
178
245. We also disagree with the submission of the United States that, under the Panel's reasoning,
any expenditure of the collected anti-dumping (or countervailing) duties would be characterized as aspecific action against dumping (or a subsidy). This submission does not take into account theexpress terms of Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM
Agreement , which, as we said earlier, contain two conditions precedent, namely that the action be
"specific" to dumping or a subsidy, and that it be "against" dumping or a subsidy. To refer to the
example given by the United States, international emergency relief financed from collected anti-dumping or countervailing duties would not, in our opinion, be subject to the prohibitions of
Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement , because such
action would have no effect whatsoever on dumping or subsidization and, therefore, could not be
characterized as operating "against" dumping or a subsidy. As the Panel noted, we did not focus onthe word "against" in our ruling in US – 1916 Act , because there was no dispute there that the measure
(imposing civil and criminal liabilities on importe rs) was indeed "against" something—the question
there was whether the action was against dumping, or some other conduct (predatory pricing).
179
B. The Term "Against" in the Phrase "Specific Action Against" Dumping or a Subsidy
246. We move now to an analysis of the term "against" as used in Article 18.1 of the Anti-
Dumping Agreement and Article 32.1 of the SCM Agreement . As mentioned above, Article 18.1 of
the Anti-Dumping Agreement is identical in language, terminology and structure to Article 32.1 of
the SCM Agreement , except for the reference to dumping instead of subsidy, and therefore we will
proceed, as the Panel did, with an analysis of the word "against" on the basis that it has the same
meaning in both provisions. We note that neither the United States nor any of the appellees objects
to this approach.
247. We agree with the Panel that our statement in US – 1916 Act —to the effect that "the ordinary
meaning of the phrase 'specific action against dumpi ng' of exports within the meaning of Article 18.1
is action that is taken in response to situations presenting the constituent elements of 'dumping'" 180—
177European Communities', India's, Indonesia's and Thailand's appellees' submission, para. 14.
178Section 754(a) of the Tariff Act.
179Panel Report, para. 7.16.
180Appellate Body Report, US – 1916 Act , para. 122.WT/DS217/AB/R
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is not conclusive as to the nature of the condition flowing from the term "against". The Panel took the
position that an action operates "against" dumping or a subsidy within the meaning of Article 18.1 ofthe Anti-Dumping Agreement and Article 32.1 of the SCM Agreement if it has an adverse bearing
on dumping or subsidization.
181 The United States criticizes this approach, contending that an action
is "against" dumping or a subsidy if it is "in hostile/active opposition" to dumping or a subsidy. 182 The
United States puts emphasis on the argument that an action, in order to be characterized as being"against" dumping or a subsidy, must "come into contact with"
183 dumping or a subsidy, in the sense
of "operating directly" 184 on the imported good, or the entity responsible for the dumped or subsidized
good. 185 In the view of the United States, the Panel erred by finding that the term "against" in
Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement encompasses
any form of adverse bearing, whether it be direct or indirect, and by finding that this term does notimply a requirement that the action applies directly to the imported good or an entity responsible forit, and is burdensome.
186 The United States contends that such a requirement derives from the
ordinary meaning of the term "against". Specifically, the United States relies on a definition found inthe New Shorter Oxford English Dictionary , according to which "against" means "in contact
with".
187 In order to identify the ordinary meaning of the term "against" as used in Article 18.1 of the
Anti-Dumping Agreement and Article 32.1 of the SCM Agreement , the United States posits three
definitions of that term: (1) "of motion or action in opposition"; (2) "in hostility or active opposition
to"; and (3) "in contact with". 188
248. In our view, the first and second definitions invoked by the United States could, arguably,
have some relevance in identifying the ordinary meaning of the term "against" as used in Article 18.1of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement. However, we do not
believe the third definition is appropriate given the substance of Articles 18.1 and 32.1. Indeed, thethird definition refers to physical contact between tw o objects and, thus, in our view, is irrelevant to
the idea of opposition, hostility or adverse effect that is conveyed by the word "against" as used inArticle 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement . It should be
181Panel Report, para. 7.18 and footnote 271 thereto.
182United States' appellant's submission, para. 31.
183Ibid., para. 32.
184Ibid., para. 33.
185Ibid.
186Panel Report, para. 7.33.
187United States' appellant's submission, para. 31.
188Ibid.WT/DS217/AB/R
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remembered that dictionaries are important guides to, not dispositive statements of, definitions of
words appearing in agreements and legal documents.
249. We also note that the third dictionary definition cited by the United States is incomplete; not
only does that dictionary definition refer to "in contact with", it also refers to "supported by". Thislatter element is difficult to reconcile with any idea of opposition, hostility or adverse bearing.
189
250. Therefore, as the definition "in contact with" cannot be used to ascertain the ordinary meaning
of "against" as used in Article 18.1 of the Anti-Dumping Agreement and in Article 32.1 of the
SCM Agreement , we do not believe the United States is justified in using that definition to support its
view that an action against dumping or a subsidy must have direct contact with the imported good, or
the entity responsible for the dumped or subsidized good. More generally, we fail to see how such a
meaning can be given to the term "against", which, given the substance of Article 18.1 of the Anti-
Dumping Agreement and Article 32.1 of the SCM Agreement , must relate to an idea of opposition,
hostility or adverse effect.
251. A textual analysis of Articles 18.1 and 32.1 supports, rather than defeats, the finding of the
Panel that these provisions are applicable to measur es that do not come into direct contact with the
imported good, or entities responsible for the dumped or subsidized good. We note that Article 18.1refers only to measures that act against "dumping", and that there is no express requirement that themeasure must act against the imported dumped product, or entities responsible for that product.
Likewise, Article 32.1 of the SCM Agreement refers to specific action against "a subsidy", not action
against the imported subsidized product or a responsible entity. The United States' contention isfurther contradicted by the contextual consideration that the SCM Agreement authorizes
multilaterally-sanctioned countermeasures "against" a subsidy, which may consist of indirect actionaffecting other products.
252. Turning to considerations of object and purpose, we do not consider that the object and
purpose of the Anti-Dumping Agreement and of the SCM Agreement , as reflected in Article 18.1 of
the Anti-Dumping Agreement and in Article 32.1 of the SCM Agreement , support the incorporation
into these provisions, through the term "against", of a requirement that the measure must come into
direct contact with the imported good, or the entity responsible for it. Both provisions fulfil a function
189Further support for our view is found in the examples given by the New Shorter Oxford English
Dictionary in relation to this definition:
17. W. O WEN Under his helmet, up against his pack, . . Sleep took him
by the brow and laid him back. R. C HANDLER There was a bar
against the right hand wall.WT/DS217/AB/R
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of limiting the range of actions that a Member may take unilaterally to counter dumping or
subsidization. 190 Excluding from Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of
the SCM Agreement actions that do not come into direct contact with the imported good or the entity
responsible for the dumped or subsidized good, would undermine that function.
253. We, therefore, agree with the Panel that in Article 18.1 of the Anti-Dumping Agreement and
Article 32.1 of the SCM Agreement , there is no requirement that the measure must come into direct
contact with the imported product, or entities connected to, or responsible for, the imported good suchas the importer, exporter, or foreign producer. We also agree with the Panel that the test should focuson dumping or subsidization as practices .
191 Article 18.1 refers only to measures that act against
"dumping"; there is no express requirement that the measure must act against the imported dumped
product, or entities responsible for that product. Likewise, Article 32.1 of the SCM Agreement refers
to specific action against "a subsidy", not to action against the imported subsidized product or aresponsible entity.
254. Recalling the other two elements of the definition of "against" from the New Shorter Oxford
Dictionary relied upon by the United States, namely "of motion or action in opposition" and "in
hostility or active opposition to", to determine whether a measure is "against" dumping or a subsidy,we believe it is necessary to assess whether the design and structure of a measure is such that themeasure is "opposed to", has an adverse bearing on, or, more specifically, has the effect of dissuading
the practice of dumping or the practice of subsidization, or creates an incentive to terminate such
practices. In our view, the CDSOA has exactly those effects because of its design and structure.
255. The CDSOA effects a transfer of financial resources from the producers/exporters of dumped
or subsidized goods to their domestic competitors. This is demonstrated by the following elements of
the CDSOA regime. First , the CDSOA offset payments are financed from the anti-dumping
or countervailing duties paid by the foreign producers/exporters. Second , the CDSOA offset
payments are made to an "affected domestic producer", defined in Section 754(b) of the Tariff Act as"a petitioner or interested party in support of the petition with respect to which an anti-dumping dutyorder, a finding under the Antidumping Act of 1921, or a countervailing duty order has been entered"
and that "remains in operation". In response to our questioning at the oral hearing, the United States
confirmed that the "affected domestic producers" which are eligible to receive payments under theCDSOA, are necessarily competitors of the foreign producers/exporters subject to an anti-dumping or
190See supra , para. 231.
191Panel Report, para. 7.33.WT/DS217/AB/R
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countervail order. Third , under the implementing regulations issued by the United States
Commissioner of Customs ("Customs") on 21 Septem ber 2001, the "qualifying expenditures" of the
affected domestic producers, for which the CDSOA offset payments are made, "must be related to theproduction of the same product that is the subject of the related order or finding, with the exception ofexpenses incurred by associations which must relate to a specific case."
192 Fourth , Customs has
confirmed that there is no statutory or regulatory requirement as to how a CDSOA offset payment toan affected domestic producer is to be spent
193, thus indicating that the recipients of CDSOA offset
payments are entitled to use this money to bolster their competitive position vis-à-vis their
competitors, including the foreign competitors subject to anti-dumping or countervailing duties.
256. All these elements lead us to conclude th at the CDSOA has an adverse bearing on the
foreign producers/exporters in that the imports into the United States of the dumped or subsidizedproducts (besides being subject to anti-dumping or countervailing duties) result in the financing ofUnited States competitors—producers of like products—through the transfer to the latter of the dutiescollected on those exports. Thus, foreign producers/exporters have an incentive not to engage in thepractice of exporting dumped or subsidized products or to terminate such practices. Because theCDSOA has an adverse bearing on, and, more specifically, is designed and structured so that itdissuades the practice of dumping or the practice of subsidization, and because it creates an incentiveto terminate such practices, the CDSOA is undoubtedly an action "against" dumping or a subsidy,
within the meaning of Article 18.1 of the Anti-Dumping Agreement and of Article 32.1 of the
SCM Agreement .
257. We note that the United States challenges what it views as the Panel's incorporation of a
"conditions of competition test" in Article 18.1 of the Anti-Dumping Agreement and in Article 32.1
of the SCM Agreement .
194 In our view, in order to determine whether the CDSOA is "against"
dumping or subsidization, it was not necessary, nor relevant, for the Panel to examine the conditionsof competition under which domestic products and dumped/subsidized imports compete, and to assess
the impact of the measure on the competitive relationship between them. An analysis of the term"against", in our view, is more appropriately centred on the design and structure of the measure; such
19219 C.F.R. § 159.61(c).
193"Distribution of Continued Dumping and Subsidy Offset to Affected Domestic Producers", United
States Federal Register, 21 September 2001 (Volume 66, Number 184), p. 48549.
194United States' appellant's submission, para. 41. The Panel found that the CDSOA is a measure
against dumping or a subsidy because it "has a specific adverse impact on the competitive relationship betweendomestic products and dumped [or subsidized] imports". (Panel Report, para. 7.39) According to the Panel, theCDSOA is against dumping or a subsidy because it affects competition between, on the one hand, dumped orsubsidized products, and, on the other hand, domestic products, to the detriment of the imported products.WT/DS217/AB/R
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an analysis does not mandate an economic assessment of the implications of the measure on the
conditions of competition under which domestic product and dumped/subsidized imports compete.
258. As mentioned above 195, the finding of the Panel that the CDSOA is a measure against
dumping or a subsidy is also based on the view th at the CDSOA provides a financial incentive for
domestic producers to file or support applications for the initiation of anti-dumping and countervailingduty investigations, and that such an incentive will likely result in a greater number of applications,
investigations and orders.
196 We agree with the United States that this consideration is not a proper
basis for a finding that the CDSOA is "against" dumping or a subsidy; a measure cannot be againstdumping or a subsidy simply because it facilitates or induces the exercise of rights that are WTO-
consistent. The Panel's reasoning would give Article 18.1 of the Anti-Dumping Agreement and
Article 32.1 of the SCM Agreement a scope of application that is overly broad. For example, the
Panel's reasoning would imply that a legal aid program destined to support domestic small-sizeproducers in anti-dumping or countervailing duty investigations should be considered a measureagainst dumping or a subsidy within the meaning of Article 18.1 of the Anti-Dumping Agreement
and of Article 32.1 of the SCM Agreement , because it could be argued that such legal aid is a
financial incentive likely to result in a greater number or applications, investigations and orders.
259. The United States also argues that the Panel erred in relying on the stated purpose of the
CDSOA, as expressed in the "Findings of Cong ress" set forth in Section 1002 of the CDSOA, to
support its finding that the CDSOA is a measure against dumping or a subsidy.
197 We note that the
Panel referred to the "Findings of Congress", not as a basis for its conclusion that the CDSOA
constitutes a specific action against dumping or subsidies, but rather as a consideration confirmingthat conclusion.
198 We agree with the Panel that the intent, stated or otherwise, of the legislators is
not conclusive as to whether a measure is "against" dumping or subsidies under Article 18.1 of theAnti-Dumping Agreement or Article 32.1 of the SCM Agreement . Thus, it was not necessary for the
Panel to inquire into the intent pursued by United States legislators in enacting the CDSOA and to
take this into account in the analysis. The text of the CDSOA provides sufficient information on the
structure and design of the CDSOA, that is to say, on the manner in which it operates, to permit an
analysis whether the measure is "against" dumping or a subsidy. Specifically, the text of the
195See supra , para. 230.
196Panel Report, para. 7.42.
197United States' appellant's submission, paras. 80-83. The United States, viewing the statutory
provision entitled "Findings of Congress" as legislative history, stated at the oral hearing that a United States'
court will not look to the legislative history of a statute unless that statute is ambiguous.
198Panel Report, para. 7.41.WT/DS217/AB/R
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CDSOA establishes clearly that, by virtue of that statute, a transfer of financial resources is effected
from the producers/exporters of dumped or subsidized goods to their domestic competitors. Thisessential feature of the CDSOA constitutes, in its elf, the decisive basis for concluding that the
CDSOA is "against" dumping or a subsidy—because it creates the "opposition" to dumping orsubsidization, such that it dissuades such practi ces, or creates an incentive to terminate them.
Therefore, there was no need to examine the in tent pursued by the legislators in enacting the
CDSOA.
199 In our view, however, the Panel did not err in simply noting that the stated legislative
intent, which appears in the statute itself, confirms the conclusion it had reached as to the scope of themeasure.
C. Footnote 24 of the Anti-Dumping Agreem ent and Footnote 56 of the SCM Agreement
260. The United States challenges the way the Panel addressed footnote 24 of the Anti-Dumping
Agreement and footnote 56 of the SCM Agreement , arguing that the Panel erred in declining to
examine the import of the footnotes because it had already determined that the CDSOA was a"specific action" under Article 18.1 of the Anti-Dumping Agreement and under Article 32.1 of the
SCM Agreement . The United States contends that these footnotes permit actions involving dumping
or subsidies consistent with GATT 1994 provisions and not addressed by Article VI of the
GATT 1994, and that these actions are not encompassed by the prohibitions against "specific action"in Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement . In other
words, according to the United States, an action that falls within footnotes 24 and 56 cannot becharacterized as a "specific action" within the meaning of Article 18.1 of the Anti-Dumping
199We discussed the role of the legislative or regulatory intent in Japan – Alcoholic Beverages II ,
where we examined whether a measure is consistent with Article III:2 of the GATT 1 994. We said:
This third inquiry under Article III:2, second sentence, must determine
whether "directly competitive or substitutable products" are "not similarly
taxed" in a way that affords protection. This is not an issue of intent. It is
not necessary for a panel to sort through the many reasons legislators and
regulators often have for what they do and weigh the relative significance of
those reasons to establish legislative or regulatory intent. If the measure is
applied to imported or domestic products so as to afford protection to
domestic production, then it does not matter that there may not have been
any desire to engage in protectionism in the minds of the legislators or theregulators who imposed the measure. It is irrelevant that protectionism wasnot an intended objective if the particular tax measure in question isnevertheless, to echo Article III:1, " applied to imported or domestic
products so as to afford protection to domestic production". This is an issue
of how the measure in question is applied . (original emphasis; underlining
added)
(Appellate Body Report, Japan – Alcoholic Beverages II
, at 119)WT/DS217/AB/R
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Agreement and Article 32.1 of the SCM Agreement , and such action would, therefore, not be WTO-
inconsistent. 200
261. We disagree with this argument. We note, first, that, in US – 1916 Act , we commented on
footnote 24 as follows:
Footnote 24 to Article 18.1 of the Anti-Dumping Agreement states:
This is not intended to preclude action under other
relevant provisions of GATT 1994, as appropriate.
We note that footnote 24 refers generally to "action" and not, as does
Article 18.1, to "specific action against dumping" of exports."Action" within the meaning of footnote 24 is to be distinguished
from "specific action against dumping" of exports, which is governed
by Article 18.1 itself.
201
262. The United States' reasoning is tantamount to treating footnotes 24 and 56 as the primary
provisions, while according Articles 18.1 and 32.1 residual status. This not only turns the normalapproach to interpretation on its head, but it also runs counter to our finding in US – 1916 Act . In that
case, we provided guidance for determining whether an action is specific to dumping (or to a
subsidy): an action is specific to dumping (or a subsidy) when it may be taken only when the
constituent elements of dumping (or a subsidy) are present, or, put another way, when the measure isinextricably linked to, or strongly correlates w ith, the constituent elements of dumping (or of a
subsidy). This approach is based on the texts of Article 18.1 of the Anti-Dumping Agreement and
of Article 32.1 of the SCM Agreement , and not on the accessory footnotes. Footnotes 24 and 56 are
clarifications of the main provisions, added to avoid ambiguity; they confirm what is implicit inArticle 18.1 of the Anti-Dumping Agreement and in Article 32.1 of the SCM Agreement , namely,
that an action that is not "specific" within the meaning of Article 18.1 of the Anti-Dumping
Agreement and of Article 32.1 of the SCM Agreement , but is nevertheless related to dumping or
subsidization, is not prohibited by Article 18.1 of the Anti-Dumping Agreement or Article 32.1 of the
SCM Agreement .
200United States' appellant's submission, paras. 25-29.
201Appellate Body Report, US – 1916 Act , para. 123.WT/DS217/AB/R
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D. Whether the CDSOA is in Accordance with the WTO Agreement
263. Having determined that the CDSOA is a "specific action against" dumping or a subsidy
within the meaning of Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement , we move to the next step of our analysis, which is to determine whether the action
is "in accordance with the provisions of the GATT 1994, as interpreted by" the Anti-Dumping
Agreement or the SCM Agreement .
1. The Anti-Dumping Agreement
264. We interpreted "provisions of GATT 1994" as referred to in Article 18.1 of the Anti-
Dumping Agreement in US – 1916 Act . In particular, we stated that the "provisions" are, in fact, the
provisions of Article VI of the GATT 1994 concerning dumping:
We recall that footnote 24 to Article 18.1 refers to " other relevant
provisions of GATT 1994". These terms can only refer to provisionsother than the provisions of Article VI concerning dumping.
Footnote 24 thus confirms that the "provisions of GATT 1994"
referred to in Article 18.1 are in fact the provisions of Article VI of
the GATT 1994 concerning dumping.
202
(original emphasis)
265. We also stated in that appeal that "Article VI, and, in particular, Article VI:2, read in
conjunction with the Anti-Dumping Agreement , limit the permissible responses to dumping to
definitive anti-dumping duties, provisional measures and price undertakings." 203 A s C D S O A
offset payments are not definitive anti-dumping duties, provisional measures or price undertakings,we conclude, in the light of our finding in US – 1916 Act , that the CDSOA is not "in accordance with
the provisions of the GATT 1994, as interpreted by" the Anti-Dumping Agreement. I t follows that
the CDSOA is inconsistent with Article 18.1 of that Agreement.
2. The SCM Agreement
266. As regards subsidization, the United States argues that Article VI:3 of the GATT 1994, read
in conjunction with Article 10 of the SCM Agreement , does not limit the permissible remedies for
subsidies to duties. The United States submits th at the legal regime governing permissible responses
to dumping is different from that governing the perm issible responses to subsidization. Therefore, it
is inappropriate to rely on the reasoning from US – 1916 Act to determine what is meant by "in
202Appellate Body Report, US – 1916 Act , para. 125.
203Ibid., para. 137.WT/DS217/AB/R
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accordance with the provisions of the GATT 1994" as that phrase relates to permissible responses to
subsidies.
267. The United States also submits that the CDSOA is in accordance with Article VI:3 of the
GATT 1994 and the provisions of Part V of the SCM Agreement , because those provisions do not
encompass all measures taken against subsidization; they contemplate only countervailing duties
(and by implication, provisional measures and price undertakings). 204 Thus, it cannot properly be
concluded that the CDSOA violates Article VI:3 of the GATT 1994 or the provisions of Part V of theSCM Agreement , because the CDSOA offset payments are not countervailing duties (or provisional
measures or price undertakings), and, therefore, do not constitute an action covered by these
provisions. In support of its submissions, the United States contrasts the language of Article VI:2 of
the GATT 1994 and Article 1 of the Anti-Dumping Agreement with Article VI:3 of the GATT 1994
and Article 10 of the SCM Agreement .
205 The United States argues, on the basis of textual
differences, that the conclusion we reached in US – 1916 Act that Article VI of the GATT 1994
encompasses all measures taken against dumping, was based on the specific language of Article VI:2of the GATT 1994 and Article 1 of the Anti-Dumping Agreement . Therefore, according to the United
States, such a conclusion should not be extended to the textually different subsidy provisions ofArticle VI of the GATT 1994 and of Part V of the SCM Agreement , which are limited to the
imposition of countervailing duties (and by implication, provisional duties and price undertakings). In
particular, the United States argues that the permissible responses to dumping are limited to definitive
anti-dumping duties, provisional measures and price undertakings, because Article 1 of the Anti-
Dumping Agreement refers to anti-dumping measures , a generic expression that encompasses all
measures taken against dumping, and not only duties. Article 10 of the SCM Agreement , by contrast,
refers to countervailing duties , and thus only countervailing duties (and, by implication, provisional
duties and price undertakings) are governed by Article VI:3 of the GATT 1994 and Part V of the SCM
Agreement .
204United States' appellant's submission, paras. 84-92.
205The United States contrasts the terms "may levy … an anti-dumping duty" in Article VI:2 with "[n]o
countervailing duty shall be levied" in Article VI:3; the United States also contrasts the reference to an
"antidumping measure" and to "action … taken under anti-dumping legislation or regulations" in Article 1 of the Anti-Dumping Agreement with the use of the expression "countervailing duty" and "countervailing duties" in
Article 10 of the SCM Agreement . (United States' appellant's submission, para. 87)WT/DS217/AB/R
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268. We disagree with these submissions for the following reasons. As the Panel noted, our
analysis in US – 1916 Act "was not based on any particular AD provision in isolation, but on the AD
Agreement as a whole." 206 We agree with the Panel that:
Since the Appellate Body's analysis [in US – 1916 Act ] was not
based exclusively on AD Article 1, we fail to see why a different
approach should apply in respect of the permissible responses tosubsidization, simply because of a difference between the text of AD
Article 1 and SCM Article 10. In identifying the permissible
responses to subsidization, we consider it important to have regard
to the type of remedies foreseen by the SCM Agreement .
207 (emphasis
added)
As pointed out above, Article 32.1 of the SCM Agreement is identical in terminology and structure to
Article 18.1 of the Anti-Dumping Agreement , except for the reference to subsidy instead of dumping.
We endorse Canada's contention that "[t]his identical wording gives rise to a strong interpretativepresumption that the two provisions set out the same obligation or prohibition."
208
269. Article VI of the GATT 1994 and the Anti-Dumping Agreement identify three responses to
dumping, namely, definitive anti-dumping duties, provisional measures and price undertakings. Noother response is envisaged in the text of Article VI of the GATT 1994, or the text of the Anti-
Dumping Agreement . Therefore, to be in accordance with Article VI of the GATT 1994, as
interpreted by the Anti-Dumping Agreement , a response to dumping must be in one of these three
forms. We confirmed this in US – 1916 Act . We fail to see why similar reasoning should not apply
to subsidization. The GATT 1994 and the SCM Agreement provide four responses to a
countervailable subsidy: (i) definitive countervailing duties; (ii) provisional measures; (iii) price
undertakings; and (iv) multilaterally-sanctioned countermeasures under the dispute settlement
system. No other response to subsidization is envisaged in the text of the GATT 1994, or in the textof the SCM Agreement . Therefore, to be "in accordance with the GATT 1994, as interpreted by" the
SCM Agreement , a response to subsidization must be in one of those four forms.
270. We note that interpreting these provisions as limiting the permissible responses to a
countervailable subsidy to the four remedies envisaged in the SCM Agreement and the GATT 1994
is consistent with footnote 35 to Article 10 of the SCM Agreement , and with the function of
Article 32.1 of the SCM Agreement . Footnote 35 reads as follows:
206Panel Report, para. 7.7.
207Ibid.
208Canada's appellee's submission, para. 78.WT/DS217/AB/R
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The provisions of Part II or III may be invoked in parallel with the
provisions of Part V; however, with regard to the effects of a
particular subsidy in the domestic market of the importing Member,
only one form of relief (either a countervailing duty, if therequirements of Part V are met, or a countermeasure under Articles
4 or 7) shall be available . The provisions of Parts III and V shall not
be invoked regarding measures considered non-actionable in
accordance with the provisions of Part IV. However, measures
referred to in paragraph 1(a) of Article 8 may be investigated in order
to determine whether or not they are specific within the meaning of
Article 2. In addition, in the case of a subsidy referred to inparagraph 2 of Article 8 conferred pursuant to a programme which
has not been notified in accordance with paragraph 3 of Article 8, the
provisions of Part III or V may be invoked, but such subsidy shall be
treated as non-actionable if it is found to conform to the standards set
forth in paragraph 2 of Article 8. (emphasis added)
It is appropriate to emphasize the phrase "only one form of relief (either a countervailing duty, if the
requirements of Part V are met, or a countermeasure under Articles 4 or 7) shall be available." Itexpressly sets out two forms of specific action, and provides that WTO Members may choose to applyone or the other against a subsidy. The assumption underlying the requirements of footnote 35 is that
remedies under the SCM Agreement are limited to countervailing duties (and, by implication,
provisional measures and price undertakings), explicitly envisaged in Part V of the SCM Agreement ,
and to countermeasures under Articles 4 and 7 of the SCM Agreement . Footnote 35 requires WTO
Members to choose between two forms of remedy ; such a requirement would be meaningless if
responses to a countervailable subsidy, other than definitive countervailing duties, provisionalmeasures, price undertakings and multilaterally-sanctioned countermeasures, were permitted underthe GATT 1994 and the SCM Agreement .
271. Moreover, Article 32.1 of the SCM Agreement limits the range of actions a WTO Member
may take unilaterally to counter subsidization. Restricting available unilateral actions against
subsidization to those expressly provided for in the GATT 1994 and in the SCM Agreement is
consistent with this function. The United States' reasoning would deprive Article 32.1 of theSCM Agreement of effectiveness. As we have stated on many occasions, the internationally
recognized interpretive principle of effectiv eness should guide the interpretation of the WTO
Agreement
209, and, under this principle, provisions of the WTO Agreement should not be interpreted
in such a manner that whole clauses or paragraphs of a treaty would be reduced to redundancy or
209See Appellate Body Report, US – Gasoline , at 21; Appellate Body Report, Japan – Alcoholic
Beverages II , at 106; Appellate Body Report, US – Underwear , at 24; Appellate Body Report, US – Shrimp ,
para. 131 (referencing various authors); Appellate Body Report, Korea – Dairy , para. 81; Appellate Body
Report, Canada – Dairy , para. 133; and Appellate Body Report, Argentina – Footwear (EC ), para. 88.WT/DS217/AB/R
WT/DS234/AB/R
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inutility. 210 Accepting the United States' contention that Article VI:3 of the GATT 1994 and Part V of
the SCM Agreement cover only countervailing duties would render Article 32.1 of the SCM
Agreement redundant or inutile, because, under the United States' approach, Article 32.1 of the SCM
Agreement would not provide additional discipline. Thus, a violation of Article 32.1 would flow only
from a violation of another provision; violating Article 32.1 would be only a mechanical consequence
of a violation of another provision.
272. Furthermore, Article 32.1 of the SCM Agreement would be inutile with respect to "specific
action[s] against a subsidy" other than countervailing duties, as it would be impossible, in such case,to find a violation of Article 32.1. Given that Ar ticle VI:3 of the GATT 1994 and Part V of the SCM
Agreement would, under the United States' reasoning, be limited to countervailing duties, such
specific actions would always be in accordance with Article VI:3 of the GATT 1994 and Part V of theSCM Agreement and, therefore, consistent with Article 32.1. Consequently, we reject the United
States' contention that Article VI:3 of the GATT 1994 and Part V of the SCM Agreement encompass
only countervailing duties.
273. In our view, Article VI:3 of the GATT 1994 and Part V of the SCM Agreement encompass
all measures taken against subsidization. To be in accordance with the GATT 1994, as interpreted
by the SCM Agreement , a response to subsidization must be either in the form of definitive
countervailing duties, provisional measures or price undertakings, or in the form of multilaterally-
sanctioned countermeasures resulting from resort to the dispute settlement system. As the
CDSOA does not correspond to any of the responses to subsidization envisaged by the GATT 1994and the SCM Agreement , we conclude that it is not in accordance with the provisions of the
GATT 1994, as interpreted by the SCM Agreement , and that, therefore, the CDSOA is inconsistent
with Article 32.1 of the SCM Agreement .
274. Accordingly, we uphold, albeit for different reasons, the finding of the Panel that the
CDSOA is a non-permissible specific action against dumping or a subsidy, contrary to Article 18.1 ofthe Anti-Dumping Agreement and Article 32.1 of the SCM Agreement .
210See Appellate Body Report, US – Gasoline , at 21; Appellate Body Report, Japan – Alcoholic
Beverages II , at 106; Appellate Body Report, Korea – Dairy , para. 80; Appellate Body Report, Canada – Dairy ,
para. 133; Appellate Body Report, Argentina – Footwear (EC) , para. 88; and Appellate Body Report,
US – Section 211 Appropriations Act , paras. 161 and 338.WT/DS217/AB/R
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VIII. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement
275. We turn now to examine whether the CDSOA is inconsistent with Article 5.4 of the Anti-
Dumping Agreement and Article 11.4 of the SCM Agreement .
276. First, we consider the Panel's findings under Article 5.4 of the Anti-Dumping Agreement and
Article 11.4 of the SCM Agreement , and then we examine whether the Panel's interpretation of those
provisions is consistent with the customary rules of interpretation codified in Articles 31 and 32 of the
Vienna Convention on the Law of Treaties (the " Vienna Convention "). In doing so, we begin with the
words of Articles 5.4 and Article 11.4 and then turn to the object and purpose of the Anti-Dumping
Agreement and the SCM Agreement . As a separate matter, we address the Panel's application of the
principle of good faith.
A. The Panel's Findings on the Interpretation of Articles 5.4 and 11.4
277. The Panel's findings under Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of
the SCM Agreement may be summarized as follows. The Panel found that the CDSOA provides a
financial incentive for domestic producers to file or support applications for the initiation of anti-
dumping or countervailing duty investigations, because offset payments are made only to producersthat file or support such applications. Accord ing to the Panel, the CDSOA will result in more
applications having the required level of support from domestic industry than would have been thecase without the CDSOA, and that "given the low costs of supporting a petition, and the strong
likelihood that all producers will feel obliged to keep open their eligibility for offset payments forreasons of competitive parity, … the majority of petitions will achieve the levels of supportrequired"
211 under Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM
Agreement . In reaching its conclusion, the Panel relied, inter alia , on a letter in which a "US
producer seeks support from other producers for a proposed countervail application ... and states that'if the [CDSOA] is … applicable here, the total amount available to US lumber producers could bevery large – easily running into hundreds of millions of dollars a year.'"
212 The Panel also referred to
another letter in which a domestic producer indicates, according to the Panel, that it changed itsposition concerning an application by deciding to express support for that application "in order toremain eligible for possible offset payment subsidies".
213 In the Panel's view, "these letters are
211Panel Report, para. 7.62.
212Ibid., para. 7.45 and footnote 304 thereto.
213Panel Report, para. 7.62.WT/DS217/AB/R
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evidence of the inevitable impact of the CDSOA on the position of the domestic industry vis-à-vis
anti-dumping/countervail applications." 214
278. Notwithstanding these findings, the Panel agreed with the United States' argument that
Article 5.4 of the Anti-Dumping Agreement "requires only that the statistical thresholds be met, and
imposes no requirement that the investigating authorities inquire into the motives or intent of adomestic producer in electing to support a petition".
215 The Panel went on to conclude, however, that
this argument did not "address the matter at issue" because "the operation of the CDSOA … is[such] that it renders the quantitative tests included in [Articles 5.4 and 11.4] irrelevant"
216 and
"den[ies] parties potentially subject to the investigation a meaningful test of whether the petition has
the required support of the industry." 217 According to the Panel, in doing so, the CDSOA "recreates
the spectre of an investigation being pursued where only a few domestic producers have been affectedby the alleged dumping, but industry support is forthcoming because of the prospect of offsetpayments being distributed."
218 The Panel concluded that the CDSOA "may be regarded as having
undermined the value of AD Article 5.4/SCM Article 11.4 to the countries with whom the UnitedStates trades, and the United States may be regarded as not having acted in good faith in promotingthis outcome."
219
279. Turning to what it identified as the "object and purpose" of Article 5.4 of the Anti-Dumping
Agreement and Article 11.4 of the SCM Agreement , the Panel found that those provisions require
investigating authorities "to examine the degree of support which exists for an application and to
determine whether the application was thus filed by or on behalf of the domestic industry." 220 The
Panel appears to have found that the CDSOA "defeats this object and purpose" 221 by implying a
return to the situation which existed before the introduction of Articles 5.4 and 11.4. According to thePanel, those Articles were "introduced precisely to ensure that support was not just assumed to existbut actually existed, and that the support expressed by domestic producers was evidence of theindustry-wide concern of injury being caused by dumped or subsidized imports."
222
214Panel Report, para. 7.62.
215Ibid., para. 7.63.
216Ibid.
217Ibid.
218Ibid.
219Ibid.
220Ibid., para. 7.64.
221Ibid., paras. 7.64-7.65.
222Ibid., para. 7.65.WT/DS217/AB/R
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280. The Panel went on to conclude that the CDSOA "in effect mandates" 223 domestic producers
to support applications for the initiation of anti-dumping and countervailing duties by making suchsupport "a prerequisite for receiving offset payments"
224 and thus renders the threshold test of
Articles 5.4 and 11.4 "completely meaningless". 225 Accordingly, the Panel found that the CDSOA is
inconsistent with Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM
Agreement .
B. The Meaning of Articles 5.4 and 11.4
281. At the outset, we express our concern with the Panel's approach in interpreting Article 5.4 of
the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement . Specifically, we fail to see
how the Panel's interpretation of those provisions ma y be said to be based on the ordinary meaning of
the words found in those provisions, and hence we do not believe the Panel properly applied theprinciples of interpretation codified in the Vienna Convention . It is well settled that Article 3.2 of the
DSU requires the application of those principles.
226 Article 31(1) of the Vienna Convention provides
in relevant part that:
… [a] treaty shall be interpreted in good faith in accordance with the
ordinary meaning to be given to the terms of the treaty in their
context and in the light of its object and purpose.
Thus, the task of interpreting a treaty provision must begin with the specific words of that provision.
Accordingly, we turn first to the texts of Article 5.4 of the Anti-Dumping Agreement and Article 11.4
of the SCM Agreement . Those provisions are identical and provide, in relevant part, that:
223Panel Report, para. 7.66.
224Ibid.
225Ibid.
226Similarly, Article 17.6 (ii) of the Anti-Dumping Agreement provides that "the panel shall interpret
the relevant provisions of the Agreement in accordance with the customary rules of interpretation of public
international law."WT/DS217/AB/R
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An investigation shall not be initiated … unless the authorities have
determined … that the application has been made by or on behalf of
the domestic industry. The application shall be considered to have
been made "by or on behalf of the domestic industry" if it issupported by those domestic producers whose collective output
constitutes more than 50 per cent of the total production of the like
product produced by that portion of the domestic industry expressing
either support for or opposition to the application. However, no
investigation shall be initiated when domestic producers expressly
supporting the application account for less than 25 per cent of total
production of the like product produced by the domestic industry.(footnotes omitted)
282. Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement thus
require investigating authorities to "determine" whether an application for the initiation of an
investigation has been "made by or on behalf of the domestic industry". If a sufficient number ofdomestic producers has "expressed support" and the thresholds set out in Articles 5.4 and 11.4 havetherefore been met, the "application shall be considered to have been made by or on behalf of thedomestic industry". In such circumstances, an investigation may be initiated.
283. A textual examination of Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement reveals that those provisions contain no requirement that an investigating authority
examine the motives of domestic producers that elect to support an investigation.
227 N o r d o t h e y
contain any explicit requirement that support be based on certain motives, rather than on others. The
use of the terms "expressing support" and "expressly supporting" clarify that Articles 5.4 and 11.4
require only that authorities "determine" that support has been "expressed" by a sufficient number ofdomestic producers. Thus, in our view, an "examination" of the "degree" of support, and not the"nature" of support is required. In other words, it is the "quantity", rather than the "quality", ofsupport that is the issue.
284. We observe that the Panel appears to have arrived at the same conclusion when it conducted
its examination of the texts of Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement . Specifically, the Panel concluded that the United States was correct in arguing that
Article 5.4 of the Anti-Dumping Agreement "requires only that the statistical thresholds be met, and
imposes no requirement that the investigating authorities inquire into the motives or intent of a
domestic producer in electing to support a petition".
228 Thus, it seems that, on the basis of a textual
analysis of Articles 5.4 and 11.4, the Panel did not find that the CDSOA constitutes a violation of
227We note that the parties' submissions do not suggest otherwise.
228Panel Report, para. 7.63.WT/DS217/AB/R
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those provisions. The Panel went on to note, however, that this was not the "matter at issue". 229
Instead, according to the Panel, the question was whether the CDSOA "defeats" what it identified as
the object and purpose of Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM
Agreement . 230
285. As mentioned above, we have difficulty with the Panel's approach. Clearly, the matter at
issue before the Panel included whether the CDSOA is inconsistent with the Anti-Dumping
Agreement and the SCM Agreement in the light of their object and purpose, since interpreting
Articles 5.4 and 11.4 involves an inquiry into the object and purpose of those Agreements. In ourview, however, the Panel dismissed all too quickly the textual analysis of those provisions as
irrelevant.
286. We conclude, therefore, that the texts of Article 5.4 of the Anti-Dumping Agreement and
Article 11.4 of the SCM Agreement do not support the reasoning of the Panel. By their terms, those
provisions require no more than a formal examination of whether a sufficient number of domesticproducers have expressed support for an application.
287. Having said this, we turn next to examine what the Panel identified as the "object and
purpose" of Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement .
288. According to the Panel, Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement have as their "object and purpose" to require investigating authorities "to examine
the degree of support which exists for an application and to determine whether the application was
thus filed by or on behalf of the domestic industry".
231 The Panel appears to have found that the
CDSOA defeats this "object and purpose" because it "in fact implies a return to the situation whichexisted before the introduction of [Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of
the SCM Agreement
]." 232 We understand the Panel to have suggested that the CDSOA "implies a
229Panel Report, para. 7.63.
230Ibid., para. 7.64.
231Ibid.
232Ibid., para. 7.65.WT/DS217/AB/R
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return" to the situation in which an application could be "presumed" to have been made by or on
behalf of the domestic industry. 233
289. We do not agree with the Panel's analysis. By their terms, Articles 5.4 and 11.4 do not permit
investigating authorities to "presume" that indus try support for an application exists. For the
thresholds set out in Articles 5.4 and 11.4 to be met, a sufficient number of domestic producers musthave "expressed support" for an application. The CDSOA does not change the fact that investigatingauthorities are required to examine the "degree of support" that exists for an application and that an
application shall be considered to have been made "by or on behalf of the domestic industry" only ifsufficient support has been "expressed".
234 Hence, we do not agree with the Panel that the CDSOA
has "defeated" the object and purpose of Articles 5.4 and 11.4, even if we were to assume that the
Panel's understanding of such object and purpose was correct. For the same reason, we also do notagree with the Panel that the CDSOA renders the quantitative threshold tests included in Articles 5.4and 11.4 "irrelevant"
235 and "completely meaningless." 236
290. The Panel also took the view that Articles 5.4 and Article 11.4 "[were] introduced precisely to
ensure … that support expressed by domestic producers was evidence of industry-wide concern of
injury ". 237 Although we agree with the Panel that support expressed by domestic producers may be
evidence of an "industry-wide concern of injury", we do not agree that such support may be taken tobe evidence of such concern alone. Nor do we see anything in Articles 5.4 or 11.4 that would require
support to be based on that concern alone . Indeed, there may be a number of reasons why a domestic
producer could choose to support an investigation. For example, it may do so in the expectation thatthe protection afforded by future anti-dumping or countervailing duties would improve its competitiveposition in relation to importers of like foreign products. The Panel appears, however, to have
233The Panel notes in this respect the argument advanced by the European Communities, India,
Indonesia and Thailand that Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement
"were introduced in response to the controversial practice of the United States authorities of presuming that an
application was made by or on behalf of the domestic industry unless a major proportion of the domesticindustry expressed active opposition to the petition." (P anel Report, para. 7.61, referring to the European
Communities', India's, Indonesia's and Thailand's first written submission to the Panel, footnote 49; underliningadded). In our view, this is not, in itself, sufficient evidence of the "object and purpose" of Articles 5.4and 11.4.
234In this respect, we note that the United States does not contest that it continues to be bound by the
obligation set out in Articles 5.4 and 11.4 to ensure that anti-dumping and countervailing duty cases are notinitiated unless the levels of support set out in Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of
the SCM Agreement are met. (See United States' second written submission before the Panel, para. 81)
235Panel Report, para. 7.63.
236Ibid., para. 7.66.
237Ibid., para. 7.65. (emphasis added)WT/DS217/AB/R
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considered that certain motives to support an application would be WTO-consistent, whereas others
would not. We see no basis in Articles 5.4 and 11.4 for such an approach.
291. As we have noted, Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement contain no requirement for investigating authorities to examine the motives of
producers that elect to support (or to oppose) an application. Indeed, it would be difficult, if notimpossible, as a practical matter, to engage in that exercise.
292. The Panel found that the CDSOA "will result"
238 in more applications having the required
level of support from domestic industry than would have been the case without the CDSOA andstated that "given the low costs of supporting a petition, and the strong likelihood that all producers
will feel obliged to keep open their eligibility for offset payments for reasons of competitive parity", it
"could conclude that the majority of petitions will achieve the levels of support required under AD
Article 5.4/ SCM Article 11.4."
239 The evidence contained in the Panel record, however, does not
support the overreaching conclusion that "the majority of petitions will achieve the levels of supportrequired" under Articles 5.4 and 11.4 as a result of the CDSOA. Indeed, we note that, in its first
written submission to the Panel, the United States explained that "it is rare for domestic producers inthe United States not to have sufficient industry support in filing antidumping or countervailing duty
petitions."
240 In support of its statement, the United States submitted to the Panel a survey 241 that
shows, for example, that during the year prior to the enactment of the CDSOA, all of the
applications that were filed met the legal thresholds for support. 242
293. We also believe that the Panel had no basis for stating that the CDSOA as such "in effect
mandates domestic producers to support the application." 243 Even assuming that the CDSOA may
238Panel Report, para. 7.62.
239Ibid. (emphasis added)
240United States' first written submission to the Panel, para. 125.
241Exhibit US-6 before the Panel.
242In paragraph 116 of its appellant's submission, the United States also relies on the argument that a
domestic producer can qualify for receipt of possible offset payments by expressing support as late as "the final
injury investigation questionnaire, which can be issued more than 200 days after a petition is filed." Although
we note that support, for purposes of qualifying for CDSOA distributions, need not necessarily be expressed
prior to initiation of the investigation, the incentive to express support may well exist at the stage of the
initiation of the investigation. This is because if an investigation is not initiated, for example, due to lack ofsupport, that investigation cannot, by definition, lead to a finding of dumping or subsidization and later toCDSOA distributions. This, however, does not affect our conclusion that Articles 5.4 and 11.4 do not require
investigating authorities to determine the motivations of producers that choose to support an anti-dumping or
countervailing duty investigation (or indeed the motivations of producers that choose to oppose such
investigations).
243Panel Report, para. 7.66. (emphasis added)WT/DS217/AB/R
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create a financial incentive for domestic producers to file or to support an application 244, it would not
be correct to say that the CDSOA as such "mandates" or "obliges" producers to do so. The fact that a
measure provides an "incentive" to act in a certain way, does not mean that it "in effect mandates" or"requires" a certain form of action. Indeed, we are not considering here a measure that would"coerce" or "require" domestic producers to support an application. Such a measure might well befound to be WTO-inconsistent. It could be considered, inter alia , to circumvent the obligations
contained in Article 5.6 of the Anti-Dumping Agreement and Article 11.6 of the SCM Agreement
not to initiate an investigation without a written application "by or on behalf of the domestic industry"except when the conditions set out in those provis ions have been met. However, the CDSOA is not
such a measure.
294. For all these reasons, we reverse the Panel's finding that the CDSOA, as such , is inconsistent
with Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement .
C. The Panel's Conclusion on Good Faith
295. We address now the Panel's conclusion, in paragraph 7.63 of the Panel Report, that "the
United States may be regarded as not having acted in good faith" with respect to its obligations under
Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the SCM Agreement . However,
given our conclusion that the CDSOA does not constitute a violation of Article 5.4 of the Anti-
Dumping Agreement and Article 11.4 of the SCM Agreement , the issue of whether the United States
"may be regarded as not having acted in good faith" in enacting the CDSOA does not have therelevance it had for the Panel.
296. On appeal, the United States maintains that there is "no basis or justification in the WTO
Agreement for a WTO dispute settlement panel to conclude that a Member has not acted in goodfaith, or to enforce a principle of good faith as a substantive obligation agreed to by WTOMembers."
245 We observe that Article 31(1) of the Vienna Convention directs a treaty interpreter to
interpret a treaty in good faith in accordance with th e ordinary meaning to be given to the terms of the
treaty in their context and in the light of the treaty's object and purpose. The principle of good faithmay therefore be said to inform a treaty interpreter' s task. Moreover, performance of treaties is also
governed by good faith. Hence, Article 26 of the Vienna Convention , entitled Pacta Sunt Servanda ,
to which several appellees referred in their submissions
246, provides that "[e]very treaty in force is
244We consider this to be a factual finding of the Panel.
245United States' appellant's submission, para. 105.
246Canada's appellee's submission, para. 101; the European Communities', India's, Indonesia's and
Thailand's appellees' submission, para. 146; Ja pan's and Chile's appellee's submission, para. 96.WT/DS217/AB/R
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binding upon the parties to it and must be performed by them in good faith." 247 The United States
itself affirmed "that WTO Members must uphold their obligations under the covered agreements ingood faith".
248
297. We have recognized the relevance of the principle of good faith in a number of cases. Thus,
in US – Shrimp , we stated that:
The chapeau of Article XX is, in fact, but one expression of the
principle of good faith. This principle, at once a general principle of
law and a general principle of international law, controls the exercise
of rights by states. 249
In US – Hot-Rolled Steel , we found that:
… the principle of good faith … informs the provisions of the
Anti-Dumping Agreement , as well as the other covered
agreements. 250
Clearly, therefore, there is a basis for a dispute settlement panel to determine, in an appropriate case,
whether a Member has not acted in good faith.
298. Nothing, however, in the covered agreements supports the conclusion that simply because a
WTO Member is found to have violated a substantive treaty provision, it has therefore not acted in
good faith. In our view, it would be necessary to prove more than mere violation to support such a
conclusion.
299. The evidence in the Panel record does not, in our view, support the Panel's statement that the
United States "may be regarded as not having acted in good faith". We are of the view that the Panel'sconclusion is erroneous and, therefore, we reject it.
247The United States said, in response to questioning at the oral hearing, that it has no difficulty with
the notion that Article 26 of the Vienna Convention expresses a customary international law principle.
248United States' second written submission before the Panel, para. 81. The United States reiterated this
point in response to questioning at the oral hearing. See also, Appellate Body Report, EC – Sardines , para. 278.
249Appellate Body Report, US – Shrimp , para. 158. See also, Appellate Body Report, US – FSC ,
para. 166.
250Appellate Body Report, US – Hot-Rolled Steel , para. 101.WT/DS217/AB/R
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IX. Article XVI:4 of the WTO Agreement , Article 18.4 of the Anti-Dumping Agreement ,
Article 32.5 of the SCM Agreement and Article 3.8 of the DSU
300. The United States asks that we reverse the Panel's finding that the CDSOA violates
Article XVI:4 of the WTO Agreement on the grounds that the CDSOA is consistent with
Articles VI:2 and VI:3 of the GATT 1994, Articles 5.4, 18.1 and 18.4 of the Anti-Dumping
Agreement , and Articles 11.4, 32.1 and 32.5 of the SCM Agreement . For the same reason, the United
States requests that we reverse the Panel's finding that the benefits accruing to the appellees underthe WTO Agreement have been nullified or impaired.
251
301. Article 18.4 of the Anti-Dumping Agreement and Article 32.5 of the SCM Agreement
provide that "[e]ach Member shall take all necessary steps, of a general or particular character, toensure … the conformity of its laws, regulations and administrative procedures with the provisions ofthis Agreement". Similarly, Article XVI:4 of the WTO Agreement provides that "[e]ach Member
shall ensure the conformity of its laws, regulations and administrative procedures with its obligations
as provided in the annexed Agreements", which include the Anti-Dumping Agreement and the SCM
Agreement .
302. As a consequence of our finding that the United States has acted inconsistently with
Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement , we uphold
the Panel's finding that the United States has failed to comply with Article 18.4 of the Anti-Dumping
Agreement , Article 32.5 of the SCM Agreement and Article XVI:4 of the WTO Agreement .
303. Article 3.8 of the DSU provides, in relevant part, that:
In cases where there is an infringement of the obligations assumed
under a covered agreement, the action is considered prima facie to
constitute a case of nullification or impairment.
304. We conclude that, to the extent we have found that the CDSOA is inconsistent with
Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the SCM Agreement , the CDSOA
nullifies or impairs benefits accruing to the appellees in this dispute under those Agreements.
251United States' appellant's submission, para. 133.WT/DS217/AB/R
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X. Article 9.2 of the DSU
305. The United States claims on appeal that the Panel acted inconsistently with Article 9.2 of the
DSU by denying the United States' request for a separate panel report on the dispute brought byMexico.
306. The Panel took the view that, although Article 9.2 of the DSU provides a general right to
WTO Members to request a separate report, such requests "should be made in a timely manner, since
any need to prepare separate reports may affect the manner in which a panel organises its
proceedings."
252 The Panel added that, in its view, "such requests should be made at an early juncture
in the panel process, preferably at the time that a panel is established." 253 Turning to the case at
hand, the Panel observed that "the US request was received on 10 June 2002, approximately twomonths after issuance of the descriptive part of the Panel's report"
254 and that the United States had
provided "no explanation of why it was unable to submit its request at an earlier date". 255 The Panel
also noted that the United States had not referred to any prejudice that it would suffer if the Panelwere not to issue a separate report on the dispute brought by Mexico.
307. Based on these considerations, the Panel concluded:
… that the preparation of a separate report on the dispute brought by
Mexico would delay issuance of the Panel's interim report. Although
the United States only requested a separate final report, we are not
prepared to issue a separate final report without also issuing a
separate interim report. This is because we are not entitled to issue a
final report on the dispute brought by Mexico without first having
issued an interim report on that dispute. Otherwise Mexico would be
denied its right to request a review of precise aspects of its interim
report (DSU Article 15.2). 256 (original underlining)
Accordingly, the Panel rejected the United States' request. 257
308. The United States appeals this finding of the Panel. The United States submits that
Article 9.2 of the DSU gives WTO Members an "unqualified right to the issuance of separate panel
252Panel Report, para. 7.4.
253Ibid.
254Ibid.
255Ibid.
256Ibid., para. 7.5.
257Ibid., para. 7.6. In paragraphs 6.3-6.5 of its Report, the Panel provides further argumentation for
why it rejected the United States' request.WT/DS217/AB/R
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reports upon request". 258 According to the United States, Article 9.2 contains no requirement for a
party to make its request for a separate panel report by any particular time in the panel proceeding.Nor does it require any party to demonstrate that it would suffer prejudice if its request is notaccepted.
309. In our analysis of this issue, we begin by examining the ordinary meaning of the text of
Article 9.2 of the DSU which provides, in relevant part, that:
The [ ] panel shall organize its examination and present its findings
to the DSB in such a manner that the rights which the parties to thedispute would have enjoyed had separate panels examined the
complaints are in no way impaired. If one of the parties to the
dispute so requests, the panel shall submit separate reports on the
dispute concerned. (emphasis added)
310. By its terms, Article 9.2 accords to the requesting party a broad right to request a separate
report. The text of Article 9.2 does not make this right dependent on any conditions. Rather,
Article 9.2 explicitly provides that a panel "shall" submit separate reports "if one of the parties to thedispute so requests". Thus the text of Article 9.2 of the DSU contains no requirement for the requestfor a separate panel report to be made by a certain time . We observe, however, that the text does not
explicitly provide that such requests may be made at any time .
311. Having made these observations, we note that Article 9.2 must not be read in isolation from
other provisions of the DSU, and without taking into account the overall object and purpose of that
Agreement. The overall object and purpose of the DS U is expressed in Article 3.3 of that Agreement
which provides, relevantly, that the "prompt settlement" of disputes is "essential to the effectivefunctioning of the WTO." If the right to a separate panel report under Article 9.2 were "unqualified",this would mean that a panel would have the obligat ion to submit a separate panel report, pursuant to
the request of a party to the dispute, at any time during the panel proceedings . Moreover, a request
for such a report could be made for whatever reason—or indeed, without any reason —even on the
day that immediately precedes the day the panel report is due to be circulated to WTO Members atlarge. Such an interpretation would clearly unde rmine the overall object and purpose of the DSU to
ensure the "prompt settlement" of disputes.
312. In support of its argument, the United States relied on EC – Bananas III (US) where the panel
granted the European Communities' request for "four separate panel reports". We note, however, asdid the Panel, that the European Communities' request was made at the meeting at which the
258United States' appellant's submission, para. 140.WT/DS217/AB/R
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DSB established the panel. 259 EC – Bananas III (US) is therefore distinguishable from the present
case. Thus, we cannot agree with the United States that the right contained in Article 9.2 is"unqualified".
260
313. Our view is supported by our decision in US – FSC , where we observed that:
The procedural rules of WTO dispute settlement are designed to
promote … the fair, prompt and effective resolution of trade
disputes. 261 (emphasis added)
In the somewhat different context of the time by which procedural objections must be raised, we
stated in Mexico – Corn Syrup (Article 21.5 – US) , that:
When a Member wishes to raise an objection in dispute settlement
proceedings, it is always incumbent on that Member to do so
promptly. A Member that fails to raise its objections in a timely
manner, notwithstanding one or more opportunities to do so , may be
deemed to have waived its right to have a panel consider such
objections. 262 (emphasis added; footnote omitted)
314. In the case at hand, the United States made its request under Article 9.2 "approximately two
months after the issuance of the descriptive part of the Panel's report" 263 and more than seven months
after the Panel had been composed. 264 It therefore cannot be said that the United States made its
request "promptly" or in a "timely manner, notwithstanding one or more opportunities to do so".
315. Finally we note that the first sentence in Article 9.2 provides that it is for the panel to
"organize its examination and present its findings in such a manner that the rights which the parties to
the dispute would have enjoyed had separate panels examined the complaints are in no way
impaired." Our comments in EC – Hormones about panels' discretion in dealing with procedural
issues are pertinent here:
259Panel Report, para. 6.3.
260United States appellant's submission, para. 138, referring to the Panel Report in EC – Bananas III
(US) , para. 7.55.
261Appellate Body Report, US – FSC , para. 166.
262Appellate Body Report, Mexico – Corn Syrup (Article 21.5 – US) , para. 50. The Appellate Body
also emphasized the need for procedural obj ections to be made in a timely manner in US – 1916 Act , para. 54.
263Panel Report, para. 7.4.
264The Panel was composed on 25 October 2001. See Panel Report, para. 1.7.WT/DS217/AB/R
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… the DSU and in particular its Appendix 3, leave panels a
margin of discretion to deal, always in accordance with due process,
with specific situations that may arise in a particular case and that are
not explicitly regulated. Within this context, an appellant requestingthe Appellate Body to reverse a panel's ruling on matters of
procedure must demonstrate the prejudice generated by such legal
ruling.
265 (emphasis added)
316. In our view, the Panel acted within its "margin of discretion" by denying the United States'
request for a separate panel report. We do not believe that we should lightly disturb panels' decisions
on their procedure, particularly in cases such as the one at hand, in which the Panel's decision appearsto have been reasonable and in accordance with due process. We observe that, on appeal, the UnitedStates is not claiming that it suffered any prejudice from the denial of its request for a separate panelreport.
266 We also note that the first sentence of Article 9.2 refers to the rights of all the parties to the
dispute. The Panel correctly based its decision on an assessment of the rights of all the parties, andnot of one alone.
317. Accordingly, we reject the United States' cl aim that the Panel acted inconsistently with
Article 9.2 of the DSU by not issuing a separate panel report in the dispute brought by Mexico.
267
XI. Findings and Conclusions
318. For the reasons set out in this Report, the Appellate Body:
(a) upholds the finding of the Panel, in paragraphs 7.51 and 8.1 of the Panel Report, that
the CDSOA is a non-permissible specific action against dumping or a subsidy,
contrary to Article 18.1 of the Anti-Dumping Agreement and Article 32.1 of the
SCM Agreement ;
265Appellate Body Report, EC – Hormones , footnote 138 to para.152.
266The United States submits that a showing of prejudice is not required by the text of Article 9.2. In
response to questioning at the oral hearing, the United States added that, although it was not aware of anyprejudice that it would have suffered in this case, pr ejudice could have resulted if, for example, Mexico had
chosen to cross-appeal the claim related to Article 5 of the SCM Agreement , which only Mexico raised before
the Panel.
267We express no view on the question whether the Panel was correct in concluding, in paragraph 7.5 of
the Panel Report, that it was "not entitled to issue a final report on the dispute brought by Mexico without firsthaving issued an interim report on that dispute". In this respect, we note moreover that the United States hasnot requested a finding with respect to whether the Panel erred in its interpretation of Article 15.2 of the DSU.WT/DS217/AB/R
WT/DS234/AB/R
Page 104
(b) consequently upholds the Panel's finding, in paragraphs 7.93 and 8.1 of the Panel
Report, that the CDSOA is inconsistent with certain provisions of the Anti-Dumping
Agreement and the SCM Agreement and that, therefore, the United States has failed
to comply with Article 18.4 of the Anti-Dumping Agreement , Article 32.5 of the
SCM Agreement and Article XVI:4 of the WTO Agreement ;
(c) upholds the Panel's finding, in paragraph 8.4 of the Panel Report, that, pursuant to
Article 3.8 of the DSU, to the extent that the CDSOA is inconsistent with provisions
of the Anti-Dumping Agreement and the SCM Agreement , the CDSOA nullifies or
impairs benefits accruing to the Complaining Parties under those Agreements;
(d) reverses the Panel's findings, in paragraphs 7.66 and 8.1 of the Panel Report, that the
CDSOA is inconsistent with Article 5.4 of the Anti-Dumping Agreement and
Article 11.4 of the SCM Agreement ;
(e) rejects the Panel's conclusion, in paragraph 7.63 of the Panel Report, that the United
States may be regarded as not having acted in good faith with respect to its
obligations under Article 5.4 of the Anti-Dumping Agreement and Article 11.4 of the
SCM Agreement ; and
(f) rejects the claim of the United States that the Panel acted inconsistently with
Article 9.2 of the DSU by not issuing a separate panel report in the dispute brought by
Mexico.
319. The Appellate Body recommends that the DSB request the United States bring the CDSOA
into conformity with its obligations under the Anti-Dumping Agreement , the SCM Agreement , and
the GATT 1994.WT/DS217/AB/R
WT/DS234/AB/R
Page 105
Signed in the original at Geneva this 17th day of December 2002 by:
_________________________
Giorgio Sacerdoti
Presiding Member
_________________________ _________________________
Luiz Olavo Baptista John Lockhart
Member MemberANNEX 1
WORLD TRADE
ORGANIZATIONWT/DS217/8
WT/DS234/16
22 October 2002
(02-5747)
Original: English
UNITED STATES – CONTINUED DUMPING AND
SUBSIDY OFFSET ACT OF 2000
Notification of an Appeal by the United States
under paragraph 4 of Article 16 of the Understanding on Rules
and Procedures Governing the Settlement of Disputes (DSU)
The following notification, dated 18 October 2002, sent by the United States to the Dispute
Settlement Body (DSB), is circulated to Members. This notification also constitutes the Notice of
Appeal, filed on the same day with th e Appellate Body, pursuant to the Working Procedures for
Appellate Review .
_______________
Pursuant to Article 16 of the Understanding on Rules and Procedures Governing the
Settlement of Disputes ("DSU") and Rule 20 of the Working Procedures for Appellate Review, the
United States hereby notifies its decision to appeal to the Appellate Body certain issues of law
covered in the report of the single panel established in response to the requests of Australia, Brazil,
Canada, Chile, the European Communities, India, Indonesia, Japan, Korea, Mexico, and Thailand in
the disputes United States – Continued Dumping and Subsidy Offset Act of 2000 ("CDSOA ")
(WT/DS217/R and WT/DS234/R) and legal interpretations developed by the Panel.
1. The United States seeks review by the Appellate Body of the Panel's legal conclusion that the
Continued Dumping and Subsidy Offset Act of 2000 ("CDSOA") is inconsistent with Articles VI:2
and VI:3 of the General Agreement on Tariffs and Trade 1994 ("GATT 1994"), Article 18.1 of the
Agreement on the Implementation of Article VI of the General Agreement on Tariffs and Trade 1994
("Antidumping Agreement") and Article 32.1 of the Agreement on Subsidies and Countervailing
Measures ("SCM Agreement"). These findings are in error, and are based on erroneous findings on
issues of law and related legal interpretations with respect to Articles VI:2 and VI:3 of GATT 1994,
Article 18.1 of the Antidumping Agreement and Artic le 32.1 of the SCM Agreement, including, for
example:
(a) the Panel's legal conclusions that the CDSOA acts specifically in response to
dumping, the CDSOA has an adverse bearing on dumping, the CDSOA operates
against dumping, actions objectively capable of offsetting or preventing dumping or
subsidization constitute action against dumping or subsidization, and Article 18.1 of
the Antidumping Agreement and Article 32.1 of the SCM Agreement apply to the
CDSOA or to specific actions that have an adverse bearing on the practice ofdumping or the practice of subsidization;(b) the Panel's legal conclusion that Article 18.1 of the Antidumping Agreement and
Article 32.1 of the SCM Agreement include a conditions of competition or
competitive advantage test;
(c) the Panel's legal conclusions that the Appellate Body's interpretation of GATT
Article VI:2 and the Antidumping Agreement in US – 1916 Act applies equally to
GATT Article VI:3 and the SCM Agreement, and that Part III and Part V of the SCM
Agreement contain the only permissible remedies for subsidization;
(d) the Panel's legal conclusion that the CDSOA constitutes specific action against the
practice of dumping and specific action against the practice of subsidization;
(e) the Panel's legal conclusion that the CDSOA acts "against" dumping and/or a subsidy
because of a claimed adverse impact on the competitive relationship between
dumped/subsidized imports and the goods produced by "affected domestic
producers," and the improper shifting of the burden of proof to the United States to
prove that the CDSOA does not have an adverse bearing on the competitive
relationship between dumped/subsidized imports and the goods produced by"affected domestic producers;"
(f) the Panel's legal conclusion that it need not examine footnote 24 of the Antidumping
Agreement and footnote 56 of the SCM Agreement because it had already concluded
that the CDSOA constitutes "specific action" against dumping and subsidization;
(g) the Panel's legal conclusion that the legislative intent of the CDSOA is relevant to
determining whether the CDSOA is consistent with WTO obligations; and
(h) the Panel's legal conclusion that the CDSOA creates a "financial incentive" to file or
support dumping/countervail petitions and therefore acts "against" dumping and/or a
subsidy.
2. The United States seeks review by the Appellate Body of the Panel's legal conclusion that the
CDSOA is inconsistent with Article 5.4 of th e Antidumping Agreement and Article 11.4 of the
SCM Agreement. These findings are in error, and are based on erroneous findings on issues of law
and on related legal interpretations with respect to Article 5.4 of the Antidumping Agreement andArticle 11.4 of the SCM Agreement, including, for example:
(a) the Panel's legal conclusion that the CDSOA violates Article 5.4 of the Antidumping
Agreement and Article 11.4 of the SCM Agreement despite its findings that the U.S.
has implemented these obligations under various provisions of U.S. law, that theCDSOA does not amend these laws and that U.S. investigating authorities observe
the quantitative thresholds;
(b) the Panel's legal conclusion that the CDSOA renders the quantitative thresholds in
Article 5.4 of Antidumping Agreement and 11.4 of the SCM Agreement meaningless;
(c) the Panel's legal conclusion that the CDSOA violates Article 5.4 of the Antidumping
Agreement and Article 11.4 of the SCM Agreement because it " in effect mandates"
domestic producers to support the initiation of dumping/countervail investigations
and/or creates a financial incentive for domestic producers to support the initiation ofdumping/countervail investigations; and
(d) the Panel's legal conclusion that the United States has not acted in good faith in
enacting the CDSOA.3. The United States seeks review by the Appellate Body of the Panel's legal conclusion that the
CDSOA violates Article 18.4 of Antidumping Agr eement, Article 32.5 of the SCM Agreement, and
Article XVI:4 of the Marrakesh Agreement Establishing the World Trade Organization.
4. The United States seeks review by the Appellate Body of the Panel's legal conclusion that the
benefits accruing to the Complaining Parties under the WTO Agreement have been nullified orimpaired.
5. The United States seeks review by the Appellate Body of the Panel's legal conclusion that the
Panel has the discretion under Article 9.2 to reject a party's request for the Panel to submit separate
reports.
__________
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WTO_99/Q_S_C_w68.pdf
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RESTRICTEDWORLD TRADE
ORGANIZATIONS/C/W/68
16 November 1998
(98-4585)
Council for Trade in Services
THE WORK PROGRAMME ON ELECTRONIC COMMERCE
Note by the Secretariat
1. This paper has been prepared to assist the Council for Trade in Services in its examination of
the treatment of electronic commerce in the GATS legal framework. Because there is considerableoverlap between the list of points remitted to the Council in the Work Programme and the subject-
matter of the earlier Secretariat Note WT/GC/W/90, some of the content of the present paper will be
familiar from the earlier note. The paper addresses the points in the Council work programme in
terms of the relevance to them of GATS provisions . It does not provide authoritative interpretations
of these provisions, which can only be made by the Ministerial Conference.
Scope (including modes of supply) (Article I)
2. The GATS applies to "measures by Members affecting trade in services" (Article I:1). In
order to examine the applicability of the Agreement to electronic commerce, we need to consider in
turn the definition of trade in services, the measures falling within the scope of the Agreement and itssectoral coverage.
3. The Agreement defines trade in services as the supply of a service through any of four modes:
cross border supply, consumption abroad, commercial presence and presence of natural persons
(Article I:2).
1 These modes distinguish between services transactions on the basis of the territorial
presence of the supplier and the consumer of the service. The Agreement makes no distinction
between the different technological means by which a service may be delivered - whether in person,
by mail, by telephone or across the Internet. The supply of services through electronic means istherefore covered by the Agreement in the same way as all other means of delivery. Because of the
way in which it can render the distance between supplier and consumer virtually irrelevant, it is
perhaps natural to think of electronic commerce essentially in terms of cross-border supply. But it is
important to bear in mind that Modes 2, 3 and 4 also cover the electronic delivery of the service. For
instance, a foreign bank established locally may supply its services to consumers electronically, or aforeign natural person present locally may use electronic means to deliver consultancy services. It is
also important to note that the "supply" of a service is defined to include the production, distribution,
marketing, sale and delivery of a service (Article XVIII(b)).
4. Legal obligations in the GATS apply to all measures affecting trade in services. Measures
affecting the electronic delivery of services, such as a charge on the import of a service by electronicmeans, are "measures affecting trade in services", just as they would be if imposed on delivery by any
1 The four modes of supply are defined as follows: (1) cross-border, where the service is supplied from
the territory of one Member into another; (2) cons umption abroad, where the consumer purchases a service
which is delivered in the territory of another Member; (3) commercial presence, where the service supplier of
one Member establishes a subsidiary or a branch in another Member to supply a service; (4) presence of natural
persons, where the service is supplied by a person working in the territory of another Member.S/C/W/68
Page 2
other means. It is important to note that the te rm "affecting" has been interpreted to cover not only
measures which directly govern the supply of a service but also measures which indirectly affect it. 2
5. Furthermore, measures by Members are defined broadly to include measures taken by central,
regional or local governments, as well as non-governmental bodies in the exercise of powers
delegated by the government. Therefore, governments can be held accountable in the WTO fordecisions or actions affecting trade in services by non governmental bodies, such as those regulating
particular service sectors, which exercise delegated powers. This may be particularly relevant, for
example, if such bodies were to have responsibil ity for the administration and assignment of domain
names, a function that is analogous to the numbe ring assignments in telecommunications, and may be
governmental or delegated by governments.
6. The GATS covers any service in any sector (Article I:3(b)) with only two exceptions: services
supplied in the exercise of governmental authority, neither on a commercial basis nor in competitionwith one or more service suppliers; and most air transport services.
Distinguishing between modes 1 and 2
7. Even though it is clear that the delivery of services by electronic means may take place by any
of the modes of delivery mentioned above, it is not always easy to specify whether a transaction takes
place under mode 1 or mode 2. The difficulty of making a clear distinction between cross-border
supply and consumption abroad was noted in the fi nancial services context (see S/FIN/W/9) where so
many transactions are done electronically, but it is clear that the same difficulty arises for other forms
of electronic commerce. According to the Sc heduling Guide (MTN.GNS/W/164), the distinction
between cross-border supply and consumption abroad hinges upon whether the service is delivered in
the territory of the Member or outside. It is di fficult to make this rule operational when electronic
delivery makes a transaction possible without the movement of either the supplier or the consumer.
8. A large part of the problem here may be that the Scheduling Guide focuses on the wrong
question. There is no operational need, in the administration of the GATS, to classify transactions
according to the modes of supply, though it might be interesting to do so for statistical purposes. Thereal function of the modes is to categorize commitments in national schedules. The question of the
mode under which a transaction takes place only becomes important if there is disagreement about the
legitimacy of a measure taken by a Member affecting the transaction, in which case the measure
would be judged against the Member's commitments. Seen from this viewpoint, the distinction
between modes 1 and 2 becomes clearer, and is operationally effective. If a Member has entered
"None" under mode 1 for a particular service, any measure restricting the ability of a foreign provider
to supply the service from across the border would be illegitimate; if it has entered "None" under
mode 2, any measure restricting the domestic consumer's ability to buy the service abroad would beillegitimate. The four modes should therefore be seen essentially as the framework within which
commitments are made, and which defines the freedom of Members to take particular kinds of
measures. This is not a complete answer to the problems arising from the application of the modes,
which certainly merit discussion, but it may be a helpful approach to the matter. In the context of
electronic commerce, it means that in considering the consistency with national commitments of a
measure affecting electronic supply, one would ask first on whom the measure impinged – the
2 See paragraphs 7.277-7.286 of the report of the Panel on "European Communities – Regime for the
Importation, Sale and Distribution of Bananas – Complaint by the United States" (WT/DS27/R/USA) and
paragraphs 217-222 of the report of the Appellate Body on "European Communities – Regime for the
Importation, Sale and Distribution of Bananas – Complaint by the United States" (WT/DS27/AB/R).S/C/W/68
Page 3
provider or the consumer – and judge its consistency in the light of commitments under mode 1 and
mode 2 3.
MFN (Article II)
9. Article II (MFN) is a general obligation which applies to all services sectors and all measures
by Members affecting trade in services – unless, of course, a Member has listed a specific MFN
exemption. The obligation requires each Member to accord immediately and unconditionally to
services and service suppliers of any other Member treatment no less favourable than that it accords to
like services and service suppliers of any other country. The standard of no less favourable treatment
has already been interpreted to prohibit de jure as well as de facto discrimination between like
services and service supplies of Members of the WTO.4
10. In principle, likeness depends on attributes of the product or supplier per se rather than on the
means by which the product is delivered. If two like services were treated differently because they
were delivered in different ways, then such treatment could be challenged as being inconsistent with
the MFN obligation. By way of illustration, consider a goods example. If country X imposed a
higher duty on a shirt sent by air than on a shirt sent by sea, then any exporter using air transport
could legitimately claim that X was extending less favourable treatment to its product than to the likeproduct of some other Member (who happened to use maritime transport). The situation would be no
different if country X imposed a higher tax on legal advice delivered electronically than on the same
advice delivered by post.
5 However, Members may wish to consider further the issue of likeness.
Transparency (Article III)11. Like the MFN obligation, Article III (transparency) is a general obligation that applies to all
services sectors. Members are required to publish all relevant measures of general application which
pertain to or affect the operation of the GATS. These measures would include those which affect the
electronic supply of services, and would also incl ude measures taken by non-governmental bodies in
the exercise of designated authority. The other obligations contained in Article III (the notificationrequirement in paragraph 3 and the requirement to establish enquiry points in paragraph 4) would also
extend to measures of general application affecting the supply of services through electronic means.
The field of electronic commerce is in general lightly regulated at present, but any existing
regulations, or any which might be adopted in future would need to be notified under Article III.
3 Establishing the locus of a transaction for legal purposes may be important, however, for reasons
which go beyond GATS disciplines. Issues concerning the country of legal jurisdiction of a transaction have
already begun to arise in e-commerce, especially in re lation to consumer protection, policing of illegal activities
such as on-line gambling and obscenity, and, perhaps most importantly, determining the jurisdiction of validityand enforceability of commercial contracts and obligations. In business-to-business electronic commercetransactions, the parties (at least the larger firms) usually draft contracts indicating the agreed locale of
jurisdiction for the matters concerned. But for other transactions, the locus of legal jurisdiction is an open
question. However, this is not a matter relating to the scope of the GATS.
4 See paragraphs 7.299-7.304 of the report of the Panel on "European Communities – Regime for the
Importation, Sale and Distribution of Bananas – Complaint by the United States" (WT/DS27/R/USA) andparagraphs 231-234 of the report of the Appellate Body on "European Communities – Regime for theImportation, Sale and Distribution of Bananas – Complaint by the United States" (WT/DS27/AB/R).
5 It is, of course, true that a Member may make inter-modal distinctions if its commitments with respect
to the four modes differ. Thus it may allow cross-border delivery but not the establishment of commercial
presence. But intra-modal distinctions based on the technique of delivery would in principle be open to
challenge.S/C/W/68
Page 4
12. Electronic means can be used to disseminate information on measures affecting trade in
services, including through enquiry points.
Increasing participation of developing countries (Article IV)
13. Effective participation in electronic commerce requires access to computers and related
equipment at world prices, to efficient telecommunication services and to training. Article IV is
concerned with enhancing the participation of developing countries in world trade. This is to be
facilitated through negotiated specific commitments relating to strengthening their domestic service
capacity inter alia through access to technology on a commercial basis, the improvement of their
access to distribution channels and information networks, and the liberalization of market access in
sectors and modes of supply of export interest to them. In principle, all these elements are relevant to
electronic commerce. For instance, liberalization by the developing countries themselves in areas liketelecommunications can lead to the development of the domestic infrastructure needed for electronic
transactions. At the same time, liberalization by their trading partners of the cross-border delivery
mode should facilitate sales of certain labour-intensive services in which developing countries have a
comparative advantage which they have so far been unable to exploit because of restrictions on the
movement of natural persons.
14. Under Article IV:2 developing countries service suppliers have access to contact points which
are required to provide information related to the commercial and technical aspects of the supply of
services, including by electronic means. Information on registration, recognition and obtaining of
professional qualifications is likely to be particularly important, since fulfilling these requirements is
likely to be a pre-condition for supplying many services irrespective of the mode of delivery.Developing country suppliers can also obtain information on the availability of relevant services
technology, which may be particularly useful in the context of electronic commerce. Again,
electronic means can be used to enhance the functioning of these contact points.
15. Issues relating to the transfer of technology would also be highly relevant in an area where
technology is developing rapidly, as here.
Domestic regulation (Article VI)
16. Article VI requires that in sectors where specific commitments are undertaken, each Member
should ensure that all measures of general application affecting trade in services are administered in a
reasonable, objective and impartial manner. It also requires that each Member create judicial, arbitral
or administrative tribunals or procedures which provide, at the request of an affected service supplier,
for the prompt review of, and where justified, appropriate remedies for, administrative decisionsaffecting trade in services. All of these provisions apply to regulations or standards affecting the
electronic supply of services. The question of standards is likely to be particularly important, since
one of the basic characteristics of the Internet itself is the use of common frameworks and standards
for interconnectivity and interoperability in orde r to maintain "universal" communication. To a
degree perhaps not found it any other area, there is a need to ensure that technical standards do notconstitute unnecessary barriers to trade in services.
Recognition (Article VII)
17. Article VII of the GATS, dealing with recognition, attempts to strike a difficult balance
between its trade creating and trade diverting effects. On the one hand, Article VII:1, notwithstandingthe general MFN obligation, allows Members to extend recognition unilaterally or through
agreements to the education or experience obtaine d, requirements met, or licenses or certifications
granted in another country. The remaining paragraphs of Article VII seek to ensure that the rights of
third countries are protected - and that recognition does not have an unduly trade-diverting effect.S/C/W/68
Page 5
Article VII:2 requires a Member who enters into a mutual recognition agreement (MRA) to afford
adequate opportunity to other interested Members to negotiate similar agreements. If a Member
grants recognition autonomously, then it is obliged to give any other Member adequate opportunity to
demonstrate that education, experience, licenses, or certifications obtained in that other Member's
territory should be recognized. Article VII:3 stipul ates that a Member must not grant recognition in a
manner which would constitute a means of discrimination between countries in the application of its
standards or criteria for the authorization, licensing or certification of services suppliers, or a
disguised restriction on trade in services.6
18. The role of recognition may change with the development of electronic commerce. On the
one hand, the possibility for distant transactions make s it more difficult for the regulatory authority to
make recognition of qualifications a pre-condition for entry into the market. Thus it is possible for
doctors and financial institutions from countries whose qualifications/regulations are not recognizedby country X to offer their services over the Internet to consumers from X. On the other hand,
distance may imply greater consumer ignorance of the true attributes of the supplier, so that the
consumer becomes more reliant on quality signals such as recognition of the foreign
qualifications/regulations by the home government. T hus we would expect recognition to continue to
influence the pattern of trade, but more by playing an information role vis-à-vis the consumer than by
acting as an entry condition for the supplier.
Competition-related Provisions
(a) Monopolies and Exclusive Services Suppliers (Article VIII)
19. Article VIII requires each Member to ensure that any monopoly supplier of a service does not
"in the supply of the monopoly service in the releva nt market" act in a manner inconsistent with the
MFN obligation and the Member's specific commitments.
7 There are at least two respects in which
Article VIII is relevant to electronic commerce. First, where the basic telecommunications service is
still monopolised but market access has been granted to competitive Internet access providers, Article
VIII would require governments to ensure that th e monopolist does not discriminate against rival
Internet access providers. They would, for example be entitled to reasonable terms and conditions for
their access to and use of leased-circuits obtained from a public telecom operator when operating in a
country that has taken commitments on their services. Secondly, Article VIII requires that exclusive
suppliers of Internet services do not frustrate commitments made on other services which are being
supplied by Internet.
20. The telecommunications sector is the focus of two additional sets of rules: the generally
applicable Annex on Telecommunications, and the Reference Paper on regulatory principles in basictelecommunications which has been incorporated into their schedules of commitments by around
60 WTO Members. At the risk of some oversimplification, we can see the first as primarily a
response to the central role of telecommunications as a medium of transporting services, and the
second as a response to the particular difficulties in achieving liberalization in a sector characterized
by dominant suppliers of network infrastructure in the foreseeable future.
6 It is worth noting that Article VII:5 states that "wherever appropriate, recognition should be based on
multilaterally agreed criteria" and requires Members to work towards the establishment and adoption of such
criteria. The issue, of course, is how much discretion the phrase "wherever appropriate" gives Members indeciding whether to follow their own rather than internationally agreed criteria.
7 A monopoly supplier of a service is defined in the GATS as any person, public or private, which in
the relevant market of the territory of a Member is au thorized or established formally or in effect by that
Member as the sole supplier of that service (Article XXVIII(h)).S/C/W/68
Page 6
(b) The Annex on Telecommunications: Reinforcing Access Guarantees for Users
21. The Annex on Telecommunications is of particular significance for electronic commerce. It
was drafted during the Uruguay Round by negotiators realizing that, despite Article VIII, telecom
operators were in a unique position in having the potential to undermine commitments undertaken in
schedules in any service sector in which telecommunications were essential to doing business. Threeaspects of the Annex make it a more powerful defender of the rights of users of telecommunications
services than Article VIII. First, it is silent about market structure and therefore applies to publicly
available basic networks and services regardless of whether these are supplied by a monopoly or
through competition.
22. Secondly, the Annex carries its own non-discriminatory disciplines on telecom service
suppliers and, unlike Article VIII, does not depend on whether a Member has undertaken a national
treatment commitment in the sector. The Annex requ ires governments to ensure that other Members'
suppliers are afforded reasonable and nondiscriminatory access to and use of public
telecommunications transport networks and services (PTTNS) for the supply of a service included in
its schedule.
8 The term "non-discriminatory" refers to most-favoured-nation and national treatment as
defined in the Agreement, as well as to sector-specific usage of the term to mean "terms and
conditions no less favourable than those accorded to any other user of like public telecommunicationstransport networks or services under like circumstances". The suppliers of any service listed in a
government's schedule, say financial services, are thus assured of non-discrimination with respect to
access and use to telecom services even if a member has not committed to national treatment with
respect to that particular service.
23. Finally, the Annex offers greater specificity in certain areas than Article VIII. For instance, it
elaborates further on transparency obligations for the sector. It requires Members to ensure that
relevant information on conditions affecting access to and use of public telecom transport networks
and services is publicly available. It also lists examples of such measures. These include tariffs and
other terms and conditions of service, specifications of technical interfaces with such networks and
services, and conditions applying to attachment of terminals or other equipment.
(c) The Reference Paper: Ensuring Competition in the Supply of Telecom Services
24. In the basic telecommunications negotiations, there was concern that despite the
commitments to liberalize both trade and investment, telecommunications markets would still
frequently be characterized by dominant suppliers that controlled bottleneck or essential facilities.
9
Dominant players in the telecom market, left free to make decisions about how to treat othersuppliers, would be capable of frustrating the market access and national treatment commitments
made by governments in the negotiations.
10 Therefore, additional commitments on the behaviour of
8 In Annex definitions: "Public telecommunications transport service" means any telecommunications
transport service required, explicitly or in effect, to be offered to the public generally and typically involving the
real-time transmission of customer-supplied information without any end-to-end change in its form or content.'Public telecommunications transport network' means the public telecommunications infrastructure permittingtelecommunications between and among network termination points.
9 Participants felt that neither Article VIII nor the Telecom Annex would be adequately equipped to
deal with potential anti-competitive practices. First, Article VIII did not cover dominant suppliers who may
face limited competition. While the Annex was wider in scope, there were some doubts over whether theinterconnection guarantees it contained applied to rival telecom suppliers and not just to the users of telecomservices. Secondly, there was concern that the discip lines contained in Article VIII and the Annex were too
general to guard sufficiently against possible anti-competitive practices. For example, the Annex contained noclear disciplines, beyond "reasonableness", over the pricing or promptness of access or on bundling practices.
10 For instance, a major supplier, with control over essential facilities, could allow rivals to enter the
local telephone call market but deny them dialling parity. That is, while its own customers had seven digitS/C/W/68
Page 7
major suppliers of telecoms services were assumed by the great majority of participants in the basic
telecommunications negotiations. The regulatory principles embodied in the "Reference Paper"
govern anti-competitive cross-subsidization, the terms of interconnection, the misuse of information,
licensing criteria, transparency and other matters relevant to the prevention of abuse of dominant
market positions. The Reference Paper, in so far as it fosters competitive conditions in the supply oftelecommunication services, should help in the creation of efficient infrastructure for electronic
commerce.
(d) Business Practices (Article IX)
25. In general, the development of electronic commerce should serve to enhance competition.
First, the fixed costs of entering new markets are likely to be reduced: for instance, a bank can reach
its clients without needing to create costly branch es. Secondly, search and travel costs are likely to
decrease: consumers can search more easily for cheaper services and are not obliged to consumethem from proximate sources. Hence, electronic commerce should reduce the scope for trade-
restrictive business practices by increasing both the contestability of markets and the mobility of
consumers. However, it is not inconceivable that some suppliers may still acquire a degree of market
power. If such suppliers resort to anti-competitive practices then Members can take advantage of
Article IX which provides for consultation and information exchange between the concernedMembers.
Protection of privacy and public morals and the prevention of fraud (Article XIV)
26. Article XIV of the GATS contains general exceptions which are obviously relevant to
electronic commerce. The Article permits Members to take any measure necessary to achieve certainpublic policy objectives, including the protection of public morals and the maintenance of public
order. Measures to curb obscenity or to prohibit internet gambling might well be justified on these
grounds. Since both forms of electronic commerce – the supply of services online and the electronic
retailing and wholesaling of goods and services – depend to some extent on the security and privacy
of communications, it is worth noting that Article XIV(c) permits Members to take any necessarymeasures to protect the privacy of the personal data of individuals and the confidentiality of individual
records and accounts, and to prevent deceptive and fraudulent practices. Like other such exceptions
provisions, Article XIV is subject to a safeguard against abuse in that measures taken under it may be
challenged by other Members on the ground that they are not necessary, or are more restrictive than
necessary, to achieve the stated objective. Nor should they be applied in a manner which constitutes
unjustifiable discrimination between Members or a disguised restriction on trade in services.
Article XIV bis provides similar legal cover for actions taken by a Member to protect its essential
security interests, but it does not include the necessity test embodied in Article XIV.
Specific commitments: market access and national treatment
27. Before we examine the GATS provisions on market access and national treatment, it may be
useful to recall the types of services trade which are relevant to electronic commerce, and on which
specific commitments may be made. Three types of transaction are involved:
(a) the provision of Internet access services themselves – meaning the provision of
access to the net for businesses and consumers;
telephone numbers, those of the rival could be allotted sixteen digit numbers. We can imagine the impact a
seemingly innocuous "technical restriction" would have on the relative attractiveness for customers of the two
suppliers.S/C/W/68
Page 8
(b) the electronic delivery of services, meaning transactions in which services products11
are delivered to the customer in the form of digitised information flows;
(c) the use of the Internet as a channel for distribution services, by which goods and
services are purchased over the net but delivered to the consumer subsequently in
non-electronic form.
28. Electronic commerce requires access to the Internet network. The commercial provision of
Internet access must be distinguished from the supply of other services through the medium of the
Internet. Companies provide access in return for a fee. For this purpose they need access to
telecommunications networks, usually by way of leased circuits. The treatment of Internet access
services in GATS Schedules may need to be clar ified. In many countries where the provision of
telecommunications services is still a public monopoly, the monopoly provider is likely to be the onlysupplier of Internet access. In countries which have liberalised their telecommunications regime,
competing Internet access providers (IAPs) may offer access to the Web, with a different array of
supporting services. Ten Members have made explicit commitments on the supply of these services
in the negotiations on basic telecommunications. Such explicit commitments are clearly necessary
where monopoly or other access limitations apply to most telecoms services, but it is desired toliberalize Internet access. Members which have committed to full liberalization of basic telecoms
have not in general felt it necessary to specify Internet access services. Members may wish to
consider whether, possibly in the context of the next Round, it would be desirable to make more
explicit commitments on Internet access in liberalized telecom markets, particularly since the
obligations in the Annex on Telecommunications apply only to services on which a specificcommitment is made. In general, the status of IAPs in relation to GATS rights and obligations would
appear to merit further examination. As with all services, the absence of commitments does not of
course mean that market access for IAPs is impossible: it may indeed be the case that provision of the
service is not permitted, but it may equally mean only that there is no guarantee of continued access.
29. The electronic supply of services is understood to mean a transaction in which the service is
supplied to the customer in the form of digitalized information; the entire transaction takes place
electronically.
30. It is important to distinguish from the delivery of services in the form of digitalized
information a second form of electronic commerce in which goods, and services which cannot be
delivered electronically, are ordered and paid for on-line but are delivered to the customer in tangible
form. This is essentially distribution services: the well known Amazon.com internet bookshop is an
obvious example. Many businesses also sell their own goods and services directly to the public ratherthan through independent retailers or wholesalers, very often by electronic means: airline companies
are an example of this. Commitments on distribution services under the GATS include electronic
distribution, meaning the right to offer and sell goods on the Internet. In terms of GATS
commitments the purchase of goods in this way is no different from ordering and paying for them by
telephone or mail. If the goods ordered have to be imported, the importation will be subject towhatever tariff bindings and other GATT obligations are applicable. Tariffs applied to imported
goods or services in this context are not covered by the standstill on customs duties on electronic
transmissions which was agreed at the second Ministerial Conference in May 1998. Members may
wish to give thought to the classification of certain marketing activities in the area of services, since
here the existing classification systems are less clear than in the case of goods.
11 The word "products" is sometimes mistakenly thought to be a synonym for "goods". Thro ughout this
paper it is used to denote either a service or a good. Its usage in this sense in the services context is well
established – as in "new financial services products".S/C/W/68
Page 9
31. It should be borne in mind that a commitment on distribution services is not a commitment to
allow the supply of any service or good which may be offered for sale over the Internet. In the same
way, a fully liberal commitment on basic telecommunications confers rights to supply
telecommunications services; it is not a commitmen t to allow the supply of any service – banking
services for example – which can be provided by telephone.
Market-access commitments on electronic supply of services (including commitments on basic
and value added telecommunications services and on distribution services) (Article XVI)
32. Article XVI lists 6 types of restrictive measures which are prohibited unless they are
scheduled. This is not of course an exhaustive list of all the measures governments may take to
restrict or deny market access, but it is an exhaustive list of the types of market access limitations
which can be scheduled and thus maintained. It does not include restrictions on the technical means
by which a service may be delivered – for example, on supply by electronic means. This means twothings: first, that no such restrictions could be scheduled and second, that such a measure, if taken,
would not be in direct violation of specific commitments under Article XVI. However, it seems clear
that if a Member were to prohibit or restrict the electronic supply of a scheduled service, the measure
would be challenged under Article XXIII:3 as nullifying or impairing the benefits which other
Members could reasonably have expected to accrue from the market access commitment. In otherwords it would probably become the subject of a "non-violation" complaint.
National treatment (Article XVII)
33. A full national treatment commitment requires a Member to extend to services and service
suppliers of any other Member, in respect of all measures affecting the supply of services, treatmentno less favourable than that it accords to its own like services and service suppliers. The standard for
judging whether treatment is "no less favourable" for the purposes of Article XVII is whether the
measure affects conditions of competition between foreign and national services and service suppliers
in favour of the latter. Paragraphs 2 and 3 of Article XVII make it clear that the standard of no less
favourable treatment prohibits de facto as well de jure discrimination between national and foreign
service providers. It would also be possible to schedule a national treatment limitation discriminating
against electronic supply by foreign service providers, though it may be questioned whether
negotiating partners would find such a restriction acceptable. There are no such restrictions in
national schedules at present. As discussed in the context of Article II on MFN, likeness in the
national treatment context also depends in principle on attributes of the product or supplier per se
rather than on the means by which the product is delivered.
Customs duties
34. Customs duties are border measures and would therefore be relevant to cross-border supply,
whether under mode 1 or mode 2. It is very uncommon for them to be applied to services: the
Secretariat is aware of only one case – the application of customs duties on ship repair services
purchased abroad by the US. There may however be other cases and there is no reason in principlewhy customs duties should not be applied to services, whether supplied electronically or in any other
way. Any duties so imposed would be "measures affecting trade in services" as explained above.
35. In May 1998 Members undertook a temporary commitment, which is not legally binding, not
to impose customs duties on electronic transmissions. There are already in existence legally binding
commitments on customs duties, as on other discriminatory taxes. In general it can be said that anytax which would increase the bound level of protection of a committed service would be inconsistent
with a Member's commitments. In the context of the GATS what really matters is whether or not a
Member has made a national treatment commitment ruli ng out recourse to discriminatory taxes. If a
Member has made such a commitment in a particular sector, then all discriminatory taxes (includingS/C/W/68
Page 10
customs duties by definition) are in any case prohibited. The GATS national treatment obligation
applies to all measures affecting the supply of services, unlike the GATT national treatment obligation
which does not apply to border measures like tariffs and quotas. The commitments on customs duties
does not cover internal taxation. If a Member has not made a national treatment commitment, then it
remains free to impose discriminatory internal ta xes, so the commitment not to impose customs duties
would not preclude recourse to discriminatory measures with an identical effect. Hence, in the GATS
context it is the national treatment commitment which is crucial to ensuring equality of competitive
conditions. A national treatment commitment would not of course affect a Member's freedom to
impose taxation on a non-discriminatory basis.
Classification issues
36. All services are covered by the GATS, whether delivered electronically or otherwise, and the
classification of virtually all services products is no t in doubt – even though, as has been made clear in
the exchange of information exercise, the existing classification systems are often imperfect or
incomplete. However questions have arisen relating to the classification of certain products which can
be delivered both in electronic and physical form. The most clear example is standardized computer
software, which can be supplied electronically over the internet or sold on a physical carrier. These
different forms are very close substitutes for each other, and from the customer's view point theircontent is the same. This phenomenon of close substitutability gives rise to the question whether the
trade regime applying to the electronic and physical forms should also be the same.
37. It is important to maintain the principle that all services delivered electronically are covered
by the GATS: the question here is whether some products delivered electronically should be defined
and treated as not being services. It is not a matter which can be decided by simple reference to adefinition, since we have no comprehensive definition either of services or of goods. The great bulk
of products delivered electronically, like telecommunications and financial services, are clearly
identified in the services classification lists and in GATS Schedules, so their classification is not an
issue. And the only products delivered electronically which are subject to internationally recognized
and enforced obligations (through the GATS) are services. But there is no classification which wouldpermit us to say that all intangible products, or even all electronically delivered products, are services
by definition. One of the important characteristics conventionally distinguishing services from goodshas been that goods are tangible, and of course it would be impossible to deliver a tangible product
electronically. But it would be possible for Members, if they saw any practical advantage in doing so,
to agree that some intangible products should be regarded and treated as goods even when
electronically transmitted, in which case the rules of GATT would apply to them. The most important
consideration, however, would be the criteria on the basis of which such products would bedistinguished from other products delivered electronically and whose status as services is not in
question. Any suggestion that "electronic transmissions" as such should be regarded as outside the
scope of the GATS would of course fundamentall y damage the entire Agreement and undermine a
wide range of existing commitments, since the vast majority of cross-border trade in many sectors is
done electronically. It should be remembered that the legal regime applying to transactions throughoutthe WTO system – whether they are governed by the GATS, the GATT or a sectoral agreement such
as those on Agriculture or Textiles – is determined by the nature of the products being traded, not by
the means of their delivery.
38. In a related argument it is pointed out that electronically transmitted books and other
digitalized information can be "downloaded" and copied, thus creating a tangible good – and that
digital technology permits large-scale copying of high quality. It should be clear that the issue before
the Services Council is the classification of the electronic transaction – the transmission and receipt of
the text or other digitalized information over the Internet. What is done with the information after
downloading is another matter. If hard copies are produced, whether legally or not, this is a
manufacturing process resulting in the production of goods, into which the electronic transmissionS/C/W/68
Page 11
could be seen as a services input: as we know, virtually all manufactured goods involve services
inputs of various kinds. If such copying is done without authority, and particularly if it is done on a
commercial scale, there would be a problem of copyright piracy which should be dealt with under the
law of the country concerned. This is not a new pr oblem – copyright piracy of printed and broadcast
material has been going on for generations – but the high quality of digitalized copying may give it anew dimension. However, this is a matter for the TRIPS Council.
__________
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S_G_SCM_N71NAM
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ORGANIZACIÓN MUNDIAL
DEL COMERCIOG/SCM/N/60/NAM
G/SCM/N/71/NAM
19 de junio de 2001
(01-3045)
Comité de Subvenciones y
Medidas CompensatoriasOriginal: inglés
SUBVENCIONES
Notificaciones de actualización y notificaciones nuevas y completas de conformidad
con el párrafo 1 del artículo XVI del GATT de 1994 y el artículo 25 del
Acuerdo sobre Subvenciones y Medidas Compensatorias
NAMIBIA
Se ha recibido del Ministerio de Comercio e Industria de Namibia la siguiente comunicación,
de fecha 13 de junio de 2001.
_______________
De conformidad con el párrafo 6 del artículo 25 del Acuerdo sobre Subvenciones y Medidas
Compensatorias y el párrafo 1 del artículo XVI del GATT de 1994, el Gobierno de Namibia tiene elhonor de comunicar que, desde que presentó su última notificación completa, Namibia no ha
introducido en su territorio ninguna subvención en el sentido del párrafo 1 del artículo 1 del Acuerdo
que sea específica en el sentido del artículo 2 del mismo, o que tenga directa o indirectamente por
efecto aumentar las exportaciones de su territorio o reducir las importaciones en éste en el sentido del
párrafo 1 del artículo XVI del GATT de 1994.
__________
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S_G_SPS_GEN42
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ORGANIZACI ÓNMUNDIAL G/SPS/GEN/42
20deoctubre de1997
DEL COMERCIO(97-4562)
Original: inglés Comité deMedidas Sanitarias yFitosanitarias
PRESCRIPCIONES CHECAS PARA LAIMPORTACI ÓN
DEPATATAS PARA CONSUMO (G/SPS/N/CZE/12)
Declaración delaComunidad Europea enlareunión
delosdías15y16deoctubre de1997
1. El11deseptiembre de1996, eneldocumento G/SPS/N/CZE/12, senotificó unamedida de
urgencia paralatemporada deimportación de1996. El1ºdeoctubre de1996laComunidad Europea
presentó observaciones sobre esamedida. Ulteriormente, lasautoridades checas notificaron unproyecto,
conlasignatura G/SPS/N/CZE/13, mediante elcuallamedida deurgencia seconvertía enunrégimen
permanente. Setratademedidas relacionadas conprescripciones fitosanitarias, asaber, elregistro
deproductos conmiras alaprotección fitosanitaria ylagestión deesosproductos.
2. Lasautoridades checas requieren quelaspatatas sesometan auntratamiento parasuprimir
brotes, yqueelproducto deprotección fitosanitaria utilizado hayasidoregistrado deconformidad con
lasdisposiciones contenidas enelDecreto 84/1997 yenlaLeyNº147/1996. Estosignifica quelas
importaciones depatatas selimitan sobre labasedelproducto deprotección fitosanitaria aplicado a
lostubérculos ynosegún elingrediente activo quecausa lasupresión debrotes.
3. Sólounproducto, FAZOR (cuyo ingrediente activo eslahidrazida maleica ),estáregistrado
actualmente enlaRepública Checa. Esteproducto noesdeusocomún enlaUnión Europea. Además,
parece queplantea problemas deresiduos ytieneunperíodo deutilización limitado.
4. Deconformidad conlalegislación checa, lasolicitud deregistro deproductos deprotección
fitosanitaria tiene queserpresentada porunapersona física ojurídica queseproponga poner en
circulación productos deprotección fitosanitaria, yesapersona osurepresentante legal debeestar
establecida enlaRepública Checa. Porconsiguiente, laadición denuevos productos depende, enefecto,
dequeunacompañía depesticidas presente unasolicitud.
5. Enresumen, lareglamentación checa equivale aunaprohibición delaimportación delaspatatas
procedentes delaComunidad Europea enlaRepública Checa. Esteproblema yasehaexaminado antes
ydespués delanotificación alaOMC, enelmarco delSubcomité sobre laAgricultura integrado por
laComunidad Europea ylaRepública Checa. Noobstante, apesar delasconversaciones encurso,
todavía nosehaencontrado unasolución.
6. Elenfoque general según elcualseexige lautilización deproductos registrados enlaRepública
Checa envezdeespecificar losingredientes activos aceptables (conniveles demáximos deresiduos),
parece sercontrario avarias disposiciones aplicables alasmedidas fitosanitarias, entre lascuales las
queestipulan quedichas medidas deben basarse enprincipios científicos ynomantenerse sinpruebas
científicas suficientes.
./.G/SPS/GEN/42
Página 2
7. Elniveldeprotección establecido porlaRepública Checa podría alcanzarse conmedidas menos
restrictivas delcomercio sisepermitieran productos parasuprimir brotes distintos delosqueestán
autorizados actualmente, peroquecontengan obienelmismo ingrediente activo obienuningrediente
activo diferente quetenga elmismo efecto desupresión debrotes. Porconsiguiente, laprescripción
parece sercontraria alasdisposiciones delartículo 4delAcuerdo sobre laAplicación deMedidas
Sanitarias yFitosanitarias.
8. LaComunidadEuropeadeseaobtenerinformaciónactualizadasobrelaformaenquelaRepública
Checa responderá aestaspreocupaciones.
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ORGANISATION MONDIALE
DU COMMERCEWT/DS126/RW/Corr.1
2 février 2000
(00-0411)
AUSTRALIE – SUBVENTIONS ACCORDÉES
AUX PRODUCTEURS ET EXPORTATEURS
DE CUIR POUR AUTOMOBILES
RECOURS DES ÉTATS-UNIS À L'ARTICLE 21:5
DU MÉMORANDUM D'ACCORD SUR LE
RÈGLEMENT DES DIFFÉRENDS
RAPPORT DU GROUPE SPÉCIAL
Corrigendum
Prière de noter que, en raison d'une erreur typographique, il n'y a pas de note de bas de page 1
ni 2 dans le rapport du Groupe spécial, pages 1 à 23 du document. La numérotation des notes de bas
de page commence donc à 3 au lieu de commencer à 1.
__________
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Q_G_Ma_W12C1
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WORLD TRADE ORGANIZATION RESTRICTED
ORGANISATION MONDIALE DUCOMMERCEG/MA/W/12/Corr.1
11April 1997
ORGANIZACI ÓNMUNDIAL DEL COMERCIO(97-1575)
Committee onMarket Access Original: English/
Anglais/
Inglés
INTRODUCTION OFHARMONIZED SYSTEM CHANGES INTO WTO
SCHEDULES OFTARIFF CONCESSIONS ON1JANUARY 1996
Draft Decision onExtension ofTime-Limit
Corrigendum
Thefollowing correction should bemade:
Page 3:
"Venezuela" should beadded totheAnnex, part1.
Comité del'accès auxmarchés
INTRODUCTION DESMODIFICATIONS DUSYSTEME HARMONISE
DANS LESLISTES DECONCESSIONS TARIFAIRES DEL'OMC
LE1ERJANVIER 1996
Projet dedécision surlaprorogation dedélai
Corrigendum
Ilconvient d'effectuer lacorrection suivante:
Page 3:
Ajouter "Venezuela" àlapartie 1del'annexe.
Comité deAcceso alosMercados
INTRODUCCI ÓNDELOSCAMBIOS DEL SISTEMA ARMONIZADO
ENLASLISTAS DECONCESIONES ARANCELARIAS ANEXAS
ALACUERDO SOBRE LAOMC EL1ºDEENERO DE1996
Proyecto deDecisión sobre prórroga deplazo
Corrigendum
Debe introducirse lasiguiente corrección:
Página 3:
Enlaparte 1delAnexo, añádase "Venezuela".
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ORGANISATION MONDIALE
DU COMMERCEG/ADP/N/72/VEN
7 mars 2001
(01-1108)
Comité des pratiques antidumping Original: espagnol
RAPPORT SEMESTRIEL AU TITRE DE L'ARTICLE 16.4
DE L'ACCORD
VENEZUELA
On trouvera ci-joint le rapport semestriel présenté par le Venezuela pour la période allant du
1er juillet au 31 décembre 2000.
_______________G/ADP/N/72/VEN
Page 2Membre présentant le rapport: Venezuela
RAPPORT SEMESTRIEL SUR LES DÉCISIONS PRISES EN MATIÈRE DE LUTTE CONTRE LE DUMPING
pour la période du 1er juillet au 31 décembre 2000
MESURES FINALES ABSENCE DE MESURES FINALES
Pays ou
territoire
douanierProduitOuverture
de l'enquêteMesures/
déterminations
provisoires Droit définitifEnga-
gementsAbsence
de
dumpingAbsence
de
dommageRetrait
du
recoursAutresVolume des
échanges*Importations
faisant l'objet
d'un dumping
en % de la
consommation
intérieure% du volume
du commerce
(du pays
exportateur)
faisant l'objet
d'une enquêteBases de
la
détermi-
nation
Date Date, marge
de dumping,
droit provisoireDate, marge
de dumping,
droit définitifDate,
marge de
dumpingDate Date Date Date
12 3 4 5 6 7 8 9 1 0 1 1 1 2 1 3 1 4
Chili Vins 22.04.99 Décision
datée du
30.10.00,
publiée au
Journal
officiel
dans le
numéro
5.502 du
06.12.00
Mexique Polymère de
polyéthylène
téréphtalate
(Résines PET)02.10.00
* Le volume des échanges correspond au chiffre des importations du produit considéré comme faisant l'objet d'un dumping.G/ADP/N/72/VEN
Page 3
MESURES ANTIDUMPING EN VIGUEUR
DROITS DÉFINITIFS EN VIGUEUR
(au 31 décembre 2000)
Pays/territoire douanier Produit Date d'imposition
Polychlorure de vinyle en émulsion Date d'imposition 07.04.00
Date d'entrée en vigueur 25.04.00États-Unis
Polychlorure de vinyle en émulsion Date d'imposition 07.04.00
Date d'entrée en vigueur 25.04.00
Fédération de Russie Produits plats, en fer ou en acier,
laminés à chaudDate d'imposition 07.05.99
Date d'entrée en vigueur 29.06.99
Produits plats, en fer ou en acier,
laminés à froidDate d'imposition 12.08.99
Date d'entrée en vigueur 22.09.99
Italie Seringues, avec ou sans aiguilles Date d'imposition 23.04.99
Date d'entrée en vigueur 14.05.99
Japon Chevilles Date d'imposition 18.05.00
Date d'entrée en vigueur 09.06.00
Tubes et tuyaux avec soudure pour le
transport des fluides sous pressionDate d'imposition 19.06.00
Date d'entrée en vigueur 13.07.00
Tubes et tuyaux sans soudure pour letransport des fluides sous pressionDate d'imposition 19.06.00
Date d'entrée en vigueur 13.07.00
Kazakhstan Produits plats, en fer ou en acier,
laminés à chaudDate d'imposition 07.05.99
Date d'entrée en vigueur 29.06.99
Produits plats, en fer ou en acier,
laminés à froidDate d'imposition 12.08.99
Date d'entrée en vigueur 22.09.99
République populaire de Chine Cadenas Date d'imposition 28.08.97
Date d'entrée en vigueur 26.09.97
Serrures et verrous Date d'imposition 28.08.97
Date d'entrée en vigueur 26.09.97
Autres chaussures à semellesextérieures et dessus en caoutchouc ou
en matière plastiqueDate d'imposition 24.04.00
Date d'entrée en vigueur 29.05.00
Chaussures à semelles extérieures en
caoutchouc, matière plastique, cuirnaturel ou reconstitué et dessus en cuir
naturelDate d'imposition 24.04.00
Date d'entrée en vigueur 29.05.00
Chaussures à semelles extérieures encaoutchouc, matière plastique, cuirnaturel ou reconstitué et dessus enmatières textilesDate d'imposition 24.04.00
Date d'entrée en vigueur 29.05.00
Autres chaussures Date d'imposition 24.04.00
Date d'entrée en vigueur 29.05.00
Thaïlande Seringues, avec ou sans aiguilles Date d'imposition 23.04.99
Date d'entrée en vigueur 14.05.99
Ukraine Produits plats, en fer ou en acier,
laminés à chaudDate d'imposition 07.05.99
Date d'entrée en vigueur 29.06.99
Produits plats, en fer ou en acier,
laminés à froidDate d'imposition 12.08.99
Date d'entrée en vigueur 22.09.99
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Q_WT_ACC_UKR70
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RESTRICTEDWORLD TRADE
ORGANIZATIONWT/ACC/UKR/70
23 July 1999
(99-3109)
Working Party on the
Accession of UkraineOriginal: English
ACCESSION OF UKRAINE
An Overview of State Support for Ukranian Entities Engaged in Foreign Economic Activity
The following information concerning state support for Ukranian entities engaged in foreign
economic activity in Ukraine has been received from the Governmental Commission on Ukraine'sAccession to WTO.
_______________
TABLE OF CONTENTS
Subject: Page
1. Support for Entities engaged in foreign trade in the industrial sector 2
(a) Brief description and evolution of legislative acts regulating foreign trade in the
industrial sector 2
(b) Description of current legislative acts
(i) Law of Ukraine “On Stimulating Production of Automobiles in Ukraine”
No.535/97, of 19 September 1997 2
(ii) Resolution of the Supreme Rada “On Anti-Crisis Measures in the Metal
Mining Complex of Ukraine” No.166-XIV, of 6 October 1998
(iii) Resolution of the Supreme Rada “On Crisis Prevention Measures in the
State Communications Sector in Ukra ine” No.462-XIV, of 2 March 1999 3
(iv) Resolution of the Cabinet of Ministers “On Confirming the Schedule of
Exemption From Levying of Fees on Turnover Resulting From the Sale
of Passenger and Freight-Passenger Automobiles, Motorcycles and
Pneumatic Rubber Tires for Passenger Automobiles, Manufactured byUkrainian Enterprises of All Forms of Ownership” No.155, of
16 February 1998 4
(v) Law of Ukraine “On Certain Amendments to the Law of Ukraine “On
Levying of Fees and Import Duty for Certain Kinds of Goods
(Production)” No.276-XIV, of 20 November 1998 4
(vi) Agreement Between the Governments of Ukraine and the Russian
Federation on Cooperation in Manufacturing, of 24 April 1998 4
(vii) Application of the above acts and consequences of their implementation
in the context of international organizations 5
2. Support for entities engaged in foreign trade in the agroindustrial sector 5(a) Agricultural privileges and subsidies - a history 5
(b) The grain market today 6
(c) “Bread of Ukraine” (“Khlib Ukrainy”) - an appraisal 6
(d) Privatization of grain collection, bread baking and distribution enterprises 6
(e) Changes in the status of “Bread of Ukraine” 6(f) Limits on grain traffic 7WT/ACC/UKR/70
Page 2
(g) The pesticide and herbicide market today 7
(h) The fertilizer market today 7
(i) The grain spirits, alcoholic beverage and tobacco products market today 8
3. Conclusion 8
1. Support for entities engaged in foreign trade in the industrial sector
(a) Brief description and evolution of legislative acts regulating foreign trade in the
industrial sector
It was common practice in the past to adopt numerous normative acts providing for various
types of privileges and subsidies to specific firms and enterprises, as well as entire branches of
industry. The greatest number of such acts, 31 Cabinet of Ministers (CMU) resolutions, were adopted
in 1993. In 1992 and 1994-1996 a total of ten such acts were adopted.
Most of these normative acts provided for ex emption from tax or duty payments for certain
agreements or contracts entered into by Ukrainian enterprises, often with scant or no reason.
Sometimes privileges were provided for an entire year. For example, the Resolution of the Cabinet of
Ministers “On Granting Tax Privileges to th e Joint Stock Company (JSC) “Nord”, No.613, of
10 August 1993, provided JSC “Nord” (not a state enterprise) with exemption from value-added taxon barter operations conducted on the basis of ten different contracts. In that same year the
Makiyivka Metal Mining Plant was exempted from paying profit tax on metal production exports. All
of the above acts were limited in duration (generally they expired after one year) or have been
revoked by subsequent decisions of the Rada or the CMU. None are in force today.
(b) Description of current legislative acts
Nonetheless, a number of legislative acts, providing privileges in foreign trade are in effect at
this time. These privileges touch and concern both concrete companies and enterprises, as well as
entire branches of industry. They are listed below.
(i) Law of Ukraine “On Stimulating Production of Automobiles in Ukraine”
No.535/97, of 19 September 1997
Despite the obvious fact that this law was prepared for the “AvtoZAZ-Daewoo” joint venture
(JV), no mention is made of this company in the te xt of the law. Formally it applies to all joint
ventures with foreign capital. However, at closer inspection it becomes obvious that only onecompany enjoys the full spectrum of privileges contained in this legislation. The list of privileges
includes:
- Exemption from payment of import tariffs on goods utilized in the production of
automobiles and spare parts, as well as the manufacturing needs of enterprises thatmanufacture such goods.
- Exemption from VAT payment of the above goods upon their entry onto the customs
territory of Ukraine.
- Exemption from VAT for sales of automobiles produced by companies residing in
Ukraine.WT/ACC/UKR/70
Page 3
- Exemption from the payment of land (real estate) tax for the land upon which the
above-named enterprises are situated; however, this applies only to that part of the
site, in which the amount of foreign investment into the statutory capital of the
enterprise equals $400,000 per hectare of land. For example, if a JV occupies a 10
hectare site, and the amount of foreign investment equals $1,000,000, then 2.5hectares ($1,000,000/$400,000) will be exempted from land tax, while the remaining
7.5 hectares will be subject to land tax.
- Exemption from payment of contributions into the State Innovation fund.The above privileges are granted on the condition that the foreign capital paid into the
statutory fund of a domestic automobile producer constitute no less than $150,000,000, and that locallabor utilization be less than 90 percent; that is, at least 90 percent of the labor input into automobile
and spare parts production of the local enterprise must be of local origin.
The above privileges, taken together with the ban on the import of automobiles older than five
years and the introduction of minimum (indica tive) prices (CMU Resolution No.146, dated
16 February 1998) have created highly favorable conditions for the “AvtoZAZ-Daewoo” JV.
Taken together these factors have caused a number of general complications. The heart of the
problem lies in the fact that the above normative acts violate provisions of the Agreement on
Partnership and Cooperation between Ukraine and the European Union, of 16 June 1994, and
GATT/WTO norms.
In particular, Sections 10,14,15,16 and 49 of th e EU Agreement and Sections III.2, V, VII.2,
XI of GATT. The European Commission, acting within the framework of the Ukraine-EU
Cooperation Committee, has already made its concerns known and has indicated that such violationsmay complicate the process of rapprochement.
Even so, it is too early to talk of any market breakthroughs by the “privileged” JV in question.
According to experts, the entire automobile market in Ukraine for 1998 approached 200,000 units.
By the end of September, 1998, “AvtoZAZ-Daewoo” JV had produced 20,000 automobiles, of which
2,000 had been sold. The JV's future development is not clear, insofar as Daewoo recently questioned
the practicality of increased production, as had been planned earlier, and thus has cast a cloud onscheduled investment.
(ii) Resolution of the Supreme Rada “On Anti-Crisis Measures in the Metal Mining
Complex of Ukraine”, No.166-XIV, of 6 October 1998
In Paragraph 5 of the Resolution of the Supreme Rada “On Anti-Crisis Measures in the Metal
Mining Complex of Ukraine”, No.166-XIV, of 6 October 1998, the Cabinet of Ministers is
encouraged to exempt from import duties “goods of a manufacturing and technical character for the
metal mining industry.” Paragraph 6 recommends that the National Bank of Ukraine (NBU) permit
producers in the metal mining complex to conduct advance and progress payments on importcontracts, as well as other privileges that give these enterprises a leg up in comparison with other
entities engaging in foreign trade. However, so far neither the Cabinet of Ministers nor the NBU have
taken any measures to enact these recommendations, and thus the resolution in question has not
affected the market or its participants.WT/ACC/UKR/70
Page 4
(iii) Resolution of the Supreme Rada of Ukraine “On Crisis Prevention Measures in
the State Communications Sector in Ukraine”, No.462-XIV, of 2 March 1999
As in paragraph 1 of the Resolution of the Supreme Rada of Ukraine “On Crisis Prevention
Measures in the State Communications Sector in Ukraine”, No.462-XIV, of 2 March 1999, the
Parliament recommends that the Cabinet of Ministers implement normative acts exempting state-
owned communications providers from payment of import duties on manufacturing and technical
equipment in accordance with a list prepared by the State Committee on Communications. Paragraph
4 recommends that the NBU amend its normative acts to permit advance and progress payments on
import contracts guaranteed by financial lending institutions servicing these enterprises. This
paragraph also recommends that the NBU permit the use of credit resources, obtained from foreign
entities, on advance payments for import; clearance of payments on foreign economic contracts
without obtaining a “no tax debt” certificate from the State Tax Administration; and preferential
currency conversion on payments for goods. Paragraph 5 states that managers of state
communications enterprises may set the order of payments in the course of business and clearance of
obligations before the state budget, the State Pension Fund and other mandatory payments. However,as with the previous example, neither the Cabine t of Ministers nor the NBU have taken any measures
to implement these recommendations, and their net effect on the market and market actors amounts to
nil.
(iv) Resolution of the Cabinet of Ministers of Ukraine “On Confirming the Schedule
of Exemption From Levying of Fees on Turnover Resulting From the Sale of
Passenger and Freight-Passenger Automobiles, Motorcycles and Pneumatic
Rubber Tires for Passenger Automobiles, Manufactured by Ukrainian
Enterprises of All Forms of Ownership”, No.155, of 16 February 1998
The aforesaid resolution sets out the schedule of exemptions from payment of fees on
producers of automobiles and automobile tires. The basic criterion for obtaining this privilege is the
production of no fewer than 1,000 automobiles or 100,000 tires annually. Market activity is described
above. As far as tire producers are concerned, two producers are beneficiaries (“Dniproshyna” and
“Rosava”); together they produce more than 95 percent of all Ukrainian tires. Some 70 percent of
their production is exported. The above privileges are one of the chief factors in the low cost of
domestically manufactured tires and their relative advantage to imported tires. Needless to say,imported tires are disadvantaged in this respect.
(v) Law of Ukraine “On Certain Amendments to the Law of Ukraine “On Levying
of Fees and Import Duty for Certain Kinds of Goods (Production)”, No.276-
XIV, of 20 November 1998
In accordance with Law of Ukraine “On Certain Amendments to the Law of Ukraine “On
Levying of Fees and Import Duty for Certain Kinds of Goods (Production)”, No.276-XIV, of
20 November 1998, Ukrainian producers of color television sets are exempted from payment of
certain fees.
These criteria require a producer to have a minimum annual production potential of 100,000
units, to produce no fewer than 1,000 units monthly, and to include at least 20 percent domestically-
produced components in these units.
However, according to the Ministry of Industrial Policy, owing to the impossibility of
meeting all three criteria, no domestic television producer has been able to benefit from these
privileges since 1 January 1999 (effective date of this legislation). In addition, the Law of Ukraine
“On Certain Amendments to the Law of Ukraine “On Levying of Fees and Import Duty for CertainWT/ACC/UKR/70
Page 5
Kinds of Goods (Production)” No.276-XIV, of 20 November 1998, set specific import duties on
television sets as follows: up to 37 cm - 1 Euro; 37-54 cm - 1.2 Euro; 54 cm and greater - 2.7 Euro per
cm of diagonal screen length.
Unfortunately, it is very difficult to assess the precise effects of this law on the television
market due to the current market downturn, which began in August 1998. It is certain that this law is
an important factor in the decrease in sales that has occurred. One should note as well that the law
provides for expiration of the above fee and an import duty schedule at the end of the year 2000.
(vi) Agreement between the Governments of Ukraine and the Russian Federation on
Cooperation in Manufacturing, of 24 April 1998
Another important document that must be take n into consideration is the Agreement between
the Governments of Ukraine and the Russian Federation on cooperation in manufacturing, of
24 April 1998.
A “Protocol between the Cabinet of Ministers of Ukraine and the Government of the Russian
Federation on Supply of Production Within the Framework of Cooperation on Manufacturing” was
signed in connection with the agreement at issue. This document provides for exemption from VAT
and fees for specific quantities of goods supplied on an interstate basis by enterprises listed in
Attachments #1 and #2. The protocol was signed on 23 October 1998, and on 13 January 1999 its
duration was extended through 1999. Yet one should note that VAT in foreign trade operations withRussia was annulled in February 1998, and that all Ukrainian exporters are exempted from payment
of VAT and fees. The actual effect of the agreement is merely the exemption of Ukrainian importers
from fees.
Attachment 1 lists Russian suppliers and Ukrainian recipients of goods, as well as the goods
themselves and codes and quantities that enjoy privileges. The attachment is 42 pages long with 23
Ukrainian enterprises (not counting subsidiaries), each enjoying on average 15 types of imported
goods. Yet of all the goods on the list, only tires are actually subject to fees. In effect, of all Ukrainian
recipients of goods only buyers of tires, specifically JSC “Atek” (Kyiv --- 54 ,000 units) and “AP
KRAZ” (Kremenchuk --- 36,300 units), benefit from the document in question. The fee stands at 5
Euros per unit. One must note as well that Ukraine produced more than 8 million tires in 1998 and
that, as we saw earlier, the greater part of these is exempt from fees as well. In real terms, privilegedimports (or those on an equal footing with locally produced goods in regards to exemption from fees)
comprise slightly more than 1 percent of all imports.
Clearly, the protocol was less concerned with the provision of privileges, insofar as these had
been proffered earlier. Its real purpose was to provide additional guarantees for certain enterprises inthe event of legislative changes.
(vii) Application of the above acts and consequences of their implementation in the context of
international organizations
The potential consequences of the above-mentioned laws on Ukraine's international
obligations are difficult to predict. Most of the named laws and acts have already drawn the ire of the
European Union. The satisfactory resolution of such conflicts is one of the preconditions for
Ukraine's obtaining EU balance of payments credits, thus directly affecting foreign borrowing. The
European Commission has already put forth a demand for urgent consultations on this matter. If thegovernment does not soon deal with the resulting friction, Ukraine's ability to obtain credit from the
EU and a plethora of other international financial institutions may be threatened, insofar as these
institutions' interests frequently coincide.WT/ACC/UKR/70
Page 6
2. Support for entities engaged in foreign trade in the agroindustrial sector
(a) Agricultural privileges and subsidies - a history
The situation in the agricultural sector is significantly different from other sectors of the
economy.
The high liquidity of agricultural production is the first and chief reason for the state's
heightened interest in this sector. As with the industrial sector, a number of legislative and normative
acts conferring privileges on the agricultural sector (including export operations) had been adopted.
At this time however, most of these lie dormant. Fo r example, Resolution of the Cabinet of Ministers
“On Declaring Certain Government Decisions on Taxation Invalid” No.957, of 29 November 1995,
annulled 12 previous government decisions conferri ng tax privileges to agroindustrial entities.
In examining those privileges in effect at this time, one must first keep in mind the two-year
moratorium on taxation of agricultural producers, due to expire on 1 January 2000. It is crucial to
note that this moratorium applies to all agricultural producers without exception.
Now let us take a look at regulatory activities and provision of especially favorable conditions
to certain entities.
(b) The grain market today
(i) “Bread of Ukraine” (“Kh lib Ukrainy”) - an appraisal
Government action is most prevalent on the grain market. The issue at hand is the State Joint-
Stock Company “Bread of Ukraine”, created by Resolution of the Cabinet of Ministers “On
Establishing the State Joint Stock Company “Khlib Ukrainy, No.1000, of 22 August 1996. This
company arose in response to the liquidation, at the behest of the State Anti-Monopoly Committee of
the Main Bread Products Department and the Main Feeds Department at the Ministry of the
Agriculture. However, the resolution that created “Bread of Ukraine” gave this company monopolistic
functions, including the right to operate grain and feeds production enterprises, and be the exclusive
state purchaser of grain. The company was also charged with storing grain and seeds purchased for
the state reserve.
International financial institutions have long expressed their disapproval of the present
situation on the Ukrainian grain market. This has caused the World Bank and International Monetary
Fund to make the liberalization of the grain market and the restructurization of “Bread of Ukraine” a
key condition of further financing.
(ii) Privatization of grain collection, bread baking and distribution enterprises
Two years ago privatization of enterprises in the bread production system was banned by law.
Naturally, the resulting artificially high grain elevator costs hit commercial structures very hard. In thesummer of 1998, the basic package of services (collection, drying, cleaning and 1-2 months storage)
accounted for 30 percent of the cost of the grain itself (whereas for corn, this figure reached 75
percent). Recently, the situation has changed radically. According to the State Property Fund of
Ukraine, as of 28 April 1999, more than 70 percent of 327 grain collection and
breadbaking/distribution enterprises have been privatized. Effects of privatization will be measurableonly after the coming harvest.
Note: The Memorandum on Economic Policy for 1 July 1999 – 30 June 2001, entered into
with the IMF within the framework of the Extended Fund Facility requires the completion of theWT/ACC/UKR/70
Page 7
privatization of 443 grain collection and breadbaking/distribution enterprises to 70 percent, / i.e. no
less than 70 percent of each enterprise must be privatized/). At this time privatization has begun with
442 such entities. The total number of such enterprises in Ukraine is 543: thus 81.6 percent of
Ukrainian grain collection and breadbaking/distribution enterprises are slated for privatization.
(iii) Changes in the status of “Bread of Ukraine”
Resolution of the Cabinet of Ministers “On Changes in Certain Decisions of the Cabinet of
Ministers of Ukraine”, No.220, of 16 February 1999, transformed the State JSC “Bread of Ukraine”
into an open joint-stock company. This has brought to an end that company's supervisory authority
over grain and feeds production enterprises as successors to the previous Main Bread Product and
Main Feed Departments. “Bread of Ukraine” also no longer holds a monopoly over the state grain
order, although it continues to enjoy sole storage rights to the state grain and seed reserve.
The chief drawback of the above-named resolution is the lack of an effective mechanism for
the transformation of “Bread of Ukraine” (be it by pr ivatization or corporatization) into an open JSC.
So far only the name has changed. Even so, attendant monitoring by numerous interested partiesmakes it more than likely that considerable movement in this area will take place sooner rather than
later.
(iv) Limits on grain traffic
In concluding our examination of the grain market , it is worthwhile noting that from year to
year the authorities took measures limiting the free movement of grain. Last year was no exception. In
virtually every major grain producing oblast of Uk raine (such as Chernihiv, Odesa, Kherson and
others), local administrations took measures to ban the sale of grain by commercial entities. This ban
remained in effect until agricultural enterprises fulf illed regional contracts and paid off their debts to
the state reserve, state resources, and other state organizations. Keeping in mind that up to 90 per cent
of agricultural production equipment inputs (fuel, lubricants, seeds, farm equipment and spare parts)
are provided by commercial structures in advance (with the harvest acting as a guarantee of
repayment), the serious consequences of this decision are not difficult to understand. Some experts
have noted that such government action has effectively buried the grain futures contract as an
agricultural financing mechanism.
(c) The pesticide and herbicide market today
Another important part of the agro-industrial complex worthy of our attention is the pesticide
and herbicide market. Although the state has not acted as a direct supplier of such substances for more
than two years, it nonetheless continues to exert significant influence on this market. In 1996,following the split-up of the State Amalgamati on “Ukragrokhim,” the open JSC “Agrokhimtsentr”
was founded. Despite the fact that this company is not state-owned, its official ties are obvious. One
can look to, for example, the decision of Parliament (Resolution of the Supreme Rada “On the
Utilization of the Credit of the Japanese Bank”, No.263, of 16 May 1997) directing that a Japanese
Eximbank credit be utilized for the repayment of 85 percent of “Agrokhimtsentr” debt, to the tune of
$9.1 million before the Japanese Sumitomo Corporation for pesticides delivered by that company. Or,
for example, the decision, confirmed by the Ministry of the Agroindustrial Complex, Ministry of
Finance, and the State JSC “Bread of Ukraine” (Order of the Ministry of the Agroindustrial Complex,
Ministry of Finance, and the State JSC “Bread of Ukraine”, No.65/213/77, of 14 October 1997) to
give monopoly rights for the provision of domestic fertilizer to agricultural producers for the 1998grain-growing season. “Agrokhimtsentr,” through support at all levels of government, and through its
utilization of the old oblast agrochemical centers, taking in practically the entire territory of Ukraine,
has carved an extremely preferential position for itself on the Ukrainian market, while making market
entry quite difficult for potential competitors. A lthough it is true that “Agrokhimtsentr” is not aWT/ACC/UKR/70
Page 8
monopolist, it is, in our view, in a greatly superior position to other operators on the pesticide and
herbicide market.
(e) The fertilizer market today
The situation on the fertilizer market is quite different from that on the herbicide and pesticide
market. Fertilizer production capacities far outpace herbicide/pesticide production capacities. There
are more than ten important producers of fertilizers. A properly functioning market is nonetheless
absent. Much of the blame can be assigned to a heightened state interest in the material and technical
outfitting of agricultural enterprises in general, and fertilizer supplies in particular. Last year, the well-
known “Agrokhimtsentr” sold fertilizer at State JSC “Bread of Ukraine's” behest on the basis of
trilateral agreements between agrochemical producers, agricultural producers, and processingenterprises. However, as of 30 June 1998, in spite of the heightened indicative price of grain (US$120
per ton for Grade /Class/ 3 grain) in comparison w ith the market price (US$106 for such grain), grain
producers paid for a mere 15 per cent of the value of fertilizer obtained. In addition to this, in the
absence of a market pricing mechanism, the losses associated with growing winter wheat with the
application of fertilizer approached 20 per cent in excess of expenses.
(e) The grain spirits, alcoholic beverage and tobacco products market today
According to the Law of Ukraine “On State Regulation of Production and Trade in Ethyl
Alcohol, Cognac and Fruit Spirits, Alcoholic Beverages and Tobacco Products”, No.481/95, of19 December 1995, state enterprises, by special permission of the Cabinet of Ministers, retain
exclusive rights to the import and export of ethyl alcohol, cognac and grain spirit, as well their
wholesale supply. Retail trade in such spirits is forbidden. The Cabinet of Ministers authorizes state
companies to engage in the above trade at the recommendation of the Interministerial Commission
charged with reviewing such requests. Producers of champagne (sparkling wines) and cognac areexempt from payment for special permission to import wine ingredients (this will expire on January 1,
2000).
The limitations of this law do not apply to the production and distribution (trade) of technical
(industrial) spirits for manufacturing purposes, to the brewing and distribution of beer, as well as the
production of grape and berry wines and home-prepared alcoholic products for personal consumption.
These areas are exempt from the state monopoly.
The import and export of all types of alcoholic beverages and tobacco products is conducted
by all manner of enterprises on the basis of licenses issued by the Ministry of Foreign Economic
Relations and Trade.
3. Conclusion
This work has analyzed the issue of state support and privileges for entities engaged in
foreign economic activities in Ukraine.
The examples mentioned above yet again point to the inability of the state to effectively
regulate allocation of resources and, as a consequence, the undesirability of such regulation, which
shows itself in losses that affect both the stat e budget and enterprises. Following the liquidation of
state regulatory influence, appropriate market mechanisms will go into action and decide what will be
produced, who will produce it, and what resources will be required for such production (thankfully,Ukraine is not short on resources).
As we have seen, the bulk of so-called privileged legislation in the industrial sector, has not
been implemented. In certain cases, the inability of enterprises to meet all necessary criteriaWT/ACC/UKR/70
Page 9
prevented the enactment of privileges (such as the case of the domestic color television producers). In
that case the legislative acts in question did not have a practical continuation. The scale of such
privileges is also relatively small, and most important of all, a broad debate is ongoing concerning
these issues. The Government is realizing more and more that granting privileges to particular market
players is slowing the development of a competitive market, which in turn is the basis of a normalmarket economy.
The situation in the agroindustrial complex is, in our view, more complex. In the first place
the agrosector is less transparent and more prone to government intervention. However certain
serious steps in the direction of market mechanism development have been taken. This is occurring
not without the active participation of international financial organizations, which are constantly
monitoring this process, and giving recommendations. There is every reason to believe that, barring asea change in general economic policies, changes recently initiated will soon become apparent and
sustainable.
__________
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. /.WORLD TRADE
ORGANIZATIONG/TBT/N/NLD/39
10 December 2001
(01-6265)
Committee on Technical Barriers to Trade Original: English
NOTIFICATION
The following notification is being circulated in accordance with Article 10.6.
1. Member to Agreement notifying: THE NETHERLANDS
If applicable, name of local government involved (Articles 3.2 and 7.2):
2. Agency responsible: Ministry of Agriculture, Nature Management and Fisheries
Name and address (including telephone and fax numbers, e-mail and web-site
addresses, if available) of agency or authority designated to handle comments
regarding the notification shall be indicated if different from above: National Enquiry
Point – EC WTO TBT Enquiry Point
3. Notified under Article 2.9.2 [ X], 2.10.1 [ ], 5.6.2 [ ], 5.7.1 [ ], other:
4. Products covered (HS or CCCN where applicable, otherwise national tariff heading.
ICS numbers may be provided in addition, where applicable): Animal feed.
5. Title, number of pages and language(s) of the notified document: Amendment II to the
Animal Feed Marketing Board Regulation under the GMP accreditation Regulation in the
animal feed sector 2000.
6. Description of content: A GMP Code for suppliers of additives is being introduced. The
other codes will be adapted accordingly. In addition, the guarantee of the purchasingrequirements with regard to feedingstuffs for pre-mix manufacturers is brought into line
with that relating to mixed feed manufacturers. Also, the obligation is imposed on GMP
participants to inform the carriers involved of the nature of the product to be transported.
Finally, the HACCP (Hazard Analysis of Critical Control Points) obligation is extended to
include all activities to which the GMP Regulation relates, except transport.
7. Objective and rationale, including the na ture of urgent problems where applicable: In
order to tighten up the chain and the level of quality care when producing animal feed, an
additional GMP code has also been developed for the benefit of the suppliers of additives,
and the obligation to apply HACCP is extended to include all GMP participants. In addition,it is envisaged to bring the guarantee of the purchasing requirements with regard to
feedingstuffs for pre-mix manufacturers into line with that relating to mixed feed
manufacturers. Finally, the amended Regulation intend to create more transparency onbehalf of animal feed carriers via compulsory notification by the client of the nature of the
product to be transported, so as to be able to adapt the necessary cleaning and any
disinfection activities of the cargo hold accordingly
8. Relevant documents:
Industrial Organisation Act,G/TBT/N/NLD/39
Page 2
Regulation establishing arable marketing boards,
Animal Feed Marketing Board Regulation under the GMP accreditation Regulation in the
animal feed sector 2000.
9. Proposed date of adoption: 1 August 2002
Proposed date of entry into force: 1 September 2002
10. Final date for comments: 1 March 2002
11. Texts available from: National enquiry point [ X] or address, telephone and fax
numbers, e-mail and web-site addresses, if available of the other body:
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. /.ORGANIZACIÓN MUNDIAL
DEL COMERCIOG/SPS/N/USA/427
26 de abril de 2001
(01-2093)
Comité de Medidas Sanitarias y Fitosanitarias Original: inglés
NOTIFICACIÓN
1. Miembro del Acuerdo que notifica: ESTADOS UNIDOS
Si procede, nombre del gobierno local de que se trate:
2. Organismo responsable: Departamento de Agricultura, Servicio de Inspección
Zoosanitaria y Fitosanitaria (APHIS)
3. Productos abarcados (número de la(s) partida(s) arancelaria(s) según se especifica en
las listas nacionales depositadas en la OMC; podrá indicarse además, cuando
proceda, el número de partida de la ICS). Regiones o países que podrían verse
afectados, en la medida en que sea pertinente o factible: Naranjas Unshu
4. Título y número de páginas del documento notificado: Importación de naranjas Unshu
(7 páginas)
5. Descripción del contenido: El Servicio de Inspección Zoosanitaria y Fitosanitaria se
propone modificar la reglamentación relativa a los agrios con el fin de permitir que, en
ciertas condiciones, la importación de naranjas Unshu cultivadas en la isla de Kyushu,
Japón, a las zonas no productoras de agrios de los Estados Unidos. Se propone también la
modificación de la reglamentación relativa a la importación de naranjas Unshu de la isla deHonshu, Japón, exigiendo la fumigación con bromuro de metilo antes de la exportación y
permitiendo que la fruta se distribuya en zonas de los Estados Unidos adicionales, con
inclusión de zonas productoras de agrios. Además, se propone eliminar la prescripción que
establece que las naranjas Unshu importadas del Japón o la República de Corea deben estar
envueltas en forma individual. Estas medidas atenuarían las restricciones a la importación a
los Estados Unidos y a la distribución dentro del país de naranjas Unshu sin incurrir en un
riesgo significativo de introducir el cancro de los cítricos u otras enfermedades o plagas delos vegetales.
6. Objetivo y razón de ser: [ ] inocuidad de los alimentos, [ ] sanidad animal,
[X] preservación de los vegetales, [ ] protección de la salud humana contra las
enfermedades o plagas animales o vegetales, [ ] protección del territorio contra otros
daños causados por plagas
7. No existe una norma, directriz o recomendación internacional [ ].
Si existe una norma, directriz o recomendación internacional, facilítese la referencia
adecuada de la misma y señálense brevemente las diferencias con ella: El APHIS
propone esta medida de conformidad con el párrafo 1 del artículo 6 de la ConvenciónInternacional de Protección Fitosanitaria (CIPF).
8. Documentos pertinentes e idioma(s) en que están disponibles: 66 FR 19892, 18 de abril
de 2001 (disponible en inglés)
9. Fecha propuesta de adopción: Por determinarG/SPS/N/USA/427
Página 2
10. Fecha propuesta de entrada en vigor: Por determinar
11. Fecha límite para la presentación de observaciones: 18 de junio de 2001
Organismo o autoridad encargado de tramitar las observaciones: Servicio de
Inspección Zoosanitaria y Fitosanitaria [ ] Organismo nacional encargado de la
notificación, [ ] Servicio nacional de información o dirección, número de telefax y
dirección de correo electrónico de otro organismo: Las indicaciones precisas para el
envío de observaciones figuran en el texto completo, que se enviará a quienes lo soliciten ala dirección suministrada en el punto 12.
12. Textos disponibles en: [ X] Autoridad nacional encargada de la notificación,
[X] Servicio nacional de información, o dirección y número de telefax y dirección de
correo electrónico (si la hay) de otro organismo:
United States SPS Enquiry Point/Notification Authority
USDA/FAS/FSTSD
ATTN: Carolyn F. WilsonRoom 5545 South Agriculture Building
Stop 1027
1400 Independence Avenue, S.W.
Washington, D.C. 20250
Teléfono: 202) 720-2239
Fax: (202) 690-0677
Correo electrónico: [email protected]
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WORLD TRADE
ORGANIZATION G/TBT/N/JPN/128
26 October 2004
(04-4542)
Committee on Technical Barriers to Trade Original: English
NOTIFICATION
The following notification is being circ ulated in accordance with Article 10.6.
1. Member to Agreement notifying: JAPAN
If applicable, name of local government involved (Articles 3.2 and 7.2):
2. Agency responsible: Ministry of Agriculture, Forestry and Fisheries
Name and address (including telephone and fax numbers, e-mail and web-site
addresses, if available) of agency or authority designated to handle comments
regarding the notification shall be indicated if different from above:
3. Notified under Article 2.9.2 [ X], 2.10.1 [ ], 5.6.2 [ ], 5.7.1 [ ], other:
4. Products covered (HS or CCCN where applicable, otherwise national tariff heading.
ICS numbers may be provided in addition, where applicable): Canned agricultural
products and bottled ag ricultural products
5. Title, number of pages and langua ge(s) of the notified document: Quality Labelling
Standard for canned agricultural products and bottled agricultural products (2 pages, in
English)
6. Description of content: The definition provision in the Quality Labelling Standard for
canned agricultural products and bottled agricu ltural products will be amended to include
the definition of “canned or bottled Fruits Mitsu-mame (boiled beans, agar cubes and fruits
with treacle).”
7. Objective and rationale, including the na ture of urgent problems where applicable:
Protection of the consumers’ interest.
8. Relevant documents: The Law Concerning Standard ization and Proper Labelling of
Agricultural and Forestry Products (1950 Law No.175)
9. Proposed date of adoption: January 2005
Proposed date of entry into force: To be announced in the official gazette.
10. Final date for comments: 4 January 2005
11. Texts available from: National enquiry point [ X] or address, telephone and fax
numbers, e-mail and web-site addresses, if available of the other body:
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ORGANIZACIÓN MUNDIAL
DEL COMERCIOG/TBT/Notif.98.354
23 de julio de 1998
(98-2923)
Comité de Obstáculos Técnicos al Comercio
NOTIFICACIÓN
Se da traslado de la notificación de conformidad con el artículo 10.6.
1. Miembro del Acuerdo que notifica: MÉXICO
Si procede, nombre del gobierno local de que se trate (artículos 3.2 y 7.2):
2. Organismo responsable: Secretaría de Comunicaciones y Transportes
Se indicará el organismo o autoridad responsable de la tramitación de observaciones sobre
la notificación, en caso de que se trate de un organismo o autoridad diferente: Punto de
contacto
3. Notificación hecha en virtud del artículo 2.9.2 [X], 2.10.1 [ ], 5.6.2 [ ], 5.7.1 [ ], o en
virtud de:
4. Productos abarcados (partida del SA o de la NCCA cuando corresponda; en otro caso
partida del arancel nacional. Podrá indicarse además, cuando proceda, el número de partida
de la ICS): Sistemas contraincendio
5. Título, número de páginas e idioma(s) del documento notificado: Proyecto de Norma
Oficial Mexicana NOM-131-STC4-1995, detecc ión, identificación, prevención y sistemas
contraincendio para embarcaciones que transportan hidrocarburos, químicos y
petroquímicos de alto riesgo. Páginas: 9 (español)
6. Descripción del contenido: La presente Norma Oficial Mexicana tendrá por objeto
establecer las condiciones para la detección, identificación y prevención de incendios, asícomo los requisitos para los sistemas contraincendio a bordo de las embarcaciones que
transportan hidrocarburos, químicos o petroquímicos de alto riesgo.
Esta Norma será aplicable a todas las embarcaciones especializadas y de carga que
transporten hidrocarburos, químicos o petroquímicos de alto riego tanto a granel o en algún
tipo de envase o embalaje- en aguas de jurisdicción nacional sin importar que su destino seao no puertos mexicanos.
7. Objetivo y razón de ser, incluida, cuando proceda, la índole de los problemas urgentes:
Seguridad
8. Documentos pertinentes: Diario Oficial de la Federación 17 de junio de 1998
9. Fecha propuesta de adopción:
Fecha propuesta de entrada en vigor:} Por determinar
10. Fecha límite para la presentación de observaciones: 15 de septiembre de 1998
11. Textos disponibles en: Servicio nacional de información [X], o dirección, correo
electrónico y número de telefax de otra institución:
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ORGANIZACIÓN MUNDIAL
DEL COMERCIO G/SCM/Q2/AUS/25
16 de marzo de 2004
(04-1140)
Comité de Subvenciones y
Medidas Compensatorias Original: inglés
SUBVENCIONES
Respuestas a las preguntas formuladas por las COMUNIDADES EUROPEAS1
y los ESTADOS UNIDOS2 en relación con la notificación
nueva y completa de AUSTRALIA3
La siguiente comunicación, de fecha 15 de en ero de 2004, se distribuye a petición de la
delegación de Australia.
_______________
PREGUNTAS DE LAS COMUNIDADES EUROPEAS
PROGRAMAS FEDERALES: IV. AUTOMÓVILES DE PASAJEROS:
Pregunta 1
¿Cuáles son las importacion es que reúnen los requisitos para utilizar las bonificaciones
de derechos y cómo se determina la lista de estas importaciones?
Respuesta
De conformidad con el Plan de Competitivid ad e Inversiones del Sector del Automóvil
(ACIS), los participantes reciben bonificaciones de derechos que, o bien pue den utilizarse para abonar
los derechos aduaneros aplicables a determinadas importaciones con derecho a subvención en el
sector del automóvil, o bien pueden venderse o transf erirse de otro modo. Los artículos clasificados
como importaciones de productos del sector del automóvil que dan derecho a bonificación en el marco del ACIS se enumeran en la columna 2 de la partida 41E de la Lista 4 anexa a la Ley del
Arancel de Aduanas de 1995 .
La lista de importaciones de productos de l sector del automóvil que dan derecho a
bonificación correspondientes a la partida 41E está constituida por productos indicados en clasificaciones arancelaria s relativas a los vehículos automóv iles, componentes de automóviles y
mercancías utilizadas para producir componentes de au tomóviles. No forman parte de la lista:
1 G/SCM/Q/2/AUS/23.
2 G/SCM/Q2/AUS/24.
3 G/SCM/N/95/AUS.
G/SCM/Q2/AUS/25
Página 2
a) los vehículos automóviles anfibios;
b) los productos pertenecientes a la subpartida 8703.10.00; c) los productos pertenecientes a la subpartida 8704.10.00; d) los productos de peso total con car ga máxima superior a 3,5 toneladas;
e) los vehículos usados;
f) las materias primas;
g) los productos a granel (por ejemplo, la pintura, el acero, el cableado o las
alfombrillas);
h) todo componente que deba cortarse a medida o en una forma determinada; e
i) todo componente no fabricado especialmente para su utilización en un vehículo
automóvil (por ejemplo, un fijador o un dispositivo eléctrico de uso general).
La lista completa de las clasificaciones arancelari as de las importaciones de productos del sector del
automóvil correspondientes a la partida 41E que dan derecho a bonificación figura en la dirección
www.ausindustry.gov.au/acis
.
Pregunta 2
En cuanto a los productores de vehículos, ¿qué producción es apta para obtener
bonificaciones de derechos?
Respuesta
Los productores de vehículos automóviles pue den obtener bonificaciones de derechos por la
producción de todos los vehículos automóviles.
IX. PROGRAMA RELATIVO A LOS TEXTILES, EL VESTIDO Y EL CALZADO: Pregunta 1
¿Cuál es el límite, o los límites, sobre el porcentaje de gastos admisibles que pueden ser
financiados con las donaciones?
Respuesta
Los porcentajes de gastos admisibles para las di stintas actividades admisibles en el sector de
los textiles, el vestido y el calzado son los siguientes:
a) en relación con los gastos en nuevas ta reas de investigación y desarrollo en el sector
de los textiles, el vestido y el calzado, pueden concederse donaciones que cubran hasta el 20 por ciento de los gastos admisibles;
b) en relación con los gastos en nuevas in stalaciones y edificios en el sector de los
textiles, el vestido y el calzado, pueden concederse donaciones que cubran hasta el
45 por ciento de los gastos admisibles; G/SCM/Q2/AUS/25
Página 3
c) en relación con los gastos en bienes de equipo de segunda mano en el sector de los
textiles, el vestido y el calzado, pueden concederse donaciones especiales que cubran
hasta el 20 por ciento de los gastos admisibles; y
d) en relación con las comunidades que dependen del sector de los textiles, el vestido y
el calzado, pueden concederse diversas subve nciones especiales que cubran hasta el
20 por ciento de los gastos admisibles.
PROGRAMAS SUBFEDERALES:
Pregunta 1
¿Por qué los presupuestos correspondient es a los programas subfederales están todos
agregados y no indicados por separado para cada Estado?
Respuesta
Esto se debe a la naturaleza de las lic itaciones públicas entre las administraciones
subfederales para las inversiones en Australia y a la necesidad de proteger los datos comerciales
confidenciales.
PREGUNTAS DE LOS ESTADOS UNIDOS
I. PREGUNTA GENERAL
Pregunta 1
Tenemos entendido que el Gobierno de Australia en la actualidad devuelve a los
hospitales de este país el importe correspondiente a la compra de productos elaborados con
plasma sanguíneo producidos localmente, según establece el Plasma Fractionation Agreement
(Acuerdo de Fraccionamiento del Plasma) celebra do por Australia con CSL, Limited (el único
productor, importador y exportador austra liano de productos elaborados con plasma
sanguíneo). Además, tenemos entendido que en el marco de ese Acuerdo el Gobierno de Australia no ofrece los mismos beneficios para los productos de plasma producidos en el
extranjero. Ese programa parece cumplir los requi sitos de notificación estipulados en el
artículo 25 del Acuerdo sobre Subvenciones y Medidas Compensatorias de la OMC
(Acuerdo SMC). Sírvanse explicar por qué no se ha notificado ese programa. Si debe
notificarse, sírvanse facilitar la inform ación requerida por el artículo 25.
Respuesta
Australia considera que la compra de productos elaborados con plasma sanguíneo
corresponde a la contratación pública, por lo que no cree que sea apropiado notificar esas
disposiciones en el marco del Acuerdo SMC.
La Autoridad Nacional de la Sa ngre, organismo encargado de ges tionar el suministro nacional
de sangre, está facultada para concertar acuerdos de financiación y suministro con organismos que se
ocupan de la recogida, la producción y la distribución de productos con fines de suministro nacional.
No es cierto que CSL Limited sea el único producto r, importador y exportador de sangre y productos
elaborados con plasma sanguíneo. En Australia, la Autoridad Nacional de la Sangre sigue recurriendo
a donaciones voluntarias y no remuneradas de sangre y plasma sanguíneo y suministra los productos a
los pacientes de forma gratuita, en función de las necesidades clínicas y conforme a la práctica
apropiada. La Autoridad Nacional de la Sangre no devuelve a los hospitales de Australia el importe G/SCM/Q2/AUS/25
Página 4
pagado por los productos elaborados con plasma sanguíneo, ya sean de fabricación local o
importados. Cuando hacen falta más productos ela borados con plasma sanguíneo, se importan y se
suministran a los pacientes de forma gratuita.
II. PRODUCTOS LÁCTEOS
Programa para el Ajuste de la Industria Lechera (DIAP
)
Pregunta 1
Sírvanse dar más detalles sobre las condicion es que han de reunir los productores en la
industria lechera para ser considerados "cri adores de ganado lechero que pueden acogerse al
programa".
Respuesta
Los productores lecheros que pueden acoge rse al programa son los que en 1998-1999
dependían del mercado de la leche en más del 25 por ciento y el 21 de mayo de 2001 tomaban parte
activa en una empresa de producción lechera.
III. AUTOMÓVILES DE PASAJEROS
Plan de Competitividad e Inversiones del Sector del Automóvil (ACIS )
Pregunta 1
Tenemos entendido que cuando los producto res de automóviles producen componentes,
herramientas o servicios para un tercero pueden solicitar créditos en el marco del ACIS por
valor de:
● un 25 por ciento de las inversiones en instalaciones y equipo autorizados;
● un 45 por ciento de las inversiones en investigación y desarrollo autorizados.
Sírvanse explicar qué se entiende por "instalaciones y equipo autorizados" e
"investigación y desarrollo autoriza dos" con arreglo a este programa.
Respuesta
El ACIS tiene por objeto facilitar asistencia transitoria para fomentar la inversión y la
innovación competitivas en la industria australiana de l automóvil en el marco de la liberalización del
comercio. La legislación establece para el 1º de enero de 2005 una reducción del 15 al 10 por ciento
de los aranceles aplicados a los productos de la indus tria del automóvil australiana y para el 1º de
enero de 2010 una reducción ulterior al 5 por ciento.
El artículo 54 de la Ley de Administración del ACIS de 1999 indica detalladamente los límites
aplicables en lo que respecta al crédito máximo (el 5 por ciento de las ventas de bienes y servicios en
el marco del ACIS) que puede recibir un particip ante registrado de conformidad con el plan.
Las instalaciones y el equipo autorizados y la investigación y el desarrollo autorizados con
arreglo al ACIS presentan dos aspectos:
a) en primer lugar, las instalaciones y el equipo o la investigación y el desarrollo deben
ser instalaciones y equipo admisibles o investigación y desarrollo admisibles; y G/SCM/Q2/AUS/25
Página 5
b) en segundo lugar, las instalaciones y el equipo admisibles o la investigación y el
desarrollo admisibles dan derecho a créditos únicamente con respecto a un valor determinado, que es el máximo valor exigible en relación con esas instalaciones y equipo o esa investigación y desarrollo.
Las instalaciones y el equipo o la investigaci ón y el desarrollo considerados admisibles con
arreglo al ACIS, junto con el máximo valor exigib le en relación con esas instalaciones y equipo o esa
investigación y desarrollo, figuran en el Reglamento de Administración del ACIS de 2000
(modificado). Puede consultarse este reglam ento en la dirección www.ausindustry.gov.au/acis
.
Cabe observar que en el reglamento se facilita una lista de instalaciones y equipo prohibidos;
a continuación se señalan ejemplos de instalacion es y equipo admisibles con arreglo al reglamento:
a) instalaciones y equipo destinados a la fa bricación, el ensamblaje, el diseño, el
desarrollo o la planificación técnica de ve hículos automóviles, motores, componentes
de motores, componentes de automóviles, máquinas herramienta pa ra el sector del
automóvil o herramientas para el sector del automóvil;
b) instalaciones y equipo que presten apoyo directo a la fabricación, el ensamblaje, el
diseño, el desarrollo o la planificación técn ica de vehículos automóviles, motores,
componentes de motores, componentes de auto móviles, máquinas herramienta para el
sector del automóvil o herramienta s para el sector del automóvil;
c) instalaciones y equipo requeridos en vi rtud de una ley del Commonwealth, un Estado
o un Territorio, directamente relacionados con la fabricación, el ensamblaje, el
diseño, el desarrollo o la planificación técn ica de vehículos automóviles, motores,
componentes de motores, componentes de auto móviles, máquinas herramienta para el
sector del automóvil o herramienta s para el sector del automóvil;
d) instalaciones y equipo destinados a la aplicación de procesos de fabricación
encaminados a la producción de vehículos automóviles, motores, componentes de
motores, componentes de automóviles, má quinas herramienta para el sector del
automóvil o herramientas para el sector del automóvil;
e) instalaciones y equipo que faciliten la prestación de servicios en el sector del
automóvil o actividades de inves tigación y desarrollo autorizadas;
f) instalaciones y equipo que presten apoyo indirecto a funciones integrantes de la
producción de vehículos automóviles, motores, componentes de motores, componentes de automóviles, máquinas herra mienta para el sector del automóvil o
herramientas para el sector del automóvil.
De conformidad con el reglamento, pueden acogerse al plan las siguientes actividades de
investigación y desarrollo:
a) las que están directamente relacionadas con el diseño, el desarrollo, la planificación
técnica o la producción de vehículos automóv iles, motores, componentes de motores,
componentes de automóviles, máquinas herra mienta para el sector del automóvil o
herramientas para el sector del automóvil; y
b) las que se llevan a cabo con el siguiente fin: i) adquirir nuevos conocimientos; o G/SCM/Q2/AUS/25
Página 6
ii) crear materiales, productos, dispositivos, procesos de producción o servicios
nuevos o mejorados.
Los apartados a) y b) comprenden las siguien tes actividades de investigación y desarrollo:
● investigación básica y estratégica;
● diseño industrial y técnico;
● tecnología de producción;
● actividades de desarrollo relacionadas con la construcción y el ensayo de prototipos;
● remodelación y modificación de los productos y procesos existentes;
● desarrollo e instalación de sistemas diseñados con los siguientes fines concretos:
i) garantía de la calidad y control de los procesos; o
ii) control de los materiales o los movimientos;
● ensayo y modificación de nuevos sistemas de producción (diseñados con fines
concretos o intercambiables) para que sea pos ible la repetición dentro de tolerancias
especificadas;
● obtención de derechos de propiedad industrial, como por ejemplo:
i) la preparación y presentación de solicitudes y otros documentos de
presentación obligatoria en Australia o en otros países a efectos de la concesión o el registro iniciales de los derechos; y
ii) la concesión o el registro iniciales de los derechos en Australia o en otros
países.
IV. CARNE DE PORCINO Programa de donaciones para la elab oración de la carne de porcino
Pregunta 1
Sírvanse facilitar más información sobre "los criterios de admisibilidad establecidos"
que debe cumplir la solicitud de una empresa de elaboración para tener derecho a una donación
con arreglo a este programa. ¿Son los resultados de la exportación un elemento determinante
para adquirir ese derecho?
Respuesta
Al programa de 8 millones de dólares, que te rminó el 30 de junio de 2001, podían acogerse
empresas, asociaciones y particulares radicados en Australia o consorcios de entidades con la
capacidad o el potencial para elaborar al me nos 250.000 cabezas de ganado porcino al año o de
ajustarse a los parámetros internacionales relativos a las prácticas idóneas. Los solicitantes tenían que
demostrar voluntad de potenciar su competitividad efectuando inversiones significativas de capital en
la elaboración de carne de porcino. También te nían que demostrar que disponían de recursos
financieros para capitalizar sus planes. Se conced ían donaciones de hasta el 10 por ciento del costo G/SCM/Q2/AUS/25
Página 7
(hasta un máximo de 500.000 dólares anuales por un plazo no superior a tres años) de la inversión en
proyectos nuevos. Los solicitantes se evaluaban en función de sus posibilidades de éxito, del nivel de
innovación demostrado y de su capacidad de ponerse al frente de su rama de producción en Australia.
Los resultados de exportación no eran un elemento determinante para tener derecho a una donación.
V. PROGRAMAS SUBFEDERALES - TERRITORIO SEPTENTRIONAL Asistencia a la industria y al comercio
Pregunta 1
En el documento con signatura G/SCM/Q2/AUS/20, de 13 de agosto de 2001, Australia
respondió a la pregunta de los Estados Unidos sobre qué industrias habían recibido ayuda de
este programa, facilitando a esos efectos una lis ta de los sectores productivos. ¿Ha cambiado
sustancialmente esta lista para el período de notificación 2001-2003? De ser así, sírvanse
facilitar una lista actualizada de los secto res que se hayan beneficiado de este programa.
Respuesta
La lista de sectores que reciben ayuda coin cide con la que figura en el documento
G/SCM/Q2/AUS/20:
● Tecnología de la información
● Turismo y servicios turísticos
● Minería y servicios extractivos
● Servicios empresariales
● Servicios personales
● Silvicultura
● Fabricación y servicios de fabricación
● Venta al por menor, venta al por mayor y suministros
● Enseñanza
● Arte y cultura
● Desarrollo regional
● Asociaciones industriales varias
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DU COMMERCEG/SG/59
17 janvier 2003
(03-0244)
Comité des sauvegardes
RAPPORT AU COMITÉ DES NÉGOCIATIONS COMMERCIALES
SUR LA QUESTION DE MISE EN ŒUVRE EN SUSPENS
VISÉE AU TIRET 84
1. Conformément au paragraphe 12 de la Déclar ation ministérielle du 14 novembre 2001 et à la
section 13 de la Décision ministérielle sur les questions et préoccupations liées à la mise en œuvre du
14 novembre 2001, les questions de mise en œuvre en suspens énumérées dans le document
JOB(01)/152/Rev.1 "seront traitées de manière prioritaire" par les organes pertinents de l'OMC, qui
doivent faire rapport au Comité des négociations commerciales "d'ici à la fin de 2002 en vue d'une
action appropriée".
2. La section 9 du document JOB(01)/152/Rev.1 contient le tiret 84 constitué par une
proposition visant à modifier l'article 9:1 de l'Accord sur les sauvegardes. Selon le tiret 84,
"l'article 9:1 sera modifié afin que des mesures de sauvegarde ne soient pas appliquées aux
importations en provenance de pays en développement qui contribuent individuellement pour moins
de 7 pour cent aux importations totales et de 15 pour cent collectivement".
3. Le Comité des sauvegardes a examiné une proposition de la Colombie visant à modifier
l'article 9:1 à ses réunions ordinaires des 29 et 30 avril 2002, du 28 octobre 2002 et du
5 décembre 2002. Les déclarations des Membres sont consignées dans les comptes rendus de ces
réunions reproduits dans les documents G/SG/M /19, G/SG/M/20 et G/SG/M /21. Les paragraphes
représentatifs des déclarations faites et des discussions tenues aux réunions figurent aux annexes I, II
et III.
4. Le Comité des sauvegardes a également examiné cette question au cours d'une demi-journée
de consultations informelles le 4 octobre 2002.
5. Compte tenu des débats techniques résumés dans les annexes du présent rapport, le Comité ne
peut pas proposer de ligne de conduite au sujet de cette question faute de consensus.G/SG/59
Page 2
ANNEXE I
Extrait du compte rendu de la réunion ordinaire tenue par le Comité les 29 et 30 avril 2002
(G/SG/M/19)
E. MISE EN ŒUVRE - TIRET 84
137. Le Président a rappelé que, en vertu du paragraphe 12 de la Déclaration ministérielle du
14 novembre 2001 (WT/MIN(01)/DEC/1) et de la sect ion 13 de la Décision ministérielle sur les
questions et préoccupations liées à la mise en œuvre du 14 novembre 2001, les questions de mise en
œuvre en suspens "seront traitées de manière prioritaire" par les organes pertinents de l'OMC. Une
liste de ces questions figurait dans le document distribué sous la cote JOB(01)/152/Rev.1. Lasection 9 de ce document faisait référence au "tiret 84", qui comprenait une proposition de
modification de l'article 9:1 de l'Accord sur les sauvegardes "afin que des mesures de sauvegarde ne
soient pas appliquées aux importations en provenance de pays en développement qui contribuent
individuellement pour moins de 7 pour cent aux importations totales et de 15 pour cent
collectivement". L'auteur de cette proposition était la délégation de la Colombie. Le Président aégalement rappelé que, conformément au paragraphe 12 de la Déclaration ministérielle, le Comité des
sauvegardes devait faire rapport au Comité des négociations commerciales à ce sujet "d'ici à la fin de
2002 en vue d'une action appropriée".
138. Le Président a donné la parole à la Colombie pour qu'elle explique le fondement de sa
proposition de modification.
139. La déléguée de la Colombie a précisé qu'une copie de la déclaration contenant la proposition
faite par son pays avait été distribuée aux Membres. Elle a ensuite commencé à lire la proposition,
dont le texte est reproduit ci-après:
"Contexte: Au cours du processus préparatoire de la Conférence ministérielle de
Seattle, la Colombie a soumis à l'attention des Membres la propositiond'augmenter les pourcentages fixés à l'article 9 de l'Accord sur les sauvegardes.
Lors des travaux qui ont précédé la Conférence ministérielle de Doha, cette
proposition a pris corps, et il a été suggéré que les chiffres de 3 pour cent et de
9 pour cent donnés à l'article 9 de l'Accord sur les sauvegardes soient remplacés
par ceux de 7 pour cent et de 15 pour cent respectivement, s'agissant des mesures
de sauvegarde appliquées par un pays développé à un pays en développement. De
la sorte, on élargirait la disposition concernant le traitement spécial et différenciéen augmentant de 6 points de pourcentage les échanges commerciaux des pays en
développement non soumis à des mesures d'urgence. Il convient de préciser que
cette proposition aurait pour résultat que les limites actuellement fixées à
l'article 9:1 seraient maintenues dans les cas où la mesure de sauvegarde est
appliquée par un pays en développement et qu'elles seraient relevées lorsque leMembre appliquant la mesure est un pays développé. Cette proposition a été
présentée en gros sous le point 84, dans le cadre des questions de mise en œuvre
en suspens, et elle a été soumise pour étude à ce comité en application de la
décision des Ministres figurant au paragraphe 12 de la Déclaration de Doha.
Conformément à cette déclaration, le Comité devra, à la fin de l'année, fairerapport au Comité des négociations commerciales sur les résultats de l'analyse de
cette proposition de mise en œuvre.
Compte tenu de ce contexte et afin de promouvoir un large débat sur la
proposition visée, j'exposerai ci-après les raisons qui ont amené la Colombie àG/SG/59
Page 3
proposer de relever les chiffres fixés à l'article 9:1 de l'Accord sur les
sauvegardes; j'identifierai ensuite les éléments que nous avons pris en
considération aux fins de suggérer les chiffres que nous avons retenus pour
modifier l'article 9:1 de l'Accord sur les sauvegardes; enfin, j'énumérerai d'autres
éléments que le pourcentage et qui, selon nous, pourraient aussi faire l'objet d'uneanalyse plus approfondie.
Donc, voici les raisons qui justifient la proposition: La Colombie estime qu'il est
des raisons légitimes qui font qu'un Membre de l'OMC peut se voir contraint de
suspendre ses obligations multilatérales, suite à un dérèglement de son marché
intérieur. Je tiens donc à réaffirmer la légitimité et l'importance que nous
attachons à l'instrument que représentent les sauvegardes. Deux conditions sontexigées à l'article XIX de l'Accord général pour que les importations destinées à
un marché donné puissent donner lieu à l'application d'une mesure de sauvegarde.
Elles se rapportent à la quantité du produit importé et aux conditions dans
lesquelles se fait l'importation. À ce que nous comprenons, la logique
sous-jacente ici est tout simplement la reconnaissance d'une réalité économique, àsavoir que la pénétration sur un marché de marchandises en petites quantités n'est
pas de nature à modifier les conditions de ce marché et, partant, à causer un
dommage à la branche de production nationale. Cela dit, la disposition qui nous
intéresse, soit l'article 9:1, est sans aucun doute un développement du principe du
traitement spécial et différencié, et elle vise à maintenir les conditions d'accès despays en développement en cas d'adoption d'une mesure d'urgence. Par
conséquent, le relèvement des chiffres figurant à l'article 9:1 qu'a proposé la
Colombie aurait tout simplement pour résultat de garantir que, si les pays en
développement ont accès à un marché donné qui se trouve déréglé par suite
d'importations en provenance de pays développés, ce fait ne pénalisera pas labranche d'exportation des pays en développement dans la mesure où la part
individuelle de celle-ci ne dépasse pas 7 pour cent des importations totales du
produit faisant l'objet de l'enquête.
Il est arrivé en quelques occasions que la Colombie échappe à l'application de
mesures de sauvegarde parce qu'elle se situait dans la fourchette établie à
l'article 9:1. Aussi attachons-nous une grande importance à cette disposition, dontnous percevons clairement les avantages, et avons-nous conscience qu'une
augmentation de la marge de participation aux importations aurait une importance
significative pour l'accès aux marchés.
La récente augmentation du recours aux mesures de sauvegarde et les
négociations relatives à l'accès aux marchés de produits non agricoles créent à
notre avis un scénario d'autant plus propice à l'analyse de cette proposition. Nous
tenons aussi à dire qu'en dépit de la faible part qui est la leur sur le marché
mondial, les exportations colombiennes ont fait au cours des dernières années
l'objet de l'application de mesures de sauvegarde. Cette expérience nous a montréque les normes multilatérales contenaient un élément que l'on pourrait qualifier de
pervers et qui favoriserait l'application de mesures de sauvegarde pour des
périodes relativement courtes (moins de trois ans), puisque, en vertu de
l'article 8:3 de l'Accord sur les sauvegardes, la compensation n'est autorisée qu'à
partir de la troisième année d'application de la mesure. Or, dans les cas où lamesure n'est pas le résultat d'une augmentation en termes absolus des exportations
ou que l'application de la mesure n'est pas conforme à l'Accord, même si celui-ci
autorise la suspension de certaines concessions, il n'est pas facile de se prévaloirG/SG/59
Page 4
de cette disposition, et cela est tout particulièrement vrai pour les pays en
développement.
L'option qu'offre le mécanisme de règlement des différends comme moyen de
faire face aux effets négatifs d'une mesure de sauvegarde présente aussi desinconvénients. C'est que, d'une manière ou d'une autre, dans la majorité des cas,
le temps qui s'écoule entre l'interjection d'un appel et l'adoption d'une décision
définitive crée implicitement une période de grâce pendant laquelle la branche de
production nationale peut être protégée, à un coût énorme pour les entreprises
exportatrices qui se voient écartées d'un marché donné. Cela étant, la Colombie a
présenté au cours de la période préparatoire à la Conférence ministérielle de Doha
la proposition de mise en œuvre dont il a été question. Elle a également suggéréd'engager des négociations sur les sauvegardes pour examiner les questions
évoquées et d'autres questions pertinentes, et aussi pour améliorer le traitement
spécial et différencié accordé aux pays en développement.
J'arrive maintenant aux éléments de définition des limites proposées: Dans le
scénario exposé et face à la question de savoir quelle serait la limite à partir de
laquelle un pays en développement serait soustrait à l'application d'une mesure de
sauvegarde, la mention, à l'article 12:3 de l'Accord sur les sauvegardes, de l'intérêt
substantiel constitue un intéressant élément pour notre discussion. Dans la
pratique multilatérale, il est reconnu qu'un pays a un intérêt substantiel lorsque sapart dans les importations se situe aux environs de 10 pour cent. Dans ce sens,
aucun pays Membre, développé ou en développement, dont la part serait
inférieure à 10 pour cent, n'aurait le droit de participer aux consultations prévues à
l'article 12:3 de l'Accord sur les sauvegardes. Cette constatation nous a amenés à
penser qu'une part s'établissant à 10 pour cent constituerait une limite implicite departicipation pour un pays en développement. En dessous de ce chiffre, il faudrait
faire appel à une disposition reconnaissant le caractère marginal des importations
réalisées à de tels niveaux et garantissant par conséquent que soit épargné à
celles-ci l'application de quelque type de mesure que ce soit. Autrement dit,
3 pour cent pourrait être un bon chiffre s'agissant des échanges commerciaux entre
pays en développement, mais, pour ce qui est de l'accès aux marchés des pays
développés, il serait plus logique de porter ce chiffre aux environs de 10 pourcent; au-dessous, les importations ne feraient pas l'objet de mesures de
sauvegarde.
Pour conclure, une ou deux autres questi ons qui feront l'objet d'une analyse en
rapport avec la mise en œuvre de l'article 9:1. Nous aimerions appeler l'attentiondes Membres sur l'existence d'autres éléments concernant l'application de
l'article 9:1 qui pourraient faire l'objet d'une décision interprétative au sens de
l'article IX de l'Accord instituant l'OMC, comme la définition de la période à
retenir pour calculer la part des pays en développement, ainsi que la méthodologie
à suivre pour calculer les limites dans l'article mentionné."
140. Le délégué du Brésil a insisté sur l'importance d'accélérer le débat sur cette question si l'on
tenait à respecter le délai fixé au paragraphe 12 de la Déclaration de Doha.
141. Le délégué des États-Unis a fait quelques observations préliminaires et posé quelques
questions concernant la proposition de la Colombie. En premier lieu, il a mentionné, eu égard au
mandat du Comité, qu'une grande partie de la proposition de la Colombie allait au-delà de l'objectif
recherché par le tiret 84. Par exemple, les États-Unis ont noté que le dernier paragraphe de la
proposition soulevait un certain nombre de questions dont la portée allait bien au-delà du tiret 84. IlsG/SG/59
Page 5
ont également noté que la proposition elle-même établissait une distinction entre les pays développés
et les pays en développement Membres importateurs, distinction qui ne se retrouvait ni à l'article 9 ni
au tiret 84. Ils s'interrogeaient donc sur les raisons de cette distinction et se demandaient pourquoi
cette proposition ne devrait pas s'appliquer aussi aux pays en développement importateurs.
142. Le représentant du Venezuela a dit que les idées contenues dans la proposition de la Colombie
constituaient un bon point de départ pour clarifier les normes et les disciplines de l'Accord,
particulièrement le développement et l'application du traitement spécial et différencié prévu à
l'article 9:1, qui vise à maintenir de bonnes conditions d'accès aux marchés pour les pays en
développement lorsque des mesures de sauvegarde sont adoptées. La délégation du Venezuela
estimait que la proposition de la Colombie représentait une contribution importante et opportune au
maintien des conditions d'accès aux marchés pour les pays en développement à une époque où il
semblait y avoir un accroissement important du recours aux mesures de sauvegarde.
143. Le délégué des Communautés européennes a indiqué que cette question présentait une grande
importance sur le plan pratique étant donné que l'expérience avait montré que l'article 9 s'appliquait
souvent lorsque des mesures de sauvegarde étaient imposées. Il était évident pour les Communautés
européennes que la proposition de la Colombie modifierait substantiellement l'article 9 puisqu'elle
doublait, à tout le moins, le seuil de minimis fixé pour l'exemption obligatoire des importations des
pays en développement pris individuellement.
144. La délégation des Communautés européennes a appelé l'attention du Comité sur ses trois
grands sujets de préoccupation. Le premier était que la proposition de la Colombie se traduirait par
une extension substantielle de la portée d'une exception par ailleurs étroite au principe général de
l'application erga omnes des mesures de sauvegarde. En second lieu, la soustraction d'une partie
importante des importations à l'application des mesures – selon la proposition jusqu'à 15 pour cent,
chiffre qui se référait à des importations susceptibles de causer un dommage grave – pourrait
amoindrir l'efficacité de cet instrument. Enfin, et non le moindre, les Communautés européennes
croyaient comprendre que la proposition s'appliquait seulement aux mesures de sauvegarde adoptées
par les Membres développés de l'OMC. Les pays en développement qui utiliseraient cet instrumentbénéficieraient de seuils moins élevés. Du point de vue des Communautés européennes, il s'agirait là
d'un changement de paradigme inconnu dans les règles actuelles applicables aux instruments de
défense commerciale en général qui créerait deux catégories différentes d'utilisateurs de ces
instruments. Les Communautés européennes avaient de sérieuses réserves vis-à-vis de cette approche
et ne croyaient pas qu'il s'agisse là d'une manière souhaitable d'accomplir des progrès.
145. Les Communautés européennes ont noté que la déclaration de la Colombie se référait
également à des questions intéressantes telles que la détermination de la période de référence pour lesseuils prévus à l'article 9:1. Elles estimaient qu'il y avait matière à échanges plus fructueux sur ce
point et ont fait savoir qu'elles seraient disposées à engager un débat à ce sujet.
146. Le délégué du Canada a posé deux questions préliminaires, en attendant un examen plus
poussé de la proposition de la Colombie. La première se référait à la proposition initiale de la
Colombie qui avait suggéré de relever de 3 à 7 pour cent et de 9 à 15 pour cent respectivement lesseuils prévus à l'article 9:1. Or, dans le document, la Colombie établissait le seuil à 10 pour cent. Le
Canada se demandait donc quelle était la position actuelle de la Colombie pour ce qui était des seuils
qui figuraient actuellement à l'article 9:1, et si la modification de ces seuils constituait une révision de
la proposition initiale de la Colombie.
147. Dans sa seconde question, le Canada notait que l'une des raisons qu'avait avancées la
Colombie pour justifier sa proposition de relever les niveaux fixés à l'article 9:1 était la longueur des
délais associés au processus de règlement des différends. Il a demandé à la Colombie d'expliquerG/SG/59
Page 6
davantage cette idée étant donné qu'il semblait que la Colombie se référait à des questions liées à la
mise en œuvre de l'article 9:1 plutôt qu'aux seuils réels prévus dans cette disposition.
148. Le délégué de l'Égypte a réservé son droit de formuler des observations ultérieurement.
149. Le délégué du Japon a indiqué que le seuil proposé par la Colombie était trop élevé dans la
mesure où il aurait pour effet de diminuer l'efficacité d'une mesure de sauvegarde, et donc d'altérer
l'esprit de l'Accord lui-même. Deuxièmement, la proposition de la Colombie ne risquait-elle pas de
déboucher sur un "système à deux vitesses" dans le cadre de l'Accord. Le Japon comprenait
l'obligation relative au traitement spécial et différencié, ou son existence et son esprit, et était disposé
à faire le maximum pour obtenir des règles s'y rapportant. Toutefois, il estimait qu'appliquer le
principe du traitement spécial et différencié et créer un système à deux vitesses dans le domaine de
règles, y compris celles applicables aux sauvegardes, c'étaient deux choses différentes. Il craignait
que cette façon de procéder ne débouche sur un système à deux vitesses dans l'Accord, c'est-à-direune distinction entre les pays en développement et les pays développés.
150. Le délégué de la Chine s'est dit d'accord pour examiner de manière positive la proposition de
la Colombie.
151. Le délégué de la Malaisie a fait valoir qu'étant donné que cette question touchait à la mise en
œuvre, il appartenait indiscutablement au Comité de débattre la proposition de la Colombie. Le
Comité avait le mandat de faire rapport au CNC et il serait certes indiqué de poursuivre le débat sur la
proposition de la Colombie. La Malaisie a noté que la Colombie avait soulevé un certain nombre de
points à l'appui de sa proposition concernant l' accès aux marchés pour les pays en développement
confrontés à des mesures de sauvegarde et la difficulté de recourir au mécanisme de règlement des
différends pour les pays en développement en cas de divergence. Elle estimait que la Colombie avaitmentionné un certain nombre de points qui seraient utiles pour la poursuite du débat, et de ce fait, il
conviendrait que le Comité continue ses discussions à la prochaine réunion ou à l'occasion d'une
session informelle.
152. À la lumière de l'intervention de la Malaisie, le délégué des États-Unis s'est interrogé à savoir
si la proposition était conforme au mandat du Comité tel qu'établi à la Conférence ministérielle de
Doha. Les États-Unis estimaient que la proposition de la Colombie incorporait des éléments qui
allaient bien au-delà de ce que les Ministres avaient envisagé lorsqu'ils avaient approuvé le processus
de mise en œuvre. De ce fait, à titre de mesure préliminaire, le Comité devrait déterminer si oui ou
non, cette proposition particulière s'inscrivait dans son mandat. Les États-Unis étaient disposés à
engager des consultations informelles sur ce point.
153. Le Président a proposé d'organiser des consultations informelles sur toutes les questions
soulevées relativement à la proposition de la Colombie avant la prochaine réunion ordinaire du
Comité, lorsque toutes les questions liées aux consultations seraient abordées, y compris celles
qu'avaient soulevées les États-Unis. Il a aussi proposé que, pour faciliter l'échange de vues, les
Membres communiquent leurs points de vue et leurs questions par écrit.
154. Le délégué de la Colombie a répondu à quelques-unes des questions que les Membres avaient
soulevées. S'agissant de savoir si la proposition était la même que celle qui figurait sur la liste des
questions en suspens concernant la mise en œuvre, la Colombie était d'avis qu'il s'agissait de la
proposition présentée pour les fins des consultations in formelles. À son sens, le traitement spécial et
différencié était fondamental pour l'accès aux marchés, raison pour laquelle elle attachait une grande
importance au relèvement des seuils prévus à l'article 9.
155. S'agissant de la création de deux systèmes ou d'un système à deux vitesses pour les
obligations, la Colombie était d'avis qu'une telle situation existait déjà étant donné que l'article 9:1G/SG/59
Page 7
établissait deux catégories de traitement selon que le pays considéré était en développement ou non.
Elle croyait qu'il était nécessaire de reconnaître plus d'espace aux pays en développement et que cela,
en principe, ne changerait rien si ce n'était que d'améliorer le traitement spécial et différencié.
156. S'agissant du seuil de 10 pour cent, la Colombie a remarqué qu'elle n'avait pas modifié sa
proposition. Elle s'était simplement référée à l'idée qu'une part d'environ 10 pour cent constituait unintérêt substantiel pour les besoins de l'Organisation. Elle espérait que le débat s'élargirait
sensiblement à la faveur des consultations informelles proposées.
157. Le Comité a décidé de tenir des consultations informelles sur la question de la mise en œuvre
du traitement spécial et différencié prévu à l'article 9 soulevée par la Colombie.G/SG/59
Page 8
ANNEXE II
Extrait du compte rendu de la réunion ordinaire tenue par le Comité le 28 octobre 2002 (G/SG/M/20)
1. Le représentant des Communautés européennes a indiqué que, bien que les Communautés
européennes aient toujours des réserves vis-à-vis de la proposition sous sa forme présente, elles
étaient disposées à l'examiner dans un esprit d'ouverture. Certaines questions devraient toutefois être
éclaircies. Les aspects à préciser étaient les suivants: existait-il des preuves tangibles des difficultés
causées par les seuils de minimis à leur niveau actuel? Sur quels critères avait-on retenu ces seuils
qui, au niveau proposé, semblaient plutôt illusoires? Le seuil cumulatif resterait-il ou non un élément
essentiel de la proposition? Pour quelles raisons n'appliquait-on les seuils les plus élevés que lorsqueles enquêtes étaient menées par des utilisateurs de pays développés, option qui, selon les
Communautés européennes, n'était pas viable à long terme?
2. Le représentant de la Thaïlande a dit que, lors des dernières consultations informelles du
Comité des sauvegardes, sa délégation avait pris la parole pour assurer la Colombie de son appui à la
proposition de modification de l'article 9:1 de l'Accord sur les sauvegardes. La Thaïlande a réaffirmé
son appui sans réserve à la proposition de la Colombie. En outre, elle a souligné l'importance qu'il y
avait à ce que les Membres respectent l'échéance fixée pour l'achèvement des négociations. Dans
cette optique, elle demandait aux Membres de se montrer plus souples et d'aborder de façon
constructive le débat en cours, qui revêtait beaucoup d'importance pour les pays en développement.
3. La Thaïlande avait exprimé en parallèle ses préoccupations concernant plusieurs questions
liées à la mise en oeuvre de l'Accord sur les sauvegardes. Elle jugeait valables les arguments avancés
en faveur de ces éléments connexes au vu de l'accroissement récent du recours aux mesures de
sauvegarde. Dans un certain nombre de cas, plusie urs pays en développement, dont la Thaïlande,
auraient pu bénéficier des dispositions de l'article 9:1 si l'on avait retenu une période appropriée pour
la détermination des parts de minimis des importations. Dans le contexte de cet article, les avantages
auxquels les pays en développement pouvaient prétendre seraient annulés si l'on choisissait de
manière irréfléchie ou arbitraire la période permettant de déterminer la part de minimis des
importations. À cet égard, la Thaïlande souhaitait s'associer aux préoccupations exprimées par la
Colombie sur cette question. Toutefois, faute de temps, elle s'abstenait à ce stade de disserter plus
longuement sur ce point et sur d'autres qui la préoccupaient également, car elle ne souhaitait pascompliquer les choses au risque de ralentir le débat. La Thaïlande n'écartait pas pour autant la
possibilité de revenir sur toutes ces questions en temps opportun. Cela étant dit, la Thaïlande a réitéré
l'importance qu'il y avait à respecter l'échéance fixée, car la crédibilité de l'Organisation en dépendait,
ainsi que l'équilibre global des négociations.G/SG/59
Page 9
ANNEXE III
Extrait du compte rendu de la réunion ordinaire tenue par le Comité le 5 décembre 2002 (G/SG/M/21)
1. Le représentant de la Colombie a rappelé que, avant la réunion formelle du Comité en
avril 2002, son pays avait présenté un document qui, outre certains détails donnant corps à sa
proposition, expliquait les raisons qui l'avaient amené à vouloir accroître l'accès aux marchés en
améliorant l'article 9:1 de l'Accord sur les sauvegardes, qui était une disposition particulière
concernant le traitement spécial et différencié.
2. La Colombie a indiqué qu'elle avait rallié le soutien d'un grand nombre de pays en
développement en faveur de sa proposition. Elle a souligné que, entre autres observations, ils avaient
mis l'accent sur le fait que les sauvegardes étaient une mesure corrective s'appliquant à des échanges
commerciaux loyaux et pour laquelle les pays en développement devaient bénéficier de plus de
flexibilité. Dans le même ordre d'idées, ils avaient insisté sur la pertinence de cette proposition dans
le contexte actuel des négociations et s'agissant en particulier du mandat concernant les produits
industriels.
3. La Colombie a remercié le Comité de l'intérêt manifesté pour sa proposition. Elle jugeait très
utiles les discussions d'avril et d'octobre 2002 tant aux réunions formelles qu'informelles. Elle se
félicitait des questions qui avaient été soulevées et auxquelles elle avait répondu au cours des
réunions. Elle a rappelé certaines des réponses qu'elle avait fournies au sujet des limites en vigueur
visées à l'article 9:1. Pour ce qui était des raisons qui l'avaient amenée à proposer de relever les seuilsfixés à l'article 9:1, la Colombie avait indiqué que les chiffres actuellement inscrits dans l'Accord
étaient bas et que le mécanisme de sauvegarde, selon elle, pouvait être amélioré afin de faciliter
l'accès sans porter préjudice à la branche de production nationale des pays développés. Pour ce qui
était de la logique sous-tendant les limites proposées, 7 pour cent et 15 pour cent, la Colombie avait
indiqué que ces chiffres avaient été établis compte tenu d'autres facteurs, y compris, entre autres, lanotion d'"intérêt substantiel" visée à l'article 12:3.
4. S'agissant des motifs pour lesquels il avait été établi que seuls les pays développés
appliqueraient des pourcentages plus élevés, la Colombie avait dit que, pendant la phase préparatoire
de Doha, elle avait échangé des vues avec de nombreux pays en développement. Ceux-ci avaient
indiqué qu'ils envisageraient favorablement la mise en œuvre de cette proposition si les augmentations
ne concernaient que le monde développé.
5. Pour ce qui était de la portée de la proposition, la Colombie a noté qu'il s'agissait d'une
question de procédure soulevée par certains Membres. La Colombie était préoccupée par le temps
consacré à l'examen de ce type de question, qui réduisait d'autant celui consacré au débat sur les
questions de fond qui intéressaient les pays en développement. Elle jugeait inquiétant qu'un pays ne
puisse pas ajuster des propositions en fonction des résultats du processus de mise en œuvre. Elle avait
proposé de préciser sa proposition à cet égard lors des consultations informelles tenues avant laConférence ministérielle de Doha. Le fait que rien n'était dit de cette initiative de la Colombie dans le
document JOB(01)/152/Rev.1 ne devait pas être considéré comme empêchant de prendre en
considération les préoccupations des pays en développement.
6. S'agissant de l'action à entreprendre, la Colombie a estimé que le Comité des négociations
commerciales devrait donner pour instruction au Comité des sauvegardes de revenir sur cette questiondu moment que des Membres l'avaient soulevée. Il conviendrait de travailler sur les divers éléments
en jeu pour dégager un consensus en faveur du renforcement du traitement spécial et différencié dans
l'Accord sur les sauvegardes.G/SG/59
Page 10
7. Le représentant de la Chine a exprimé son appui sans réserve à la proposition de la Colombie.
La Chine pensait que les pays en développement étaient depuis longtemps pénalisés pour ce qui était
des infrastructures de base, des moyens de production et des expériences de gestion de sorte que leur
part dans les échanges internationaux était relativement faible. Pour assurer aux pays en
développement une part de la croissance du comm erce mondial en rapport avec les besoins de leur
développement économique, un traitement spécial et différencié leur avait été ménagé dans plusieurs
Accords de l'OMC.
8. De l'avis de la Chine, toutefois, avec le développement du commerce international et
l'accroissement des exportations des pays en développement, l'exemption en vigueur de 3 pour cent et
9 pour cent fixée à l'article 9:1 de l'Accord sur les sauvegardes ne correspondait plus à la situation
courante des échanges internationaux et n'offrait plus de traitement spécial et différencié valable et
effectif aux pays en développement. En conséquence, comme la Déclaration ministérielle de Doha leleur demandait, les Membres devaient réexaminer cet article en vue de le renforcer et de le rendre plus
précis, plus effectif et plus opérationnel. La Chine estimait que la proposition visant à appliquer des
critères d'exemption de 7 pour cent et 15 pour cent était valable et raisonnable et méritait à ce titre
d'être examinée par les Membres dans l'accomplissement du mandat de Doha.
9. Le représentant de l'Australie a affirmé qu'un pays comme le sien, qui dépendait désormais
entièrement des droits de douane pour sa protection, devait s'appuyer sur les instruments de l'OMC
comme l'Accord sur les sauvegardes pour parer à la désorganisation du marché causée par les
importations. À son avis, la proposition de la Colombie compromettrait l'efficacité des mesures de
sauvegarde.
10. L'Australie jugeait que, en excluant une part aussi importante des importations en provenance
de pays en développement de l'application des mesures de sauvegarde, en particulier dans les cas où
ces importations pouvaient représenter une part importante du commerce d'exportation mondial du
produit devant être soumis aux mesures de sauvegarde, on modifierait sensiblement l'équilibre des
droits et des obligations au titre de l'Accord sur les sauvegardes.
11. L'Accord sur les sauvegardes reconnaissait et établissait déjà un traitement spécial et
différencié en faveur des pays en développement. Par ailleurs, il suffisait d'observer les pays qui
prenaient des mesures de sauvegarde pour comprendre qu'il n'était pas juste d'affirmer que seuls les
pays développés se prévalaient de ces mesures correctives commerciales. Exclure les importations
des pays en développement de l'application des mesures de sauvegarde, c'était compromettre
gravement le recours à ce type de mesure corrective commerciale.
12. L'Australie a rappelé qu'à la réunion d'avril les Communautés européennes avaient dit que
l'article 9 était souvent invoqué en faveur des pays en développement. À leur instar, l'Australiecraignait que modifier l'article 9 ne revienne à changer notablement l'exception faite en faveur des
pays en développement de sorte que des volumes substantiels d'importations en provenance de pays
en développement causeraient un dommage. L'Australie souscrivait à l'analyse des Communautés
européennes, qui estimaient qu'appliquer uniquement l'article 9:1 aux mesures adoptées par les pays
développés reviendrait à créer deux catégories différentes d'instruments de défense.
13. Le représentant de la Thaïlande a remercié les autres Membres pour l'esprit constructif et la
flexibilité avec lesquels ils avaient participé au processus. Bien que la base sur laquelle le Comité
devait faire rapport ne soit peut-être pas la meilleure et que le rapport lui-même ne fasse pas
l'unanimité, la Thaïlande estimait que les débats stimulaient la réflexion et facilitaient les échanges de
vues sur la question. Fait plus important encore, la Thaïlande tenait particulièrement à féliciter lePrésident pour l'approche adaptée et satisfaisante qu'il avait adoptée pour l'établissement de son
rapport. Selon elle, l'approche du Président était constructive et avait le mérite de dissiper le moindreG/SG/59
Page 11
doute que le rapport crée un précédent fâcheux pour l'avenir. La Thaïlande était heureuse que les
préoccupations légitimes exprimées par les Membres aient été prises en compte.
14. Concernant les autres questions relatives à la mise en œuvre de l'Accord sur les sauvegardes,
la Thaïlande a exhorté les Membres à se montrer aussi constructifs que pour le débat sur la
proposition concernant le tiret 84. La Thaïlande comptait prendre une part active aux futurs débatssur ces questions.
15. Le représentant de la Corée a fait siennes les préoccupations de la Colombie selon lesquelles
l'augmentation récente du recours aux mesures de sauvegarde risquait de compromettre les résultats
des négociations successives sur l'accès aux marchés. La Corée pensait elle aussi que les pays en
développement Membres pouvaient être moins bien armés face à ces mesures et que le relèvement
proposé des seuils fixés à l'article 9:1 présentait des avantages que le Comité devait examiner
attentivement. Toutefois, la Corée craignait que cette proposition ne soit difficile à concrétiser carelle exigeait la modification de l'Accord et certains de ses éléments semblaient sortir des limites du
mandat. La Corée se demandait également s'il était opportun, comme le prévoyait la proposition, de
créer un système à deux vitesses. En outre, la Corée souhaitait faire observer qu'aucune explication
claire n'avait été donnée pour ce qui était de la modification des seuils proposés.
16. Le représentant du Japon a dit que les mesures de sauvegarde reposaient sur le principe de la
non-discrimination énoncé à l'article 2:2 de l'Accord sur les sauvegardes. L'article 9:1 constituait une
forme d'exception au principe de la non-discrimination afin de garantir un accès aux marchés aux pays
en développement dont le volume des importations était très faible en termes relatifs. Si les seuils
fixés à l'article 9:1 étaient portés au niveau proposé par la Colombie, il était possible que même les
importations en provenance de pays en développement ayant de fortes capacités d'exportation soientexclues de l'application des mesures de sauvegarde; l'efficacité des mesures de sauvegarde s'en
trouverait amoindrie car, si ces importations causaient ou menaçaient de causer un dommage grave à
la branche de production nationale, elles n'en échapperaient pas moins pour une large part aux
mesures de sauvegarde. En outre, rien ne justifiait que l'on fasse la distinction entre les mesures
imposées par les pays en développement et les mesures imposées par les pays développés, et dans cedomaine également la proposition colombienne ne contenait pas d'explication logique suffisante.
17. Le représentant des États-Unis a réitéré les préoccupations de son pays selon lesquelles une
grande partie de la discussion du Comité au sujet du tiret 84 avait porté sur des questions relatives à
l'article 9:1 de l'Accord sur les sauvegardes qui paraissaient aller au-delà du tiret 84 voire même du
mandat conféré par les Ministres. Indépendamment de ces préoccupations, il était clair de toute façon
que le Comité était loin d'un consensus sur le tiret 84 et que, dans l'éventualité d'une modification de
ce tiret 84, le consensus serait encore plus improbable. En conséquence, le Comité devait informer leCNC de l'absence de consensus sur ce tiret.
18. Les États-Unis ont toutefois fait observer que la discussion menée au Comité avait eu l'intérêt
de montrer que beaucoup de Membres avaient des réserv es concernant l'article 9:1 qui allaient au-delà
des questions soulevées par le tiret 84. De ce fait, le Comité était convenu à sa réunion d'octobre
d'inscrire cet éventail plus large de questions relatives à l'article 9:1 à l'ordre du jour de sa réunionordinaire suivante en avril, avec une série de consultations informelles préalables ayant pour objet de
définir les diverses questions que les Membres souhaitaient examiner. Les États-Unis étaient heureux
que le Comité ait décidé d'examiner ces questions plus vastes dans le cadre de ses travaux ordinaires
et attendaient avec intérêt les débats programmés pour la réunion d'avril 2003 dont ils espéraient qu'ils
éclaireraient ces questions.
19. Le représentant de l'Égypte tenait à ce qu'il soit pris acte des profondes inquiétudes de son
pays concernant toute proposition relative à l'article 9 susceptible de modifier les droits et les
obligations au titre de l'Accord sur les sauvegardes.G/SG/59
Page 12
20. Le représentant du Brésil a dit qu'il était devenu la règle, et non l'exception, pour les Membres
d'arriver au terme des délais fixés pour l'examen des questions de mise en œuvre sans résultats.
Malheureusement, l'examen de la proposition de la Colombie visée au tiret 84 suivait ce schéma. Le
Brésil, depuis le début, appuyait l'idée de la Colombie de relever les niveaux " de minimis " dans le cas
des enquêtes menées par des pays développés concernant les exportations de pays en développement.
S'il avait été octroyé, le traitement spécial et différencié proposé aurait offert aux exportateurs des
pays en développement de meilleures possibilités d'accès aux marchés des pays développés. Étant
donné leurs difficultés structurelles à exporter, dès lors que des exportateurs de pays en
développement étaient évincés des marchés des pays développés, ils avaient beaucoup plus de mal à y
refaire leur place. Si les Membres relevaient les seuils " de minimis " pour les pays en développement
dans le cas des enquêtes menées par les pays développés, ils atténueraient ce phénomène. Ce seraitune mesure juste qui aiderait à donner un sens à l'expression "Cycle du développement de Doha" dans
le domaine des sauvegardes. Comme les Membres ne pouvaient pas arriver à un consensus au Comité
des sauvegardes, ils devraient attendre les directives du CNC à cet égard.
21. Le Brésil a réitéré ses observations au sujet d'une question particulière soulevée au cours des
discussions, à savoir que, selon certaines allégations, la proposition soumise au Comité n'était pas laproposition initiale présentée lors de la préparation de Doha. Il a indiqué que, selon certains
Membres, la proposition, sous sa forme actuelle, ne donnait pas à entendre que les seuils " de minimis "
plus élevés ne s'appliquaient qu'aux enquêtes menées par des pays développés. Le Brésil a répété qu'il
s'inscrivait totalement en faux contre cette as sertion. Comme elle l'avait dit précédemment, la
Colombie avait pour intention déclarée de ne faire appliquer la proposition qu'aux enquêtes menéespar des pays développés. C'était un fait établi qui avait été examiné au cours des consultations
informelles préalables à Doha. Naturellement, lorsque les "tirets" relatifs à la mise en œuvre avaient
été regroupés, ils avaient été présentés sous une forme abrégée, sans quoi il aurait peut-être été
impossible de traiter tous les aspects de chaque proposition. Malheureusement, dans ce cas d'espèce,
le processus avait amené certains Membres à se méprendre sur le mandat. Le Brésil a réaffirmé que lemandat n'avait pas du tout été modifié et que la proposition avait simplement été détaillée compte tenu
des discussions préalables à Doha, ce que, bien entendu, le résumé du mandat ne pouvait
complètement rendre.
22. Le représentant des Communautés européennes a dit que, bien que sa délégation ait poussé la
réflexion sur la proposition de la Colombie, ses vues n'avaient pas beaucoup changé concernant
l'importante proposition visant à relever les seuils de minimis figurant dans l'article 9:1. Les CE
croyaient comprendre que les Membres étaient en train de dire ce qu'il pensaient de la propositionmodifiée que la Colombie avait présentée à la réunion ordinaire du Comité d'avril. Certes, la
proposition modifiée ne s'appliquait qu'aux mesures de sauvegarde prises par les pays développés,
mais il ne s'agissait pas de la proposition sur laquelle le Comité était formellement tenu de faire
rapport pour la fin de l'année. Les CE ne voulaient pas soulever de question de procédure à ce sujet,
mais seulement dissiper toute équivoque. Elle s considéraient qu'un tel changement modifiait
notablement l'équilibre des droits et des obligations au titre de l'Accord sur les sauvegardes et que
cette nouvelle proposition visant à établir une distinction chiffrée pour les niveaux des pays
importateurs ne leur semblait pas avoir de précédent aisément discernable dans les autres instruments
de défense commerciale.
__________
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WTO_99/R_G_TBT_W218.pdf
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R_G_TBT_W218
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ORGANISATION MONDIALE
DU COMMERCEG/TBT/W/218
27 juin 2003
(03-3457)
Comité des obstacles techniques au commerce Original: anglais
DÉCLARATION DE CONFORMITÉ DU FOURNISSEUR
Communication des Communautés européennes
I. INTRODUCTION
1. La présente note a pour but d'expliquer le système des Communautés européennes (CE)
concernant l'utilisation de la "déclaration de conformité du fournisseur1" et leur expérience dans ce
domaine. On y examine les conséquences possibles pour la surveillance du marché et la
responsabilité du fait du produit, ainsi que les coûts et les avantages qui lui sont associés.
2. La définition de la déclaration du fournisseur utilisée dans ce document est la suivante.
Le fournisseur déclare personnellement que son produit est conforme aux prescriptions de la
législation applicable sans l'intervention obligatoire d'un tiers – ni pendant la phase de conception, ni
pendant la phase de production du processus de fabrication – qui consisterait à effectuer des essais
sur le produit conformément à la législation pertinente. La déclaration de conformité du fournisseur
est fondée sur l'évaluation ou les essais effectués par le fabricant lui-même ou toute autre partie.
II. L'EXPÉRIENCE DES COMMUNAUTÉS EUROPÉENNES
3. L'expérience des CE en ce qui concerne l'utilisation de la déclaration de conformité du
fournisseur s'est inscrite dans le cadre des Directives fondées sur la nouvelle approche.2
Les Directives fondées sur la nouvelle approche sont des réglementations concernant la sécuritétechnique d'un large éventail de produits industriels . Elles énoncent les prescriptions d'intérêt public
essentielles pour des familles de produits (traitant de la sécurité, de la protection de la santé et de
l'environnement), les procédures d'évaluation de la conformité pertinentes adaptées aux risquesparticuliers inhérents à la famille de produits concernée et le marquage "CE" que le fabricant doit
apposer sur les produits avant de les mettre en vente sur le marché.
1 Veuillez noter que la "déclaration de conformité du fournisseur" est parfois appelée "déclaration de
conformité du fabricant" ou "autodéclaration de conformité". La notion que recouvrent ces termes est la même.
Un fournisseur, d'après la définition donnée dans le Gu ide ISO/CEI 22:1996, est la partie qui fournit le produit,
le processus ou le service et il peut s'agir d'un fabricant, d'un distributeur, d'un importateur, d'une entreprised'assemblage, etc.
2 En 1985, la Résolution du Conseil concernant une "Nouvelle approche en matière d'harmonisation
technique et de normalisation" a fourni un nouveau cadre pour l'harmonisation des réglementations nationales
applicables aux produits industriels. Ultérieurement, la Résolution du Conseil du 21 décembre 1989 concernantune "Approche globale en matière d'évaluation de la conformité", suivie de la Décision du Conseiln° 93/465/EEC du 22 juillet 1993 a spécifié de manière pl us détaillée les procédures de certification en
introduisant les "modules" relatifs à l'évaluation de la conformité et les règles d'apposition et d'utilisation du
marquage "CE" de conformité.G/TBT/W/218
Page 2
4. L'évaluation de la conformité utilisant la déclaration de conformité du fournisseur est
appliquée dans certaines Directives fondées sur la nouvelle approche3, qui couvrent certaines
catégories de produits dans les domaines: du matériel électrique, des machines, des jouets, des
dispositifs médicaux, des équipements de protection individuelle, des bateaux de plaisance, des
équipements hertziens et équipements de télécommunications, et des équipements destinés à êtreutilisés en atmosphères explosibles . En tant que modèle de base ("Module A") pour l'évaluation de la
conformité dans ces domaines, elle reflète aussi la politique des CE au sens large visant à promouvoir
un système fondé sur la confiance, la transparence et la compétence . L'utilisation de la déclaration de
conformité du fournisseur est principalement liée à l'application des normes européennes harmonisées
qui sont élaborées par les organismes européens de normalisation que sont le CEN, le CENELEC et
l'ETSI suivant un mandat qui leur est confié par les CE . Ces normes comportent des spécifications
techniques visant le respect des exigences essentielles concernées . Le processus de normalisation
offre la possibilité de transposer les normes et d'incorporer les normes internationales établies par
l'ISO, la CEI et l'IUT-T à mesure qu'elles deviennent disponibles . Toutefois, l'utilisation des normes
européennes harmonisées reste facultative et les fabricants ont la faculté de choisir n'importe quelle
solution technique pour se conformer aux exigences essentielles concernées . La non-application des
normes harmonisées peut toutefois, selon la directive applicable, impliquer l'intervention d'une tiercepartie.
5. Pour tous les produits destinés à être mis sur le marché, le fournisseur doit faire en sorte qu'ils
satisfont aux prescriptions de la législation pertinente . L'utilisation de la déclaration de conformité du
fournisseur impose au fournisseur de tenir compte des prescriptions relatives à la documentation et à
la déclaration . Le fournisseur doit constituer un dossier technique contenant la documentation qui
couvre la conception, la fabrication et les aspects opérationnels du produit, reflétant les résultats d'une
évaluation appropriée des risques et, le cas échéant, contenant les résultats des essais obtenus par un
laboratoire compétent. Le fournisseur doit aussi établir et garder avec le dossier, une copie de la
déclaration de conformité . Le fournisseur doit la conserver pendant une période dont l'échéance est
d'au moins dix ans à compter de la date où le dernier produit a été fabriqué et doit la tenir à ladisposition des autorités nationales compétentes à des fins d'inspection . Le fournisseur assume
l'entière responsabilité de la mise en vente du produit sur le marché et doit prendre toutes les mesures
nécessaires pour que le processus de fabrication assure la conformité des produits manufacturés à la
documentation technique et aux prescriptions de la législation pertinente.
3 Directive du Conseil n° 73/23/EEC concernant le rapprochement des législations des États membres
relatives au matériel électrique destiné à être employé dans certaines limites de tension, Directive du
Conseil n° 88/378/EEC concernant le rapprochement des législations des États membres relatives à la sécurité
des jouets, Directive du Conseil n° 89/336/EEC concernant le rapprochement des législations des États membresrelatives à la compatibilité électromagnétique, Directiv e n° 98/37/EC du Parlement européen et du Conseil
concernant le rapprochement des législations des États membres relatives aux machines, Directive du Conseiln° 89/686/EEC concernant le rapprochement des législations des États membres relatives aux équipements deprotection individuelle, Directive du Conseil n° 93/42/EEC relative aux dispositifs médicaux,
Directive n° 94/25/EC du Parlement européen et du Conseil concernant le rapprochement des dispositions
législatives, réglementaires et administratives des États membres relatives aux bateaux de plaisance,Directive n° 96/57/EC du Parlement européen et du Cons eil concernant les exigences en matière de rendement
énergétique des réfrigérateurs, congélateurs et appareils combinés électriques à usage ménager,
Directive n° 97/23/EC du Parlement européen et du Conseil relative au rapprochement des législations des États
membres concernant les équipements sous pression, Directive n° 98/79/EC du Parlement européen et du Conseil
relative aux dispositifs médicaux de diagnostic in vitro, Directive n° 1999/5/EC du Parlement européen et duConseil concernant les équipements hertziens et les équipements terminaux de télécommunications et lareconnaissance mutuelle de leur conformité, Directiv e n° 94/9/EC du Parlement européen et du Conseil
concernant le rapprochement des législations des États membres pour les appareils et les systèmes de protection
destinés à être utilisés en atmosphères explosibles.G/TBT/W/218
Page 3
6. Pour certaines catégories de produits à plus haut risque couvertes par les Directives fondées
sur la nouvelle approche, il est prescrit une mesure additionnelle qui implique l'intervention d'un
organisme de certification extérieur . Cela permet de faire un examen d'un type de produit, de
constituer le dossier technique ou d'effectuer des essais additionnels avant la mise en vente du produit
sur le marché.
III. PRESCRIPTIONS RELATIVES À L'UTILISATION DE LA DÉCLARATION DU
FOURNISSEUR
7. D'après l'expérience des CE, la déclaration de conformité du fournisseur peut faciliter l'accès
aux marchés sans nuire à la réalisation des objectifs de politique légitimes lorsqu'elle est associée à
des systèmes de surveillance des marchés bien développés et des lois sur la responsabilité du fait des
produits efficaces.
A. CHOIX DES PRODUITS
8. Avant de décider d'utiliser la déclaration de conformité du fournisseur, il convient de prendre
en considération plusieurs éléments. En particulier, les questions comme l'adéquation de la
déclaration de conformité du fournisseur compte tenu de la nature des risques concernés, les
infrastructures économiques du secteur concerné (par exemple, l'existence ou la non-existence de
laboratoires de certification) et le système de production. La déclaration de conformité du fournisseurest l'option préférée pour les catégories de produits présentant des risques qui sont généralement
estimés peu élevés.
B. S
URVEILLANCE DU MARCHÉ
9. Un outil essentiel pour faire respecter toute législation – et en particulier pour les produits qui
sont mis en vente sur le marché à la suite de la déclaration de conformité du fournisseur – est lasurveillance du marché. La surveillance du marché implique de contrôler les produits pour s'assurer
qu'ils respectent la législation et de prendre les mesures correctrices lorsque les produits ne sont pas
conformes. Elle comporte aussi des sanctions en cas de déclaration fausse ou fallacieuse. Dans les
CE cette responsabilité incombe aux autorités nationales désignées ou instituées à cet effet particulier
par les États membres. Pour aider à assurer la réalisation des objectifs de politique légitimes, moins ily a d'intervention extérieure pendant l'évaluation de la conformité avant la mise en vente du produit
sur le marché, plus on a besoin d'une surveillance effective du marché.
10. Il existe un ensemble de structures pour la surveillance du marché. Les autorités chargées de
la surveillance du marché doivent disposer des ressources, du personnel et des pouvoirs suffisants et
appropriés pour mener les activités de surveillance effective. De manière générale, il convient de
faire la distinction entre l'évaluation de la conformité (antérieure à la mise en vente sur le marché), qui
est une tâche confiée au fabricant ou aux organismes d'évaluation de la conformité, et la surveillancedu marché (postérieure à la mise en vente sur le marché) qui est effectuée par les autorités chargées de
la surveillance du marché, et est souvent financée par les fonds publics. Les organismes d'évaluation
de la conformité ne doivent pas être chargés de la surveillance du marché, car il y aurait un risque de
conflit d'intérêt.
C. R
ESPONSABILITÉ DU FAIT DU PRODUIT
11. Dans les CE, que la procédure d'évaluation de la conformité soit décrétée ou choisie, les
fabricants et les importateurs sont toujours responsables lorsqu'un produit cause un dommage à unG/TBT/W/218
Page 4
individu ou à un bien privé selon la Directive concernant la responsabilité du fait des produits.4
La Directive vise tous les produits à quelques exceptions près. Si le fabricant ou un importateur peut
prouver que le produit n'était pas défectueux lorsqu'il a été mis en vente sur le marché, le fabricant ou
l'importateur ne sera pas tenu pour responsable des dommages. La partie lésée sera indemnisée
uniquement si elle fournit les preuves qu'elle a subi un dommage du fait que le produit étaitdéfectueux et que le dommage a été causé dans des conditions normales d'utilisation, y compris dans
le cas d'une mauvaise utilisation prévisible. La partie lésée n'a pas besoin de prouver qu'il y a eu
négligence de la part du producteur.
12. Le produit sera jugé défectueux si la sécurité à laquelle le public au sens large est en droit de
s'attendre fait défaut. L'évaluation prescrite des risques liés au produit inclut la mauvaise utilisation
prévisible du produit dans des circonstances données.
IV. CONCLUSION
13. Comme l'indique la communication des CE distribuée sous la cote G/TBT/W/197,
l'expérience des CE montre que la déclaration de conformité du fournisseur associée à la surveillance
du marché a posteriori et à des lois sur la responsabilité du fait du produit efficace fonctionne bien
dans certains secteurs particuliers et n'a pas créé de problèmes en ce qui concerne la réalisation des
objectifs de politique légitimes poursuivis.
14. De plus, l'utilisation de la déclaration de conformité du fournisseur facilite aussi les
importations en provenance des pays tiers et on peut considérer qu'elle aide les pays en
développement à tirer pleinement avantage des possibilités offertes par le système commercial
mondial. De manière plus générale, la déclaration de conformité du fournisseur offre de nombreuses
possibilités d'éliminer effectivement les obstacles au commerce en ce sens que c'est un modèleréceptif aux normes axé sur la réalisation des objectifs réglementaires (comme la sécurité, la
protection de la santé et de l'environnement) qui sont mondialement reconnus.
5
15. Alors que l'utilisation de la déclaration de conformité du fournisseur suppose certains coûts
pour les administrations, en particulier des coûts plus élevés pour la surveillance du marché, elle
suppose généralement des coûts moindres pour l'industrie et les importateurs, d'où des produits moinschers pour les consommateurs et éventuellement, à long terme, un plus haut degré de compétitivité et
de création d'emplois. Un équilibre approprié devrait être établi, compte tenu des objectifs impératifs
de la protection de la santé, de la sécurité et de l'environnement, et des ressources limitées des
administrations.
16. Pour de plus amples détails concernant la déclaration de conformité du fournisseur et les
autres procédures d'évaluation de la conformité, nous renvoyons au Guide pour la mise en œuvre des
Directives fondées sur la Nouvelle approche et l'A pproche globale. On peut se procurer ce Guide à
l'adresse URL suivante:
http://europa.eu.int/comm/enterprise/new approach/legislation/guide/legislation.htm .
__________
4 Directive n° 1999/34/EC du Parlement européen et du Conseil concernant le rapprochement des
dispositions législatives, réglementaires et administra tives des États membres en matière de responsabilité du
fait des produits défectueux.
5 Commission économique des Nations Unies pour l'Europe, Recommandations concernant les
politiques de normalisation: Recommandation "L": "Modèle international pour l'harmonisation techniquefondée sur les bonnes pratiques réglementaires pour l'élaboration, l'adoption et l'application des règlements
techniques en utilisant les normes internationales"; http://www.unece.org/trade/tips/wp6/wp6_major.htm.
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. /.ORGANISATION MONDIALE
DU COMMERCEG/SPS/N/AUS/135
14 janvier 2002
(02-0168)
Comité des mesures sanitaires et phytosanitaires Original: anglais
NOTIFICATION
1. Membre de l’Accord adressant la notification: AUSTRALIE
Le cas échéant, pouvoirs publics locaux concernés:
2. Organisme responsable: Office australo-néozélandais de l'alimentation (ANZFA)
3. Produits visés (Prière d'indiquer le (les) numéro(s) du tarif figurant dans les listes
nationales déposées à l'OMC. Les numéros de l'ICS peuvent aussi être indiqués, le cas
échéant). Aliments transformés en général. Régions ou pays susceptibles d'être
concernés, si cela est pertinent ou faisable: Aliments importés (ou de production
nationale) vendus en Australie
4. Intitulé et nombre de pages du texte notifié: Rapports d'évaluation sur les demandes
concernant des limites maximales de résidus A447 (51 pages), A450 (31 pages),
A451 (36 pages) et A440 (20 pages) et sur la proposition P241 (78 pages)
5. Teneur: Les demandes évaluées visent à modifier le Code australo-néozélandais des normes
alimentaires (ci-après dénommé le code) par l'harmonisation de limites de résidus de
substances chimiques à usage agricole ou vétérinaire dans des produits alimentaires de façon
à assurer la compatibilité de ces limites avec des réglementations nationales en rapport avec la
sécurité d'utilisation et l'efficacité des substances en question. Au plan administratif,les limites maximales de résidus (LMR) contribuent, en conformité avec la pratique
internationale, à réglementer l'utilisation de produits chimiques à usage agricole ou
vétérinaire. Les LMR permettent de déterminer si des produits chimiques à usage agricole
ou vétérinaire ont été utilisés d'une manière c onforme aux conditions d'emploi homologuées.
De plus, les LMR figurant dans le code représentent à la fois des normes internationales
pour le commerce et un moyen de protéger la santé et la sécurité publiques en assurant que
les teneurs en résidus chimiques ne sont pas plus élevées qu'il n'est nécessaire.
Les LMR prescrites dans le code s'appliquent de manière obligatoire à tous les
produits alimentaires d'une classe déterminée, de production nationale ou importés.
Les produits alimentaires dépassant la LMR fixée pour eux dans le code ne peuvent pas être
légalement mis sur le marché en Australie.
Les demandes ou propositions évaluées peuvent présenter des variantes pour des
LMR qui ne figurent pas dans des normes internationales du Codex. Ces LMR peuvent
aussi porter sur des substances chimiques utilisées dans la production de produits agricoles
faisant l'objet d'échanges commerciaux intenses, et affecter indirectement le commerce des
produits alimentaires dérivés entre Membres de l'OMC.
6. Objectif et raison d'être: [ X ] innocuité des produits alimentaires, [ ] santé des
animaux, [ ] préservation des végétaux, [ X ] protection des personnes contre les
maladies ou les parasites des animaux/des plantes, [ X ] protection du territoire contre
d'autres dommages attribuables à des parasitesG/SPS/N/AUS/135
Page 2
7. Il n'existe pas de norme, directive ou recommandation internationale [ X ].
S'il existe une norme, directive ou recommandation internationale, en donner la
référence correcte et indiquer brièvement en quoi le texte notifié est différent:
8. Documents pertinents et langue(s) dans laquelle (lesquelles) ils sont disponibles:
Code australien des normes alimentaires; Règlement néo-zélandais de 1984 concernant
les produits alimentaires; Code australo-néozélandais des normes alimentaires (en anglais)
9. Date projetée pour l'adoption: Communication d'une recommandation au gouvernement
envisagée pour le milieu de 2002, l'adoption devant suivre (sous réserve d'approbation par
le gouvernement)
10. Date projetée pour l'entrée en vigueur: Non connue (après approbation par
le gouvernement, voir point 9 ci-dessus)
11. Date limite pour la présentation des observations: 28 février 2002
Organisme ou autorité désigné pour traiter les observations: [ ] autorité nationale
responsable des notifications, [ ] point national d'information ou adresse, numéro de
téléfax et adresse électronique (s'il y a lieu) d'un autre organisme:
12. Entité auprès de laquelle le texte peut être obtenu: Documents directement disponibles
sur le site web de l'Office australo-néozélandais de l'alimentation ( www.anzfa.gov.au ).
Les documents peuvent aussi être obtenus à l'adresse suivante:
Australia New Zealand Food Authority
PO Box 7186Canberra BC ACT 2610
AUSTRALIE
Téléfax: (+61) 2 62712278
Courrier électronique: [email protected]
Note: Lors de toute demande de documents, prière de préciser le ou les numéro(s)
de demande(s) indiqué(s) au point 4 ci-dessus
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ORGANISATION MONDIALE
DU COMMERCETN/RL/W/6
26 avril 2002
(02-2421)
Groupe de négociation sur les règles Original: anglais
ANTIDUMPING: EXEMPLES DE POINTS IMPORTANTS
Document du Brésil, du Chili, de la Colombie, de la Corée, du Costa Rica,
de Hong Kong, Chine, d'Israël, du Japon, du Mexique, de la Norvège,
de Singapour, de la Suisse, de la Thaïlande et de la Turquie
Les Missions permanentes du Brésil, du Chili, de la Colombie, de la Corée, du Costa Rica, de
Hong Kong, Chine, d'Israël, du Japon, du Mexique, de la Norvège, de Singapour, de la Suisse, de la
Thaïlande et de la Turquie ont fait parvenir au Secrétariat la communication ci-après, datée du
26 avril 2002.
_______________
Il est notoire que, partout dans le monde, on a de plus en plus recours aux mesures d'urgence,
et en particulier aux mesures antidumping. Comme d'autres Membres, nous sommes préoccupés par
l'utilisation abusive qui est faite des mesures antidumping et par ses effets restrictifs sur le commerce.
À Doha, les Ministres ont énoncé un mandat selon lequel il est possible de se prémunir contre de
telles conséquences indésirables en clarifiant et en améliorant les dispositions de l'Accord
antidumping.
Le présent document est une première contribution au débat du Groupe de négociation sur les
règles concernant les dispositions de l'Accord an tidumping. D'autres seront soumis pour des réunions
ultérieures du Groupe de négociation. Dès lors, le présent document ne reflète pas nécessairement de
façon complète l'avis de chacun de ses coauteurs. Nous encourageons par ailleurs les autres Membres
à faire connaître de même leurs points de vue. À un stade ultérieur, et selon l'évolution des
discussions au sein du Groupe de négociation, nous élaborerons à titre individuel ou collectif despropositions spécifiques ayant trait aux clarifications et améliorations appropriées sur lesquelles il
conviendrait de s'entendre dans le cadre des négociations.
Le présent document évoque certains points touchant des dispositions pertinentes que nous
souhaitons clarifier et améliorer, y compris le souci d'exclure une interprétation abusive de l'actuelAccord antidumping.
L'ordre de présentation des points est celui des articles de l'Accord. Il ne s'agit donc pas d'un
ordre de priorité.
Afin de faciliter la compréhension des points soulevés, certains exemples sont fournis.
Cependant, les exemples étant par définition limités, ils ne peuvent refléter pleinement la portée des
problèmes et des dispositions en cause.
Pour les différents points, certaines questions sont posées dans le but de susciter le débat tout
en indiquant ce que devrait être l'orientation des négociations.TN/RL/W/6
Page 2
ANTIDUMPING: EXEMPLES DE POINTS IMPORTANTS
1. Ventes au cours d'opérations commerciales normales
L'article 2.2.1 de l'Accord antidumping dispose que les ventes du produit similaire sur le
marché intérieur du pays exportateur ou les ventes à un pays tiers à des prix inférieurs aux coûts deproduction unitaires (fixes et variables) majorés des frais d'administration et de commercialisation et
des frais de caractère général ne pourront être considérées comme n'ayant pas lieu au cours
d'opérations commerciales normales en raison de leur prix et ne pourront être écartées de la
détermination de la valeur normale que si les autorités déterminent que de telles ventes sont
effectuées:
- sur une longue période (elle devrait normalement être d'un an, mais ne sera en aucun
cas inférieure à six mois);
- en quantités substantielles (le prix de vente moyen pondéré des transactions prises en
considération pour la détermination de la valeur normale est inférieur aux coûts
unitaires moyens pondérés, ou le volume des ventes à des prix inférieurs aux coûtsunitaires ne représente pas moins de 20 pour cent du volume vendu dans les
transactions prises en considération pour la détermination de la valeur normale); et
- à des prix qui ne permettent pas de couvrir tous les frais (les prix qui sont inférieurs
aux coûts unitaires au moment de la vente sont inférieurs aux coûts unitaires moyenspondérés) dans un délai raisonnable.
Cette disposition appelle des éclaircissements. Par exemple, quelle devrait être la définition
d'un "délai raisonnable"? Les autorités chargées de l'enquête devraient-elles être autorisées à écarter
les ventes effectuées à des prix inférieurs même lorsque les prix pratiqués permettent de couvrir tousles frais pendant la période couverte par l'enquête antidumping?
2. Valeur construite
L'article 2.2.2 de l'actuel Accord antidumping ne fournit pas d'indications claires concernant
l'utilisation des renseignements servant à établir la valeur construite. Le principe général n'ayant donc
pas été explicité, on aboutit à des résultats anormaux.
Ne devrions-nous pas définir des critères plus clairs, plus complets et plus représentatifs pour
les calculs de la valeur construite?
(Exemple illustratif)
Supposons que la société A produit entre autres choses des cuillères jetables, qu'elle
vend principalement à l'exportation. Ses ventes sur le marché intérieur ne sont pas
représentatives. Supposons également que la marge bénéficiaire que la société A
réalise lors de ventes de produits de la même catégorie générale (vaisselle) sur le
marché intérieur est de 2 pour cent. Dans une affaire de dumping, les requérantsallèguent que les autorités chargées de l'enquête devraient se fonder sur le taux de
profit de 8 pour cent qui est celui de l'ensemble de la branche de production de
vaisselle, tel qu'il figure dans les statistiques officielles du pays exportateur. La
société A propose d'utiliser plutôt le taux de profit de 3 pour cent, qui représente la
moyenne pondérée des taux de profit des sociétés B et C, lesquelles font égalementl'objet d'une enquête et produisent des cuillères jetables dans le pays exportateur.
Selon les règles actuelles, les autorités chargées de l'enquête ont toute discrétion àTN/RL/W/6
Page 3
cet égard. Pour calculer la valeur construite des cuillères jetables de la société A,
elles pourraient choisir les données relatives au profit global de la branche de
production de vaisselle et écarter les données, logiquement plus pertinentes, relatives
aux taux de profit réalisés sur les cuillères jetables.
3. Marchés cycliques
Les règles antidumping devraient refléter les réalités du marché. L'article 2.4 énonce
clairement le principe général selon lequel toute comparaison entre les prix doit être "équitable". Il y
a pourtant de nombreux cas où les autorités appliquent des règles mécaniques irrationnelles au
détriment de l'équité. Ce problème se pose avec une acuité particulière dans le secteur des denrées
périssables. Il convient de noter qu'une situation analogue se présenterait dans le cas d'un secteur
manufacturier en rapide expansion.
(Exemple illustratif)
De nombreuses denrées périssables sont vendues sur des marchés extrêmement
cycliques où les prix sont élevés certains mois parce que la demande est à son
maximum et où ils sont bas d'autres mois. Les producteurs de denrées périssablesn'en doivent pas moins écouler leurs articles au prix en vigueur au moment de la
vente. Les denrées périssables ne peuvent être stockées pour être vendues plus tard.
L'industrie des fleurs est un bon exemple de secteur confronté à cette situation.
L'application mécanique des règles actuelles pénalise les industries de ce type. En
fonction d'hypothèses arbitraires concernant le moment à choisir pour ouvrir et clorel'enquête, les autorités peuvent gonfler artificiellement la marge de dumping.
Devrait-on considérer que de telles industries pratiquent le dumping pendant les mois
où le marché est déprimé, même si l'on sait très bien que les prix augmenteront
quelques mois plus tard en raison de facteurs liés à la cyclicité de la demande? Est-il
logique de pénaliser des exportateurs qui se trouvent être établis dans des régions oùles cycles saisonniers sont différents, ce qui signifie que la demande peut être
importante et que les prix peuvent être bas au moment où d'autres marchés
connaissent peut-être une pénurie saisonnière? Sachant que de nombreuses denrées
périssables constituent des sources de recettes en devises cruciales pour les pays en
développement, est-il raisonnable de passer outre le principe fondamental d'une
"comparaison équitable" pour établir des marges de dumping artificielles?
4. Interdiction de la pratique de la réduction à zéro
Les marges de dumping moyennes devraient par définition être fondées sur la moyenne de
toutes les comparaisons, y compris celles qui donnent lieu à des marges négatives. L'actuel
article 2.4.2 reconnaît ce principe général. L'Organe d'appel, comme le groupe spécial, a établi que la
pratique de la réduction à zéro était incompatible avec l'article 2.4.2. Ne faudrait-il pas clarifier le
libellé de cet article de façon à interdire explicitement cette pratique?
(Exemple illustratif)Supposons que la société P présente aux autorités de son pays une requête en vue
d'obtenir que les cyclomoteurs importés de la société Q soient assujettis à des droitsantidumping. Supposons par ailleurs que la société Q fabrique trois lignes de
produits dans la même catégorie: les types A, B et C. Dans le cadre de l'enquête
antidumping, les ventes de tous les produits spécifiques sont prises en considération,
les marges de dumping négatives compensent les marges positives et, globalement, la
société ne pratique pas le dumping. Si l'on ne tient pas compte des marges deTN/RL/W/6
Page 4
dumping négatives et que l'on retient unique ment les marges de dumping positives, on
crée une situation de dumping qui, sans cela, n'aurait pas existé.
5. Évaluation cumulative du dommage
L'article 3.3 de l'actuel Accord antidumping reconnaît le principe général de l'évaluation
cumulative du dommage si les autorités déterminent, entre autres conditions, qu'une évaluationcumulative des effets des importations est appropriée à la lumière des conditions de concurrence entre
les produits importés et des conditions de concurrence entre les produits importés et le produit
national similaire.
Cependant, l'Accord n'établit pas quels sont les facteurs à analyser pour établir cette
détermination, si bien que l'on peut aboutir à des déterminations inappropriées concernant les
"conditions de concurrence".
Quels seraient les facteurs à prendre en compte pour déterminer si les conditions de
concurrence entre les produits importés en provenance de deux pays, de même qu'entre ces produits et
le produit national similaire, sont identiques? La pratique actuelle concernant le cumul de petits
exportateurs de différents pays montre qu'il est nécessaire de clarifier ce point.
(Exemple illustratif)Le pays X ouvre une enquête antidumping concernant les importations de "matières
premières chimiques" en provenance du pays A et du pays B. Le produit originairedu pays A est importé par des producteurs d'engrais, et le produit originaire du
pays B par des producteurs de fibres synthétiques, ce qui veut dire que les produits en
provenance de ces deux pays sont utilisés à des fins différentes et ne peuvent se
substituer l'un à l'autre.
En pareil cas, est-il indiqué de procéder à une évaluation cumulative des
importations provenant respectivement du pays A et du pays B?
6. Lien de causalité entre le dumping et le dommage
L'Accord antidumping ne décrit pas de façon suffisamment détaillée les méthodes à suivre
pour déterminer l'existence d'un lien de causalité entre le dumping et le dommage, en dehors du
principe fondamental énoncé à l'article 3.5 de l'Accor d. Dans la pratique, il arrive trop souvent que
les autorités imposent des mesures antidumping même lorsque des facteurs autres que le dumping
constituent les causes substantielles du dommage que subit la branche de production nationale.
Les obligations énoncées à l'article 3.5 devraient être rigoureusement respectées. Par ailleurs,
le texte de l'article 3.5 ne mériterait-il pas d'être développé? Si l'on veut améliorer et clarifier
l'Accord, n'est-il pas important d'exposer plus en détail les procédures et critères utilisés pour analyser
le lien de causalité, de façon que, même en présence d'autres facteurs, on ne constatera l'existence d'unlien de causalité que lorsqu'il y aura un lien clair et substantiel entre les importations faisant l'objet
d'un dumping et le dommage?
(Exemple illustratif)
Supposons qu'il est allégué que des importations d'oranges causent un dommage aux
producteurs d'oranges du pays importateur. Mais, simultanément, d'autres facteurs
- sécheresse, insectes nuisibles, récession économique entraînant une baisse de la
consommation - causent eux aussi un dommage. Selon les règles actuelles deTN/RL/W/6
Page 5
l'Accord antidumping, les autorités n'analysent pas nécessairement ces diverses
autres causes de façon systématique et complète. Il arrive trop souvent que la
difficulté de démêler ces causes amène à formuler des conclusions arbitraires.
7. Menace de dommage important
L'article 3.7 de l'actuel Accord antidumping stipule que le dommage doit être "prévu et
imminent" pour que soit constatée l'existence d'une menace de dommage important, et il énumère
certains facteurs à prendre en considération. Ne conviendrait-il pas de renforcer cette discipline?
Cette disposition ne définit pas clairement des facteurs, tels ceux que cite l'article 3.4, servant à établir
cette détermination. Ne faut-il pas clarifier et améliorer la description des facteurs à prendre en
considération, de façon que les autorités chargées de l'enquête disposent d'indications plus concrètes?
8. Seuil au titre de l'article 5.8
Les méthodes utilisées pour calculer la marge de dumping reposant sur de nombreuses
hypothèses, l'actuel niveau de minimis de 2 pour cent ne reflète pas en suffisance l'importance des
variations et des incertitudes liées à l'emploi de méthodes peu rigoureuses. Peut-être pourrait-on
réexaminer également le rôle de la marge de minimis dans le processus de recouvrement de droits.
Par ailleurs, lorsque le volume des importations totales est lui-même faible, l'actuel seuil de
3 pour cent retenu pour considérer le volume d'importations comme négligeable est-il suffisant pour
justifier la constatation de l'existence d'un dommage?
9. Données de fait disponibles
L'Accord antidumping prévoit l'utilisation des "données de fait disponibles" comme outil pour
faciliter les procédures d'enquête, mais on a souvent recours à cette méthode pour pénaliser les
exportateurs qui ne peuvent présenter certaines données. Ne conviendrait-il pas d'élaborer des règles
plus strictes afin de rendre les choses plus claires et d'introduire ainsi une certaine discipline dans
l'usage, actuellement excessif, des "données de fait disponibles"?
(Exemple illustratif)Supposons qu'un défendeur a essayé de réunir des renseignements sur les prix de
revente pratiqués par la société qui est son client dans un pays exportateur, dont le
défendeur détient 10 pour cent du capital. Cependant, le défendeur n'ayant aucun
contrôle légal sur son client, ce dernier a refusé de communiquer les renseignementsen question. Étant donné que le défendeur n'a pas été en mesure de fournir les
renseignements demandés, on a considéré qu'il n'avait pas agi au mieux de ses
capacités et qu'il n'avait pas été pleinement coopératif. En conséquence, l'autorité
chargée de l'enquête a utilisé les "données de fait disponibles" pour calculer une
marge de dumping excessive. Est-ce juste?
10. Règle du droit moindre
L'article 9.1 de l'actuel Accord antidumping encourage, mais n'oblige pas, le pays importateur
à appliquer la règle du "droit moindre", c'est-à-dire à imposer un droit qui n'est pas supérieur au
montant nécessaire pour neutraliser le dommage subi par la branche de production nationale. Les
droits antidumping étant expressément destinés à contrebalancer le dommage subi par la branche deproduction nationale, est-il opportun d'appliquer des droits supérieurs à ce qui est nécessaire pour
neutraliser ce dommage?TN/RL/W/6
Page 6
(Exemple illustratif)
Supposons qu'il est déterminé que les produits exportés par une société de produits
textiles du pays A à destination du pays B font l'objet d'un dumping et que la marge
de dumping est de 40 pour cent. Or, le prix intérieur des produits textiles dans lepays B n'était pas sensiblement différent du prix des produits importés - il n'était que
de 5 pour cent supérieur - et l'écart de prix relatif entre le prix intérieur et le prix des
produits importés n'avait jamais dépassé 10 pour cent sur l'ensemble de la période
couverte par l'enquête.
Le droit antidumping imposé devait-il être de 40 pour cent? Ne serait-il pas plus
juste d'adapter la marge de dumping à l'importance du rabais?
11. Extinction des ordonnances antidumping
Selon la règle générale figurant dans l'actuel Accord antidumping, les ordonnances
antidumping devraient être abrogées après cinq ans. Toutefois, l'utilisation de plus en plus répandue
de l'exception (réexamens à l'extinction en vue de maintenir l'ordonnance en vigueur) fait du maintien
en vigueur de l'ordonnance une pratique de facto . Comment peut-on justifier cela?
(Exemple illustratif)
Supposons que la société A produit des montres et qu'elle s'est vu imposer un droit
antidumping de 50 pour cent sur l'exportation de ses montres. Du fait de ce droit
élevé, la société A a cessé d'exporter, si bien que ses anciens clients se sont tous
tournés vers des producteurs nationaux. Entre-temps, la société A s'est fait sa propre
clientèle dans des pays tiers et elle construit de nouvelles usines de montres pour ses
exportations à destination de ces pays. Après cinq ans, les autorités chargées de
l'enquête entreprennent un réexamen à l'extinction, auquel la société A ne participe
pas car elle n'a pas l'intention d'exporter vers le pays considéré. Pourtant, lesautorités chargées de l'enquête décident de maintenir le droit antidumping, jugeant
recevables les allégations de la branche de production nationale selon lesquelles la
société A recommencerait à pratiquer un dumping dommageable si le droit
antidumping était supprimé.
Un tel droit antidumping devrait-il être maintenu? Comment l'absence d'exportations
peut-elle être réputée établir que les exportations dommageables risquent de
reprendre dans l'avenir? Une simple allégation ou une faible probabilitésuffisent-elles? Dans ces conditions, quand l'ordonnance serait-elle jamais
révoquée? Et si elle ne l'est jamais, à quoi sert une procédure d'extinction?
12. Intérêt public
L'actuel Accord antidumping n'impose pas d'obligations de fond aux autorités quant à la prise
en compte de l'intérêt public au sens large. Ne conviendrait-il pas de le renforcer pour faire en sorteque les renseignements pertinents relevant de l'intérêt public soient pris en compte de façon plus
significative?
(Exemple illustratif)
Supposons qu'une requête a été déposée contre le duvet importé afin de protéger
1 000 emplois dans la branche de production concernée. Les producteurs nationaux
de vestes en duvet sont vivement opposés à cette requête. Ils établissent qu'ils neTN/RL/W/6
Page 7
seraient pas en mesure de soutenir la concurrence des vestes en duvet importées en
cas d'accroissement notable des prix du duvet importé et que l'imposition de droits
antidumping signifierait la perte de 5 000 emplois dans cette branche de production
située en aval. Par ailleurs, une association de consommateurs du pays importateur
exprime sa crainte de voir les prix des vestes en duvet augmenter sensiblement si uneordonnance antidumping est prise. Elle fait valoir que le coût de cette mesure pour
les consommateurs est quatre fois plus élevé que le gain qui en résulterait pour les
producteurs nationaux. Pourtant, une autorité administrative ne tient pas compte de
toutes ces allégations et impose des droits de dumping élevés sur le duvet importé.
De tels droits antidumping sont-ils rationnels? Les autorités devraient-elles tenir
compte des intérêts des autres secteurs économiques touchés par la mesure
antidumping?
__________
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. /.WORLD TRADE
ORGANIZATIONG/TBT/N/AUS/17
23 June 2003
(03-3343)
Committee on Technical Barriers to Trade Original: English
NOTIFICATION
The following notification is being circulated in accordance with Article 10.6.
1. Member to Agreement notifying: AUSTRALIA
If applicable, name of local government involved (Articles 3.2 and 7.2):
2. Agency responsible: Consumer Safety Unit, Department of the Treasury
Name and address (including telephone and fax numbers, e-mail and web-site
addresses, if available) of agency or authority designated to handle comments
regarding the notification shall be indicated if different from above:
3. Notified under Article 2.9.2 [ X ], 2.10.1 [ ], 5.6.2 [ ], 5.7.1 [ ], other:
4. Products covered (HS or CCCN where applicable, otherwise national tariff heading.
ICS numbers may be provided in addition, where applicable): Portable Fire
Extinguishers (HS No 8424.10)
5. Title, number of pages and language(s) of the notified document: Consumer Protection
Notice entitled Portable Fire Extinguishers made pursuant to Trade Practices Act 1974
6. Description of content: Portable Fire Extinguishers are required to meet the
Australian/New Zealand Standards 1841.1 to 1841.8:1997 , Portable Fire Extinguishers, as
varied (AS/NZS Standards).
The mandatory standard continues to only reference necessary constructional, design,
performance and labelling requirements of the AS/NZS Standards.
7. Objective and rationale, including the na ture of urgent problems where applicable:
The Consumer Protection Notice updates the consumer product safety standard by
referencing the latest amendment to the current AS/NZS Standards.
The Consumer Protection Notice referencing the AS/NZS Standards was first notified in
1999. In this revised mandatory standard amendment No 2 to the AS/NZS Standards is now
referenced and certain non-essential constructional, performance and labelling requirementshave been updated.
8. Relevant documents: Section 65 of the Trade Practices Act 1974.
Consumer Protection Notice entitled Portable Fire Extinguishers made pursuant to Trade
Practices Act 1974
9. Proposed date of adoption:
Proposed date of entry into force: }29 August 2003
10. Final date for comments: 20 August 2003G/TBT/N/AUS/17
Page 2
11. Texts available from: National enquiry point [ ] or address, telephone and fax
numbers, e-mail and web-site addresses, if available of the other body:
Consumer Safety Unit
Department of the Treasury
Langton Cres.PARKES ACT 2600
Fax No.: + 61 2 6263 2830
E-mail: [email protected]
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WORLD TRADE
ORGANIZATIONG/STR/N/6/ARG
G/STR/N/7/ARG
24 September 2002
(02-5123)
Working Party on
State Trading EnterprisesOriginal: Spanish
STATE TRADING
New and Full and Updating Notification Pursuant to Article XVII:4(a)
of the GATT 1994 and Paragraph 1 of the Understanding on
the Interpretation of Article XVII
ARGENTINA
The following communication, dated 16 September 2002, has been received from the
Permanent Mission of Argentina.
_______________
In accordance with Article XVII:4(a) of the GATT 1994 and paragraph 1 of the
Understanding on the Interpretation of Article XVII, and pursuant to the notification requirement in
document G/STR/N/1, Argentina hereby notifies that it does not maintain any state trading enterprise
within the meaning of the working definition in paragraph 1 of the above-mentioned Understanding
(updating notification for 2000).
Argentina also notifies that the situation has no t changed since then (new and full notification
for 2001).
__________
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. /.WORLD TRADE
ORGANIZATIONG/SPS/N/CHN/P/1381
19 April 2002
(02-2212)
Committee on Sanitary and Phytosanitary Measures Original: English
NOTIFICATION
1. Member to Agreement notifying: THE PEOPLE'S REPUBLIC OF CHINA
If applicable, name of local government involved:
2. Agency responsible: Ministry of Agriculture
3. Products covered (provide tariff item number(s) as specified in national schedules
deposited with the WTO; ICS numbers may be provided in addition, where
applicable).
1. Genetically modified animals, plants (including seeds, breeding livestock and poultry,
aquatic fry and seeds) and micro-organisms;
2. Products of genetically modified animals, plants and micro-organisms;
3. Products directly processed from genetically modified agricultural products;
4. Seeds, breeding livestock and poultry, aquatic fry and seeds, pesticides, veterinary
medicines and biologics, fertilizers, additives and other products containing genetically
modified animals, plants and micro-organisms or their products.
Regions or countries likely to be affected, to the extent relevant or practicable: All
countries or regions
4. Title and number of pages of the notified document: Implementation Regulations on
Safety of Import of Agricultural Genetically Modified Organisms
5. Description of content: Based on safety assessment, the Implementation Regulations
divide imports of agricultural genetically modified organisms into three categories
according to their intended purposes, and stipulate different safety assessment requirements,application procedures and custom inspection procedures for each of the three categories.
6. Objective and rationale: [ X ] food safety, [ X ] animal health, [ X ] plant protection,
[ X ] protect humans from animal/plant pest or disease, [ ] protect territory from
other damage from pests
7. An international standard, guideline or recommendation does not exist [ X ].
If an international standard, guideline or recommendation exists, give the appropriate
reference and briefly identify deviations:
8. Relevant documents and language(s) in which these are available: Decree of Ministry
of Agriculture [2002] No.9 (Available in Chinese)
1 Notification submitted pursuant to Section 14 of the Protocol of Accession of the People's Republic of
China (document WT/L/432).G/SPS/N/CHN/P/138
Page 2
9. Proposed date of adoption: Not applicable
10. Proposed date of entry into force: Not applicable
11. Final date for comments: Not applicable
Agency or authority designated to handle comments: [ X ] National notification
authority, [ ] National enquiry point, or address, fax number and E-mail address (if
available) of other body:
12. Texts available from: [ X ] National notification authority, [ ] National enquiry point
or address, fax number and E-mail address (if available) of other body:
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|
RESTRICTED
ORGANISATION MONDIALE S/FIN/W/12/Add.49
11décembre 1997
DUCOMMERCE(97-5472)
Original: anglais Comité ducommerce desservices financiers
COMMUNICATION DEL'INDONESIE
Offre conditionnelle surlesservices financiers
Addendum
Lacommunication ci-après estdistribuée àlademande del'Indonésie auxmembres duComité
ducommerce desservices financiers.
_______________
L'Indonésie présente sonprojet d'offreaméliorée surlesservices financiers. Cette offreest
subordonnée ausuccès desnégociations.
Legouvernement indonésien seréserve ledroitdemodifier, réduire ouretirer toutoupartie
decetteoffreetdesalisteactuelle d'exemptions del'obligation NPFàtoutmoment avant lafindes
négociations encours. L'Indonésie seréserve aussi ledroitd'apporter àsonoffrelesmodifications
techniques etlescorrections qu'ellejugerait nécessaires.S/FIN/W/12/Add.49
Page2INDONESIE
LISTE D'ENGAGEMENTS SPECIFIQUES -OFFRE CONDITIONNELLE SUR LESSERVICES FINANCIERS
Modes defourniture: 1) Fourniture transfrontières 2) Consommation àl'étranger 3) Présence commerciale 4) Présence depersonnes physiques
Secteur ousous-secteur Limitations concernant l'accès auxmarchés Limitations concernant letraitement national Engagements
additionnels
Services financiers:
Conditions générales applicables ausous-secteur desservices financiers autres quelesservices bancaires:
1. Toutes leslimitations concernant l'accès aumarché etletraitement national indiquées pour lesous-secteur desservices financiers autres quelesservices
bancaires seront éliminées d'ici2020 sousréserve quelesautres Membres prennent unengagement similaire.
2. Consolidé pour l'actionnariat desfournisseurs deservices étrangers, dans lesconditions prévues parlesloisetrèglements envigueur. Lesconditions dela
participation etlarépartition enpourcentage ducapital, telles qu'elles sontindiquées dans l'accord d'association instituant lacoentreprise existante du
sous-secteur desservices financiers autres quelesservices bancaires, seront respectées. Aucun transfert depropriété n'auralieusansleconsentement de
toutes lesparties àlacoentreprise intéressée.
3. Lalimitation concernant letraitement national relative àlafiscalité quiestindiquée sous"Engagements horizontaux" nes'applique pasausous-secteur des
services financiers autres quelesservices bancaires.
4. Outre lesmesures prévues sous"Engagements horizontaux", l'admission temporaire seraaccordée auxexperts etconseillers techniques pour unedurée ne
dépassant pastrois(3)mois parpersonne etparannée.
5. Lecapital dessociétés financières cotées enbourse autres quedesbanques peutêtredétenu à100pour centpardesinvestisseurs étrangers.
6. Encequiconcerne laprésence depersonnes physiques, seules lesfonctions dedirecteur, decadre etd'expert/conseiller peuvent êtreexercées pardes
expatriés, dontleséjour estlimité àtrois ansavec possibilité deprolongation.
7. Toutes lescoentreprises doivent donner àleurs employés despossibilités deformation.
8. Lalimitation concernant letraitement national relative àladifférence entre lesprescriptions enmatière decapital versé seraéliminée en1998.S/FIN/W/12/Add.49
Page3Modes defourniture: 1) Fourniture transfrontières 2) Consommation àl'étranger 3) Présence commerciale 4) Présence depersonnes physiques
Secteur ousous-secteur Limitations concernant l'accès auxmarchés Limitations concernant letraitement national Engagements
additionnels
Services d'assurance autre que
surlavie
(CPC 8129)1) Nonconsolidé
2) Nonconsolidé sauf:1) Nonconsolidé
2) Nonconsolidé
a)S'iln'existe enIndonésie aucune
compagnie d'assurance niaucun
groupe decompagnies d'assurance en
mesure decouvrir lesrisques associés
àl'objet àassurer
b)S'iln'existe enIndonésie aucune
compagnie d'assurance quisouhaite
assurer l'objet enquestion
c)Silespropriétaires desobjets àassurer
nesontpasdesressortissants
indonésiens nidespersonnes morales
indonésiennes
3) Comme précisé sous"Engagements
horizontaux" etdans lesconditions
générales
4) Nonconsolidé, saufpour cequiconcerne
lesdirecteurs etlesconseillers/experts
techniques3) Comme précisé dans lesconditions
générales
4) Comme précisé sous"Engagements
horizontaux"
Services deréassurance 1) Lesfournisseurs deservices deréassurance
d'unautre Membre doivent avoir obtenu au
minimum lanoteBBB destandard and
Poor oud'unorganisme équivalent1) NéantS/FIN/W/12/Add.49
Page4Modes defourniture: 1) Fourniture transfrontières 2) Consommation àl'étranger 3) Présence commerciale 4) Présence depersonnes physiques
Secteur ousous-secteur Limitations concernant l'accès auxmarchés Limitations concernant letraitement national Engagements
additionnels
2) Lesfournisseurs deservices deréassurance
d'unautre Membre doivent avoir obtenu au
minimum lanoteBBB destandard and
Poor oud'unorganisme équivalent2) Nonconsolidé
3) Comme précisé sous"Engagements
horizontaux" etdans lesconditions
générales
4) Nonconsolidé, saufpour cequiconcerne
lesdirecteurs etlesconseillers/experts
techniques3) Comme précisé dans lesconditions
générales
4) Comme précisé sous"Engagements
horizontaux"
Services d'assurance-vie
(CPC 8121)1) Nonconsolidé
2) Nonconsolidé sauf:1) Nonconsolidé
2) Nonconsolidé
a)S'iln'existe enIndonésie aucune
compagnie d'assurance niaucun
groupe decompagnies d'assurance en
mesure decouvrir lesrisques associés
àl'objet àassurer
b)S'iln'existe enIndonésie aucune
compagnie d'assurance quisouhaite
assurer l'objet enquestion
c)Silespropriétaires desobjets àassurer
nesontpasdesressortissants
indonésiens nidespersonnes morales
indonésiennesS/FIN/W/12/Add.49
Page5Modes defourniture: 1) Fourniture transfrontières 2) Consommation àl'étranger 3) Présence commerciale 4) Présence depersonnes physiques
Secteur ousous-secteur Limitations concernant l'accès auxmarchés Limitations concernant letraitement national Engagements
additionnels
3) Comme précisé sous"Engagements
horizontaux" etdans lesconditions
générales3) Comme précisé dans lesconditions
générales
4) Nonconsolidé, saufpour cequiconcerne
lesdirecteurs etlesconseillers/experts
techniques4) Comme précisé sous"Engagements
horizontaux"
Courtage enassurance
(CPC 8140)1) Nonconsolidé
2) Néant
3) Comme précisé sous"Engagements
horizontaux" etdans lesconditions
générales
4) Nonconsolidé, saufpour cequiconcerne
lesdirecteurs etlesconseillers/experts
techniques1) Néant
2) Néant
3) Comme précisé dans lesconditions
générales
4) Comme précisé sous"Engagements
horizontaux"
Courtage enréassurance
(CPC 8140)1) Nonconsolidé
2) Néant
3) Comme précisé sous"Engagements
horizontaux" etdans lesconditions
générales
4) Nonconsolidé, saufpour cequiconcerne
lesdirecteurs etlesconseillers/experts
techniques1) Néant
2) Néant
3) Comme précisé dans lesconditions
générales
4) Comme précisé sous"Engagements
horizontaux"S/FIN/W/12/Add.49
Page6Modes defourniture: 1) Fourniture transfrontières 2) Consommation àl'étranger 3) Présence commerciale 4) Présence depersonnes physiques
Secteur ousous-secteur Limitations concernant l'accès auxmarchés Limitations concernant letraitement national Engagements
additionnels
Services decrédit-bail
(CPC 81120)1) Néant
2) Néant
3) Comme précisé sous"Engagements
horizontaux" etdans lesconditions
générales
4) Nonconsolidé, saufcomme précisé sous
"Engagements horizontaux"1) Néant
2) Néant
3) Comme précisé dans lesconditions
générales
4) Comme précisé sous"Engagements
horizontaux"
Services d'affacturage
(CPC 8113)1) Nonconsolidé, saufpour cequiconcerne
lesopérations internationales d'affacturage
2) Néant
3) Comme précisé sous"Engagements
horizontaux" etdans lesconditions
générales
4) Nonconsolidé, saufcomme précisé sous
"Engagements horizontaux"1) Nonconsolidé
2) Néant
3) Comme précisé dans lesconditions
générales
4) Comme précisé sous"Engagements
horizontaux"
Services decarte decrédit
(émetteurs et
agents) (CPC 8113)1) Néant
2) Néant
3) Comme précisé sous"Engagements
horizontaux" etdans lesconditions
générales
4) Nonconsolidé, saufcomme précisé sous
"Engagements horizontaux"1) Néant
2) Néant
3) Comme précisé dans lesconditions
générales
4) Comme précisé sous"Engagements
horizontaux"S/FIN/W/12/Add.49
Page7Modes defourniture: 1) Fourniture transfrontières 2) Consommation àl'étranger 3) Présence commerciale 4) Présence depersonnes physiques
Secteur ousous-secteur Limitations concernant l'accès auxmarchés Limitations concernant letraitement national Engagements
additionnels
Services decrédit àla
consommation
(CPC 8113)1) Néant
2) Néant
3) Comme précisé sous"Engagements
horizontaux" etdans lesconditions
générales
4) Nonconsolidé, saufcomme précisé sous
"Engagements horizontaux"1) Néant
2) Néant
3) Comme précisé dans lesconditions
générales
4) Comme précisé sous"Engagements
horizontaux"
Opérations surtitres: 1) Nonconsolidé 1) Nonconsolidé
- Opérations pour compte
propre oupour lecompte
declients, enbourse ou
surunmarché horscote
-Actions cotées
-Obligations2) Néant
3) Moyennant l'établissement d'uncourtier en
valeurs ouagent dechange
4) Nonconsolidé, saufcomme précisé sous
"Engagements horizontaux"2) Néant
3) Comme précisé dans lesconditions
générales
4) Comme précisé sous"Engagements
horizontaux"
- Participation àdes
émissions detouttypede
valeurs mobilières, y
compris garantie et
placement enqualité
d'agent (dans lepublic
ouàtitreprivé) et
prestation deservices
relatifs àcesémissions1) Nonconsolidé
2) Néant
3) Moyennant l'établissement d'unesociété
spécialisée dans laprise ferme detitres
4) Nonconsolidé, saufcomme précisé sous
"Engagements horizontaux"1) Nonconsolidé
2) Néant
3) Comme précisé dans lesconditions
générales
4) Comme précisé sous"Engagements
horizontaux"S/FIN/W/12/Add.49
Page8Modes defourniture: 1) Fourniture transfrontières 2) Consommation àl'étranger 3) Présence commerciale 4) Présence depersonnes physiques
Secteur ousous-secteur Limitations concernant l'accès auxmarchés Limitations concernant letraitement national Engagements
additionnels
- Gestion deportefeuille,
toutes formes degestion
d'investissement collectif1) Nonconsolidé
2) Néant
3) Moyennant l'établissement d'unesociété de
gestion desinvestissements
4) Nonconsolidé, saufpour cequiconcerne
lesdirecteurs1) Nonconsolidé
2) Néant
3) Comme précisé dans lesconditions
générales
4) Comme précisé sous"Engagements
horizontaux"
- Gestion d'actifs (fonds de
placement seulement)1) Nonconsolidé
2) Néant
3) Moyennant l'établissement d'unesociété de
gestion desinvestissements
4) Nonconsolidé, saufpour cequiconcerne
lesdirecteurs1) Nonconsolidé
2) Néant
3) Comme précisé dans lesconditions
générales
4) Comme précisé sous"Engagements
horizontaux"
- Services deconseil en
investissements (surle
marché financier
seulement)1) Nonconsolidé
2) Néant
3) Moyennant l'établissement d'unesociété de
gestion desinvestissements1) Nonconsolidé
2) Néant
3) Comme précisé dans lesconditions
générales
4) Nonconsolidé, saufpour cequiconcerne
lesdirecteurs4) Comme précisé sous"Engagements
horizontaux"S/FIN/W/12/Add.49
Page9Modes defourniture: 1) Fourniture transfrontières 2) Consommation àl'étranger 3) Présence commerciale 4) Présence depersonnes physiques
Secteur ousous-secteur Limitations concernant l'accès auxmarchés Limitations concernant letraitement national Engagements
additionnels
Conditions générales applicables ausous-secteur bancaire.
1. Toutes leslimitations concernant l'accès aumarché etletraitement national indiquées pour lesous-secteur bancaire seront éliminées d'ici2020 sousréserve
quelesautres Membres prennent unengagement similaire.
2. Al'exception dessuccursales existantes debanques étrangères, lesfournisseurs deservices étrangers doivent avoir lestatut juridique decoentreprises
bancaires constituées ensociétés enIndonésie, conformément auxprescriptions ci-après:
a)nonconsolidé pour lesnouvelles licences;
b)seuls lesétablissements bancaires sontautorisés àétablir descoentreprises bancaires.
3. Consolidé pour lapartducapital d'unecoentreprise bancaire détenue pardesfournisseurs deservices étrangers, dans lesconditions prévues parlesloiset
règlements envigueur. Lesconditions delaparticipation etlarépartition enpourcentage ducapital, telles qu'elles sontindiquées dans l'accord d'association
instituant lacoentreprise bancaire existante, seront respectées entantquebasedelaparticipation duoudesfournisseur(s) deservices étranger(s) etdesonou
sespartenaire(s) indonésien(s). Aucun transfert depropriété n'auralieusansleconsentement detoutes lesparties àlacoentreprise bancaire intéressée.
4. L'acquisition debanques locales existantes estautorisée parlebiais del'acquisition de49pour centaumaximum desactions desbanques constituées en
sociétés locales etcotées enbourse.
5. Lalimitation concernant letraitement national relative àladifférence entre lesprescriptions enmatière decapital versé seraéliminée en1998.
6. Lesbanques étrangères etlescoentreprises bancaires peuvent ouvrir desbureaux dans lesvilles deJakarta, Surabaya, Semarang, Bandung, Medan, Ujung
Pandang, Denpasar etBatam Island.
7. Encequiconcerne laprésence depersonnes physiques, l'examen desbesoins économiques nes'applique pas. Unétranger employé comme cadre ouexpert
technique doitavoir aumoins deux assistants indonésiens.
8. Outre lesmesures prévues sous"Engagements horizontaux", l'admission temporaire seraaccordée auxexperts etconseillers techniques dessuccursales des
banques étrangères etdescoentreprises bancaires pour unedurée nedépassant pastrois(3)mois parpersonne etparannée.
9. Lalimitation concernant letraitement national relative àlafiscalité quiestindiquée sous"Engagements horizontaux" nes'applique pasausous-secteur
bancaire.S/FIN/W/12/Add.49
Page10Modes defourniture: 1) Fourniture transfrontières 2) Consommation àl'étranger 3) Présence commerciale 4) Présence depersonnes physiques
Secteur ousous-secteur Limitations concernant l'accès auxmarchés Limitations concernant letraitement national Engagements
additionnels
Banques commerciales
i)Acceptation de
dépôt etd'autres
fonds remboursables
dupublic1) Néant
2) Néant
3) a)Consolidé seulement pour une
(1)sous-succursale etun(1)bureau
auxiliaire dans lecasdessuccursales
debanques étrangères1) Néant
2) Néant
3) a)Dans lecasdessuccursales de
banques étrangères, seuls lespostes de
direction peuvent êtreoccupés pardes
expatriés, àcondition qu'aumoins
l'undesdirecteurs soitunressortissant
indonésien.
b)Consolidé seulement pour une
(1)succursale etune(1)
sous-succursale dans lecasdes
coentreprises bancairesb)Dans lecasdescoentreprises
bancaires, lesfonctions dedirecteur ne
peuvent êtreexercées pardesexpatriés
qu'enfonction delastructure de
l'actionnariat.
4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.
ii)Prêtdetouttype, y
compris crédit àla
consommation,
crédit hypothécaire,
affacturage et
financement de
transactions
commerciales1) Néant
2) Néant
3) a)Consolidé seulement pour une
(1)sous-succursale etun(1)bureau
auxiliaire dans lecasdessuccursales
debanques étrangères1) Néant
2) Néant
3) a)Dans lecasdessuccursales de
banques étrangères, seuls lespostes de
direction peuvent êtreoccupés pardes
expatriés, àcondition qu'aumoins
l'undesdirecteurs soitunressortissant
indonésien.S/FIN/W/12/Add.49
Page11Modes defourniture: 1) Fourniture transfrontières 2) Consommation àl'étranger 3) Présence commerciale 4) Présence depersonnes physiques
Secteur ousous-secteur Limitations concernant l'accès auxmarchés Limitations concernant letraitement national Engagements
additionnels
b)Consolidé seulement pour une
(1)succursale etune(1)
sous-succursale dans lecasdes
coentreprises bancairesb)Dans lecasdescoentreprises
bancaires, lesfonctions dedirecteur ne
peuvent êtreexercées pardesexpatriés
qu'enfonction delastructure de
l'actionnariat.
4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.
-Tous services de
règlement etde
transferts
monétaires, y
compris cartes de
crédit, depaiement
etsimilaire, chèques
devoyage ettraites1) Néant
2) Néant
3) a)Consolidé seulement pour une
(1)sous-succursale etun(1)bureau
auxiliaire dans lecasdessuccursales
debanques étrangères1) Néant
2) Néant
3) a)Dans lecasdessuccursales de
banques étrangères, seuls lespostes de
direction peuvent êtreoccupés pardes
expatriés, àcondition qu'aumoins
l'undesdirecteurs soitunressortissant
indonésien.
b)Consolidé seulement pour une
(1)succursale etune(1)
sous-succursale dans lecasdes
coentreprises bancairesb)Dans lecasdescoentreprises
bancaires, lesfonctions dedirecteur ne
peuvent êtreexercées pardesexpatriés
qu'enfonction delastructure de
l'actionnariat.
4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.S/FIN/W/12/Add.49
Page12Modes defourniture: 1) Fourniture transfrontières 2) Consommation àl'étranger 3) Présence commerciale 4) Présence depersonnes physiques
Secteur ousous-secteur Limitations concernant l'accès auxmarchés Limitations concernant letraitement national Engagements
additionnels
iv) Garanties etengagements 1) Néant
2) Néant
3) a)Consolidé seulement pour une
(1)sous-succursale etun(1)bureau
auxiliaire dans lecasdessuccursales
debanques étrangères1) Néant
2) Néant
3) a)Dans lecasdessuccursales de
banques étrangères, seuls lespostes de
direction peuvent êtreoccupés pardes
expatriés, àcondition qu'aumoins
l'undesdirecteurs soitunressortissant
indonésien.
b)Consolidé seulement pour une
(1)succursale etune(1)
sous-succursale dans lecasdes
coentreprises bancairesb)Dans lecasdescoentreprises
bancaires, lesfonctions dedirecteur ne
peuvent êtreexercées pardesexpatriés
qu'enfonction delastructure de
l'actionnariat.
4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.S/FIN/W/12/Add.49
Page13Modes defourniture: 1) Fourniture transfrontières 2) Consommation àl'étranger 3) Présence commerciale 4) Présence depersonnes physiques
Secteur ousous-secteur Limitations concernant l'accès auxmarchés Limitations concernant letraitement national Engagements
additionnels
v) Opérations pour compte
propre etpour compte de
clients, quecesoitdans
unebourse, surun
marché horscoteou
autre, sur:
-Instruments du
marché monétaire (y
compris chèques,
effets, certificats de
dépôt)1) Néant
2) Néant
3) a)Consolidé seulement pour une
(1)sous-succursale etun(1)bureau
auxiliaire dans lecasdessuccursales
debanques étrangères
b)Consolidé seulement pour une
(1)succursale etune(1)
sous-succursale dans lecasdes
coentreprises bancaires1) Néant
2) Néant
3) a)Dans lecasdessuccursales de
banques étrangères, seuls lespostes de
direction peuvent êtreoccupés pardes
expatriés, àcondition qu'aumoins
l'undesdirecteurs soitunressortissant
indonésien.
b)Dans lecasdescoentreprises
bancaires, lesfonctions dedirecteur ne
peuvent êtreexercées pardesexpatriés
qu'enfonction delastructure de
l'actionnariat.
4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.
-Devises 1) Néant
2) Néant
3) a)Consolidé seulement pour une
(1)sous-succursale etun(1)bureau
auxiliaire dans lecasdessuccursales
debanques étrangères1) Néant
2) Néant
3) a)Dans lecasdessuccursales de
banques étrangères, seuls lespostes de
direction peuvent êtreoccupés pardes
expatriés, àcondition qu'aumoins
l'undesdirecteurs soitunressortissant
indonésien.S/FIN/W/12/Add.49
Page14Modes defourniture: 1) Fourniture transfrontières 2) Consommation àl'étranger 3) Présence commerciale 4) Présence depersonnes physiques
Secteur ousous-secteur Limitations concernant l'accès auxmarchés Limitations concernant letraitement national Engagements
additionnels
b)Consolidé seulement pour une
(1)succursale etune(1)
sous-succursale dans lecasdes
coentreprises bancairesb)Dans lecasdescoentreprises
bancaires, lesfonctions dedirecteur ne
peuvent êtreexercées pardesexpatriés
qu'enfonction delastructure de
l'actionnariat.
4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.
-Instruments du
marché deschanges
etdumarché
monétaire, y
compris swaps,
accord detauxà
terme1) Néant
2) Néant
3) a)Consolidé seulement pour une
(1)sous-succursale etun(1)bureau
auxiliaire dans lecasdessuccursales
debanques étrangères1) Néant
2) Néant
3) a)Dans lecasdessuccursales de
banques étrangères, seuls lespostes de
direction peuvent êtreoccupés pardes
expatriés, àcondition qu'aumoins
l'undesdirecteurs soitunressortissant
indonésien.
b)Consolidé seulement pour une
(1)succursale etune(1)
sous-succursale dans lecasdes
coentreprises bancairesb)Dans lecasdescoentreprises
bancaires, lesfonctions dedirecteur ne
peuvent êtreexercées pardesexpatriés
qu'enfonction delastructure de
l'actionnariat.
4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.S/FIN/W/12/Add.49
Page15Modes defourniture: 1) Fourniture transfrontières 2) Consommation àl'étranger 3) Présence commerciale 4) Présence depersonnes physiques
Secteur ousous-secteur Limitations concernant l'accès auxmarchés Limitations concernant letraitement national Engagements
additionnels
-Valeurs mobilières
négociables émises
surlemarché
monétaire1) Néant
2) Néant
3) a)Consolidé seulement pour une
(1)sous-succursale etun(1)bureau
auxiliaire dans lecasdessuccursales
debanques étrangères1) Néant
2) Néant
3) a)Dans lecasdessuccursales de
banques étrangères, seuls lespostes de
direction peuvent êtreoccupés pardes
expatriés, àcondition qu'aumoins
l'undesdirecteurs soitunressortissant
indonésien.
b)Consolidé seulement pour une
(1)succursale etune(1)
sous-succursale dans lecasdes
coentreprises bancairesb)Dans lecasdescoentreprises
bancaires, lesfonctions dedirecteur ne
peuvent êtreexercées pardesexpatriés
qu'enfonction delastructure de
l'actionnariat.
4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.
vi)Gestion de
trésorerie, services
degarde etservices
dedépositaire1) Néant
2) Néant
3) a)Consolidé seulement pour une
(1)sous-succursale etun(1)bureau
auxiliaire dans lecasdessuccursales
debanques étrangères1) Néant
2) Néant
3) a)Dans lecasdessuccursales de
banques étrangères, seuls lespostes de
direction peuvent êtreoccupés pardes
expatriés, àcondition qu'aumoins
l'undesdirecteurs soitunressortissant
indonésien.S/FIN/W/12/Add.49
Page16Modes defourniture: 1) Fourniture transfrontières 2) Consommation àl'étranger 3) Présence commerciale 4) Présence depersonnes physiques
Secteur ousous-secteur Limitations concernant l'accès auxmarchés Limitations concernant letraitement national Engagements
additionnels
b)Consolidé seulement pour une
(1)succursale etune(1)
sous-succursale dans lecasdes
coentreprises bancairesb)Dans lecasdescoentreprises
bancaires, lesfonctions dedirecteur ne
peuvent êtreexercées pardesexpatriés
qu'enfonction delastructure de
l'actionnariat.
4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.4) Nonconsolidé, saufcomme indiqué sous
"Engagements horizontaux" etdans les
conditions générales applicables au
sous-secteur bancaire.
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ORGANIZACI ÓNMUNDIAL WT/DS90/4
5deagosto de1997
DEL COMERCIO(97-3280)
Original: inglés
INDIA -RESTRICCIONES CUANTITATIVAS ALAIMPORTACI ÓN
DEPRODUCTOS AGRÍCOLAS, TEXTILES EINDUSTRIALES
Solicitud deasociación alasconsultas
Comunicación delCanadá
Lasiguiente comunicación, defecha 30dejuliode1997, dirigida porlaMisión Permanente
delCanadá alaMisión Permanente delosEstados Unidos, alaMisión Permanente delaIndia yal
Órgano deSolución deDiferencias, sedistribuye deconformidad conlodispuesto enelpárrafo 11
delartículo 4delESD.
_______________
Deconformidad conelpárrafo 11delartículo 4delEntendimiento relativo alasnormas y
procedimientos porlosqueserigelasolución dediferencias, elGobierno delCanadá lesnotifica por
lapresente que,porsuinterés comercial sustancial, desea queseleasocie alasconsultas previstas
enelartículo XXII delAcuerdo General sobre Aranceles Aduaneros yComercio de1994, cuya
celebración hasolicitado laMisión Permanente delosEstados Unidos enGinebra porcartadefecha
15dejuliode1997 (WT/DS90/1; 22dejuliode1997), acerca delasrestricciones cuantitativas que
aplica laIndia alasimportaciones deungrannúmero deproductos agrícolas, textiles eindustriales.
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. /.ORGANISATION MONDIALE
DU COMMERCEG/SPS/N/KOR/73
29 septembre 2000
(00-3957)
Comité des mesures sanitaires et phytosanitaires Original: anglais
NOTIFICATION
1. Membre de l’Accord adressant la notification: RÉPUBLIQUE DE CORÉE
Le cas échéant, pouvoirs publics locaux concernés:
2. Organisme responsable: Office coréen de contrôle des médicaments et des produits
alimentaires (KFDA)
3. Produits visés (Prière d'indiquer le (les) numéro(s) du tarif figurant dans les listes
nationales déposées à l'OMC. Les numéros de l'ICS peuvent aussi être indiqués, le cas
échéant). Régions ou pays susceptibles d'être concernés, si cela est pertinent ou
faisable: Additifs alimentaires
4. Intitulé et nombre de pages du texte notifié: Modification du Code des additifs
alimentaires et établissement de nouvelles spécifications (15 pages)
5. Teneur:
- Établissement de spécification (6 produits): colorant alimentaire rouge n° 102,
sucralose, oxyde nitreux, acide 5'-adénylique, acide 5'-cytidylique, oxygène;
- Modification de définition (2 produits): extrait de yucca, sirop de cyclodextrine;
- Modification de spécification (3 produits): abiétate de glycérol ( ester gum ), phosphate
tribasique de calcium, sirop de cyclodextrine;
- Modification de niveau d'utilisation (12 produits): acide sorbique, stéaroyl lactylate de
sodium, stéaroyl lactylate de calcium, m onochlorhydrate de L-cystéine, aspartame,
benzoate de sodium, benzoate de potassium, benzoate de calcium, p-hydroxybenzoate
d'éthyle, p-hydroxybenzoate de propyle, p-hydroxybenzoate de méthyle, feuille d'or.
6. Objectif et raison d'être: [ X ] innocuité des produits alimentaires, [ ] santé des
animaux, [ ] préservation des végétaux, [ ] protection des personnes contre les
maladies ou les parasites des animaux/des plantes, [ ] protection du territoire contre
d'autres dommages attribuables à des parasites
7. Il n'existe pas de norme, directive ou recommandation internationale [ ] .
S'il existe une norme, directive ou recommandation internationale, en donner la
référence correcte et indiquer brièvement en quoi le texte notifié est différent:
Norme générale du Codex pour les additifs alimentaires
8. Documents pertinents et langue(s) dans laquelle (lesquelles) ils sont disponibles:
Préavis N° 2000-58 de l'Office coréen de contrôle des médicaments et des produits
alimentaires, 5 septembre 2000 (disponible en coréen)
9. Date projetée pour l'adoption: À déterminer
10. Date projetée pour l'entrée en vigueur: À déterminerG/SPS/N/KOR/73
Page 2
11. Date limite pour la présentation des observations: 5 novembre 2000
Organisme ou autorité désigné pour traiter les observations: [ ] autorité nationale
responsable des notifications, [ X ] point national d'information ou adresse, numéro de
téléfax et adresse électronique (s'il y a lieu) d'un autre organisme:
Korea Food and Drug Administration
Food Evaluation Department
Nutrition Division
N° 5 Nokbun-dong, Eunpyung-Ku
Séoul, 122-704
Corée
Téléphone: (822) 380-1678/9
Téléfax: (822) 382-4892
12. Entité auprès de laquelle le texte peut être obtenu: [ ] autorité nationale responsable
des notifications, [ X] point national d'information ou adresse, numéro de téléfax et
adresse électronique (s'il y a lieu) d'un autre organisme: Idem point 11 ci-dessus
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RESTRICTED
ORGANIZACI ÓNMUNDIAL WT/DSB/W/37
4deoctubre de1996
DEL COMERCIO(96-4067)
ÓRGANO DESOLUCI ÓNDEDIFERENCIAS
ÓRGANO DESOLUCI ÓNDEDIFERENCIAS
Proyecto deinforme anual (1996)
Elpresente informe sehapreparado deconformidad conelProcedimiento paraunarevista
general delasactividades delaOMC yparalapresentación deinformes enlaOMC (WT/L/105) y
enélsedescriben lasmedidas adoptadas porelÓrgano deSolución deDiferencias (OSD) desde la
última revista general delasactividades delaOMC, realizada endiciembre de1995.
Encumplimiento desucometido, elOSDhacelebrado 13reuniones desde diciembre de1995.
Lasactas dedichas reuniones, donde queda constancia delostrabajos delOSD, figuran enlos
documentos WT/DSB/M/10-WT/DSB/M/22.
Enelinforme figuran losasuntos siguientes:
Página
1. Calendario delasreuniones delOSD ............................. 3
2. Elección dePresidente ...................................... 3
3. Procedimientos detrabajo delÓrgano deApelación ................... 3
4. Lista indicativa deexpertos gubernamentales ynogubernamentales
quepueden serintegrantes degrupos especiales ...................... 3
5. Curricula vitaedelosrepresentantes antelaOMC .................... 4
6. Soluciones mutuamente convenidas .............................. 4
7. Solicitudes deasociación alasconsultas deconformidad conelESD ......... 4
8. Recurso alosprocedimientos desolución dediferencias ................. 5
a)Brasil ............................................. 5
i)Programa definanciación delasexportaciones paraaeronaves ........ 5
ii)Medidas queafectan alcocodesecado ....................... 5
b)Canadá ............................................. 6
-Determinadas medidas queafectan alaspublicaciones ............. 6WT/DSB/W/37
Página 2
Página
c)Comunidades Europeas ................................... 6
i)Aplicación deloscompromisos delaRonda Uruguay
relativos alarroz .................................... 6
ii)Medidas queafectan alganado ysucarne (hormonas) ............. 6
iii)Medidas queafectan alacarne ylosproductos cárnicos
(hormonas) ....................................... 6
iv)Régimen delaimportación, venta ydistribución deplátanos ......... 7
v)Denominación comercial delosmoluscos delgénero pectinidae ...... 8
d)Corea .............................................. 8
-Medidas relativas alaguaembotellada ....................... 8
e)Pakistán ............................................ 8
-Protección mediante patente delosproductos farmacéuticos
ylosproductos químicos paralaagricultura .................. 8
f)Polonia ............................................. 8
-Régimen deimportación delosautomóviles .................. 8
g)Turquía ............................................ 9
-Medidas aplicadas alasimportaciones detextiles y
prendas devestir ................................... 9
h)Estados Unidos ........................................10
i)Investigación antidumping sobre lasimportaciones de
tomates frescos orefrigerados procedentes deMéxico ............10
ii)Aumento delostipos delosderechos aplicados a
determinados productos delasComunidades Europeas
(Proclamación Presidencial Nº5759 de24dediciembre
de1987) .........................................10
iii)Medidas queafectan alasimportaciones dechaquetas
delanaparamujeres yniñas ............................10
iv)Medidas queafectan alasimportaciones decamisas y
blusas detejidos delana ...............................11
v)Restricciones aplicadas alasimportaciones deropa
interior dealgodón yfibras sintéticas oartificiales ..............11
vi)Pautas paralagasolina reformulada yconvencional ..............12
vii)Aumento delosaranceles aplicados adeterminados
productos procedentes delasComunidades Europeas .............13
9. Proyecto deleydelosEstados Unidos sobre ladefinición de
"rama deproducción nacional" enlaesfera delassalvaguardias ............13
10. Informe sobre lasituación delasactividades preparatorias de
laReunión Ministerial deSingapur ..............................14
11. Informe delOSD alConsejo General paralaReunión
Ministerial deSingapur .....................................14
12. Recapitulación ..........................................14WT/DSB/W/37
Página 3
1. Calendario delasreuniones delOSD (WT/DSB/M/10)
Enlareunión delOSD del31deenero de1996, elPresidente anunció queelcalendario de
lasreunionesdelOSDpara1996sehabíadistribuidoenelaerogramaWTO/AIR/237,de12dediciembre
de1995.
ElOSD tomó notadeestainformación.
2. Elección dePresidente (WT/DSB/M/10)
Enlareunión del31deenero de1996, elOSD eligió poraclamación Presidente al
Sr.Celso Lafer (Brasil).
3. Procedimientos detrabajo delÓrgano deApelación (WT/DSB/M/10 y11)
Enlareunión delOSD del31deenero de1996, elPresidente informó quedurante elmes
deenero de1996 losmiembros delÓrgano deApelación sehabían ocupado delosprocedimientos
delOSD. Lasopiniones expresadas porlosMiembros sobre esteasunto sehabían transmitido alÓrgano
deApelación, deconformidad conelpárrafo 14deldocumento WT/DSB/1. Lasdemás opiniones
queexpresaranlosMiembrossobrelascuestionesclavesedebíantransmitiralPresidenteeldíasiguiente,
yaqueelÓrgano deApelación estaba culminando laelaboración desusprocedimientos.
ElOSD tomó notadeestainformación.
Enlareunión delOSDdel21defebrero de1996, elPresidente serefirió alosprocedimientos
detrabajo delÓrgano deApelación quefiguraban eneldocumento WT/AB/WP/1, quesehabía
distribuido el15defebrero de1996 como documento quenoteníacarácter reservado. También se
refirió aunacarta delPresidente delÓrgano deApelación enlaqueseabordaban cuestiones que
interesaban alosMiembros yseexplicaban losmotivos quesubyacían alasconclusiones adoptadas
porelÓrganodeApelaciónenrelacióncondeterminadosaspectosclavedelosprocedimientosdetrabajo.
Hicieron usodelapalabra losrepresentantes deMéxico, Egipto, laIndia, losEstados Unidos,
Chile, elCanadá ylasComunidades Europeas.
ElOSD tomó notadelasdeclaraciones.
4. Listaindicativa deexpertos gubernamentales ynogubernamentales quepueden serintegrantes
degrupos especiales (WT/DSB/M/10, 14,20,21y22)
Enlareunión delOSD del31deenero de1996, elPresidente señaló alaatención delos
presentes eldocumento WT/DSB/W/17, quecontenía losnombres deloscandidatos propuestos para
suinclusión enlalistaindicativa ypropuso queelOSD aprobara dichas candidaturas.
ElOSD asíloacordó.
Enlareunión delOSD celebrada el17deabrilde1996, elPresidente señaló alaatención
delospresentes losdocumentos WT/DSB/W/21 yWT/DSB/W/24, quecontenían losnombres delos
candidatos propuestos parasuinclusión enlalistaindicativa, ypropuso queelOSD aprobara dichas
candidaturas.
Elrepresentante delosEstados Unidos hizousodelapalabra.WT/DSB/W/37
Página 4
ElOSDtomónotadeladeclaración yaprobó lascandidaturas quefiguraban enlosdocumentos
WT/DSB/W/21 yWT/DSB/W/24.
Enlareunión delOSDdel5dejuliode1996, elPresidente señaló alaatención delospresentes
eldocumento WT/DSB/W/30, quecontenía losnombres deloscandidatos propuestos parasuinclusión
enlalistaindicativa, ypropuso queelOSD aprobara dichas candidaturas.
ElOSD asíloacordó.
Enlareunión delOSD celebrada losdías15y16dejuliode1996, elPresidente señaló ala
atención delospresentes eldocumento WT/DSB/W/33, quecontenía losnombres deloscandidatos
propuestos parasuinclusión enlalistaindicativa ypropuso queelOSDaprobara dichas candidaturas.
ElOSD asíloacordó.
Enlareunión delOSD del27deseptiembre de1996, elPresidente señaló alaatención de
lospresentes eldocumento WT/DSB/W/36, quecontenía losnombres deloscandidatos propuestos
parasuinclusión enlalistaindicativa, ypropuso queelOSD aprobara dichas candidaturas.
ElOSD asíloacordó.
5. Curricula vitaedelosrepresentantes antelaOMC (WT/DSB/M/20)
Enlareunión delOSDdel5dejuliode1996, elPresidente expresó queparafacilitar lalabor
delaSecretaría enlacomposición delosgrupos especiales, seinvitaba alosMiembros aquefacilitaran
loscurricula vitaedesusrepresentantes radicados enGinebra quepudieran sertenidos encuenta para
actuar engrupos especiales.
ElOSD tomó notadeladeclaración.
6. Soluciones mutuamente convenidas (WT/DSB/M/15)
Enlareunión delOSDdel24deabrilde1996, elPresidente señaló alaatención delospresentes
laobligación establecida enelpárrafo 6delartículo 3delESD, denotificar lassoluciones mutuamente
convenidas delosasuntos planteados formalmente conarreglo alasdisposiciones enmateria desolución
dediferencias.
Hizo usodelapalabra elrepresentante delaIndia.1
ElOSD tomó notadelasdeclaraciones.
7. Solicitudes deasociación alasconsultas deconformidad conelESD(WT/DSB/M/13)
Enlareunión delOSDdel27demarzo de1996, elPresidente presentó unapropuesta relativa
alascomunicaciones enlasqueseformularan solicitudes deasociación alasconsultas deconformidad
conelpárrafo 11delartículo 4delESD. Eltexto deestapropuesta sedistribuyó posteriormente en
eldocumento WT/DSB/W/23.
ElOSD acordó volver aocuparse deestacuestión ensupróxima reunión.
1Enrespuesta alapetición formulada porlaIndia, laSecretaría distribuyó eldocumento WT/DSB/W/35.WT/DSB/W/37
Página 5
8. Recurso alosprocedimientos desolución dediferencias
a) Brasil
i) Programadefinanciacióndelasexportacionesparaaeronaves(WT/DSB/M/22)
Ensureunión del27deseptiembre de1996, elOSD estudió unasolicitud formulada porel
Canadá, dequeseestableciera ungrupo especial paraexaminar sureclamación relativa alprograma
definanciación delasexportaciones paraaeronaves delBrasil (WT/DS46/2).
Hicieron usodelapalabra losrepresentantes delCanadá, elBrasil yJamaica.
ElOSD tomó notadelasdeclaraciones yestuvo deacuerdo conladecisión delCanadá de
retirar susolicitud deestablecimiento deungrupo especial quefiguraba eneldocumento WT/DS46/2,
ydequesedistribuyera unanueva solicitud deestablecimiento deungrupo especial sobre estacuestión,
queseríaexaminada porelOSD ensupróxima reunión ordinaria.
ii) Medidas queafectan alcocodesecado (WT/DSB/M/10, 11y12)
Enlareunión delOSD del31deenero de1996, elrepresentante deFilipinas informó alos
Miembros queseaplazaría elestudio delasolicitud deestablecimiento deungrupo especial para
examinar lareclamación deFilipinas relativa alosderechos compensatorios aplicados porelBrasil
alasimportaciones decocodesecado (WT/DS22/5).
Hizo usodelapalabra elrepresentante delBrasil.
ElOSDtomónotadelasdeclaracionesyacordóvolveraocuparsedeestacuestiónensupróxima
reunión.
Ensureunión del21defebrero de1996, elOSDestudió unasolicitud formulada porFilipinas,
dequeseestableciera ungrupo especial paraexaminar sureclamación relativa alosderechos
compensatorios aplicados porelBrasil alasimportaciones decocodesecado (WT/DS22/5).
Hicieron usodelapalabra losrepresentantes deFilipinas, elBrasil, Indonesia, hablando en
nombre delospaíses miembros delaASEAN, ySriLanka.
ElOSDtomó notadelasdeclaraciones y,asolicitud deFilipinas, acordó convocar supróxima
reunión parael5demarzo conelfindevolverse aocupar delacuestión.
Enlareunión celebrada el5demarzo de1996, elOSDseocupó nuevamente deestacuestión.
Hicieron usodelapalabra losrepresentantes deFilipinas yelBrasil.
ElOSD tomó notadelasdeclaraciones, acordó establecer ungrupo especial encargado de
examinar lasolicitud deFilipinas yautorizó alPresidente delOSD aredactar elmandato delgrupo
especial enconsulta conlaspartes enladiferencia, deconformidad conloprevisto enelpárrafo 3
delartículo 7delESD.
Losrepresentantes delosEstados Unidos, lasComunidades Europeas, elCanadá, Indonesia
yMalasia sereservaron elderecho aparticipar encalidad deterceros enelprocedimiento delgrupo
especial.WT/DSB/W/37
Página 6
b) Canadá
- Determinadas medidas queafectan alaspublicaciones
(WT/DSB/M/18 yCorr.1, WT/DSB/M/19)
Ensureunión del6dejunio de1996, elOSDestudió unasolicitud formulada porlosEstados
Unidos, dequeseestableciera ungrupo especial paraexaminar sureclamación relativa alasmedidas
canadienses queafectan alaspublicaciones (WT/DS31/2).
Hicieron usodelapalabra losrepresentantes delosEstados Unidos yelCanadá.
ElOSD tomó notadelasdeclaraciones yacordó volver sobre estacuestión ensupróxima
reunión.
Ensureunión del19dejunio de1996, elOSD volvió aexaminar estacuestión.
Hicieron usodelapalabra losrepresentantes delosEstados Unidos yelCanadá.
ElOSDtomó notadelasdeclaraciones yacordó establecer ungrupo especial conunmandato
uniforme, deconformidad conlasdisposiciones delartículo 6delESD.
c) Comunidades Europeas
i) Aplicación deloscompromisos delaRonda Uruguay relativos alarroz
(WT/DSB/M/10)
Enlareunión delOSD del31deenero de1996, elrepresentante delUruguay informó alos
Miembros quesupaíshabía solicitado, alamparo delartículo XXII.1 delGATT de1994, lacelebración
deconsultas conlasComunidades Europeas, respecto delaaplicación deloscompromisos asumidos
porlasComunidades Europeas enlaRonda Uruguay relativos alarroz (WT/DS25/1 yCorr.1).
ElOSD tomó notadeladeclaración.
ii) Medidas queafectan alganado ysucarne (hormonas) (WT/DSB/M/22)
Ensureunión del27deseptiembre de1996, elOSD estudió unasolicitud formulada porel
Canadá, dequeseestableciera ungrupo especial paraexaminar sureclamación relativa alasmedidas
adoptadas porlasComunidades Europeas queafectan alganado ysucarne (WT/DS48/5).
Hicieron usodelapalabra losrepresentantes delCanadá ylasComunidades Europeas.
ElOSDtomónotadelasdeclaracionesyacordóvolveraocuparsedeestacuestiónensupróxima
reunión.
iii) Medidas queafectan alacarne ylosproductos cárnicos (hormonas)
(WT/DSB/M/16 y17)
Ensureunión del8demayo de1996, elOSDestudió unasolicitud formulada porlosEstados
Unidos, dequeseestableciera ungrupo especial paraexaminar sureclamación relativa alasmedidas
queafectan alacarne ylosproductos cárnicos, adoptadas porlasComunidades Europeas (WT/DS26/6).
Hicieron usodelapalabra losrepresentantes delosEstados Unidos, laComunidades Europeas
yArgentina.WT/DSB/W/37
Página 7
ElOSDtomó notadelasdeclaraciones yacordó volver aexaminar estacuestión ensupróxima
reunión.
Ensureunión del20demayo de1996, elOSD examinó nuevamente estacuestión.
HicieronusodelapalabralosrepresentantesdelosEstadosUnidosylasComunidadesEuropeas.
ElOSDtomó notadelasdeclaraciones yacordó establecer ungrupo especial conelmandato
uniforme previsto enelartículo 6delESD.
Losrepresentantes deAustralia, elCanadá, Nueva Zelandia yNoruega sereservaron suderecho
aparticipar enlasactuaciones delgrupo especial encalidad deterceros.
iv) Régimen delaimportación, venta ydistribución deplátanos
(WT/DSB/M/15, 16y19)
Ensureunión del24deabrilde1996, elOSDestudió unasolicitud formulada porelEcuador,
Guatemala, Honduras, México ylosEstados Unidos, dequeseestableciera deungrupo especial para
examinar sureclamación relativa alrégimen delasComunidades Europeas deimportación, venta y
distribución debananos (WT/DS27/6).
Hicieron usodelapalabra losrepresentantes deGuatemala hablando ennombre delEcuador,
Honduras, México ylosEstados Unidos, lasComunidades Europeas yMéxico hablando ennombre
delEcuador, Guatemala, Honduras ylosEstados Unidos.
ElOSDtomónotadelasdeclaraciones yacordó volver sobre esteasunto ensupróxima reunión.
Enlareunión celebrada el8demayo de1996, elOSD examinó nuevamente estacuestión.
Hicieron usodelapalabra elrepresentante deGuatemala hablando ennombre delEcuador,
losEstados Unidos, Honduras yMéxico, elrepresentante deSanta Lucía hablando ennombre deBelice,
Dominica, Granada, laRepública Dominicana ySanVicente ylasGranadinas, ylosrepresentantes
delaIndia, Côted'Ivoire, Camerún, Ghana, Jamaica, laRepública Dominicana, Costa Rica, Colombia,
Nicaragua, Venezuela, elCanadá, lasComunidades Europeas ylosEstados Unidos.
ElOSDtomó notadelasdeclaraciones yacordó establecer ungrupo especial conunmandato
uniforme deconformidad conlasdisposiciones delartículo 6delESD.
Losrepresentantes deBelice, Camerún, Colombia, Costa Rica, Côte d'Ivoire, Dominica,
Filipinas, Ghana, Granada, laIndia, Jamaica, elJapón, Nicaragua, laRepública Dominicana, Santa
Lucía, SanVicente ylasGranadinas, elSenegal, Tailandia yVenezuela hicieron reserva desusderechos
aparticipar enlasactuaciones delgrupo especial encalidad deterceros.
Enlareunión delOSD del19dejunio de1996, larepresentante deJamaica expresó la
preocupación desupaísrespecto deladecisión adoptada porelgrupo especial queseocupaba del
régimen comunitario delaimportación, venta ydistribución delbanano, deconceder alospaíses ACP
lacalidaddeobservadoresdurantelaprimerareuniónsustantivadelgrupoespecial.SolicitóalPresidente
queiniciara consultas sobre esteasunto.
Hicieron usodelapalabra losrepresentantes delCamerún, Côted'Ivoire, lasComunidades
Europeas ylosEstados Unidos, yelPresidente.
ElOSD tomó notadelasdeclaraciones formuladas.WT/DSB/W/37
Página 8
v) Denominacióncomercialdelosmoluscosdelgéneropectinidae(WT/DSB/M/20)
Enlareunión delOSD celebrada el5dejuliode1996, elrepresentante delCanadá hablando
ennombre delasComunidades Europeas, Chile yelPerúanunció quesehabía llegado asoluciones
mutuamente convenidas enlasdosdiferencias relativas aladenominación comercial delosmoluscos
delgénero pectinidae porparte deFrancia (WT/DS7, WT/DS12 yWT/DS14).
ElPresidente hizousodelapalabra.
ElOSD tomó notadelasdeclaraciones.
d) Corea
- Medidas relativas alaguaembotellada (WT/DSB/M/15)
Enlareunión delOSDdel24deabrilde1996, elrepresentante delCanadá anunció queCorea
yelCanadá habían llegado aunasolución mutuamente convenida conrespecto alasmedidas aplicadas
porCorea alaguaembotellada (WT/DS20/6).
Elrepresentante deCorea hizousodelapalabra.
ElOSD tomó notadeladeclaración.
e) Pakistán
- Protección mediante patente delosproductos farmacéuticos ylosproductos
químicos paralaagricultura (WT/DSB/M/21)
Enlareunión quecelebró el15yel16dejuliode1996, elOSD examinó lasolicitud delos
Estados Unidos dequeseestableciera deungrupo especial paraqueexaminara sureclamación en
relación conelrégimen delPakistán deprotección mediante patente delosproductos farmacéuticos
ylosproductos químicos paralaagricultura (WT/DS36/3).
Hicieron usodelapalabra losrepresentantes delosEstados Unidos yelPakistán.
ElOSDtomónotadelasdeclaraciones yacordó volver aocuparse delacuestión enunapróxima
reunión.
f) Polonia
- Régimen deimportación delosautomóviles (WT/DSB/M/21 y22)
Enlareunión quecelebró elOSD el15yel16dejuliode1996, elrepresentante delaIndia
anunció quelasautoridades desupaísydePolonia habían llegado aunasolución mutuamente convenida
enrelación conelrégimen deimportación delosautomóviles dePolonia (WT/DS19/1).
Hizo usodelapalabra elrepresentante dePolonia.
ElOSD tomó notadelainformación.
Enlareunión quecelebró elOSDel27deseptiembre de1996, elrepresentante delosEstados
Unidos solicitó aclaraciones conrespecto alacuerdo alcanzado entre Polonia ylaIndia sobre los
automóviles deturismo (WT/DS19/2).
Hicieron usodelapalabra losrepresentantes delosEstados Unidos yPolonia.WT/DSB/W/37
Página 9
ElOSD tomó notadelasdeclaraciones.
g) Turquía
- Medidas aplicadas alasimportaciones detextiles yprendas devestir
(WT/DSB/M/11, 13,14y15)
Enlareunión celebrada porelOSDel21defebrero de1996, elrepresentante deHong Kong
informó alosMiembros dequesusautoridades habían solicitado lacelebración deconsultas conTurquía
enrelación conlaaplicación delasdisposiciones delaUnión Aduanera entreTurquía ylaComunidad
Europea (WT/DS29/1).
Hicieron usodelapalabra losrepresentantes deFilipinas, ennombre desupropio país,Malasia
yTailandia; laIndia; Corea; elPerú; Argentina; Colombia; elBrasil; elPakistán; Turquía y
lasComunidades Europeas.
ElOSD tomó notadelasdeclaraciones.
Enlareunión quecelebró elOSDel27demarzo de1996, elrepresentante delaIndiainformó
alosMiembros dequesuGobierno había solicitado lacelebración deconsultas conTurquía enrelación
conlaimposición unilateral poresepaísderestricciones cuantitativas aunaamplia gama deproductos
textiles yprendas devestir procedentes delaIndia (WT/DS34/1).
HicieronusodelapalabralosrepresentantesdeTurquía,HongKong,lasComunidadesEuropeas
yelJapón.
ElOSD tomó notadelasdeclaraciones.
Enlareunión celebrada porelOSD el27demarzo de1996, elrepresentante deHong Kong
manifestó que,dado quehabía expirado elplazo de10díasprevisto paraentablar consultas enel
párrafo 3delartículo 4delESD, solicitaba aTurquía queconfirmara queestaba dispuesta acelebrar
consultas conHong Kong (WT/DS29/1).
HicieronusodelapalabralosrepresentantesdeTailandia,ennombredesupropiopaís,Filipinas
yMalasia, yTurquía.
ElOSD tomó notadeladeclaraciones.
Enlareunión quecelebró elOSDel17deabrilde1996, elrepresentante deHong Kong expuso
laposición desudelegación acerca delaparticipación delasComunidades Europeas enlasconsultas
conTurquía solicitadas porHong Kong (WT/DS29/1).
HicieronusodelapalabralosrepresentantesdeTailandia,ennombredesupropiopaís,Filipinas
yMalasia; laIndia; elPerú; Turquía; elBrasil; lasComunidades Europeas yelCanadá.
ElOSD tomó notadelasdeclaraciones.
Enlareunión quecelebró elOSD el24deabrilde1996, elrepresentante delaIndia expuso
laposición desudelegación acerca delaparticipación delasComunidades Europeas enlasconsultas
conTurquía solicitadas porlaIndia (WT/DS34/1).
Hicieron usodelapalabra losrepresentantes deTurquía, lasComunidades Europeas y
Hong Kong.WT/DSB/W/37
Página 10
ElOSD tomó notadelasdeclaraciones.
h) Estados Unidos
i) Investigación antidumping sobre lasimportaciones detomates frescos o
refrigerados procedentes deMéxico (WT/DSB/M/20)
Enlareunión quecelebró elOSD el5dejuliode1996, elrepresentante deMéxico informó
alosMiembros dequesupaíshabía solicitado alosEstados Unidos lacelebración deconsultas en
relación conlainvestigación antidumping sobre lasimportaciones detomates frescos orefrigerados
procedentes deMéxico (WT/DS49/1).
ElOSD tomó notadeladeclaración.
ii) Aumento delostiposdelosderechos aplicados adeterminados productos de
lasComunidades Europeas (Proclamación Presidencial Nº5759 de24de
diciembre de1987) (WT/DSB/M/13)
Enlareunión quecelebró elOSDel27demarzo de1996, elrepresentante delasComunidades
Europeas señaló alaatención delospresentes lasmedidas unilaterales adoptadas porlosEstados Unidos
deconformidad conlaProclamación Presidencial Nº5759de24dediciembre de1987, como medida
deretorsión frente alaDirectiva delasComunidades porlaqueseprohíbe lautilización dehormonas
ylaprohibición delaimportación enlasComunidades decarne deganado bovino encuyacríasehayan
utilizado hormonas.
Hicieron usodelapalabra losrepresentantes delJapón ydelCanadá.
ElOSD tomó notadelasdeclaraciones.
iii) Medidas queafectan alasimportaciones dechaquetas delanaparamujeres
yniñas (WT/DSB/M/13 y14)
Enlareunión quecelebró el27demarzo de1996, elOSD examinó lasolicitud presentada
porlaIndia dequeseestableciera ungrupo especial paraexaminar lareclamación deestepaíscontra
lasmedidas adoptadas porlosEstados Unidos queafectan alasexportaciones indias dechaquetas de
lanaparamujeres yniñas (WT/DS32/1).
Hicieron usodelapalabra losrepresentantes delaIndia ydelosEstados Unidos.
ElOSDtomónotadelasdeclaraciones yacordó convocar unareunión el17deabrilparavolver
aocuparse deesteasunto.
Enlareunión quecelebró el17deabrilde1996, elOSD volvió aexaminar elasunto.
Hicieron usodelapalabra losrepresentantes delaIndia ydelosEstados Unidos.
ElOSD tomó notadelasdeclaraciones yacordó establecer ungrupo especial conelmandato
uniforme previsto enelartículo 6delESD.WT/DSB/W/37
Página 11
Losrepresentantes delCanadá, Costa Rica, lasComunidades Europeas, Noruega, elPakistán
yTurquía sereservaron suderecho aparticipar enelprocedimiento delGrupo Especial encalidad
deterceros.2
iv) Medidas queafectan alasimportaciones decamisas yblusas detejidos delana
(WT/DSB/M/13 y14)
Enlareunión quecelebró el27demarzo de1996, elOSD examinó lasolicitud delaIndia
dequeseestableciera ungrupo especial paraexaminar sureclamación enrelación conlasmedidas
estadounidenses queafectan alasimportaciones decamisas yblusas detejidos delanaprocedentes
delaIndia (WT/DS33/1).
Hicieron usodelapalabra losrepresentantes delaIndia ylosEstados Unidos.
ElOSDtomónotadelasdeclaraciones yacordó convocar unareunión el17deabrilparavolver
aocuparse deesteasunto.
Enlareunión quecelebró el17deabrilde1996, elOSD volvió aexaminar estacuestión.
Hicieron usodelapalabra losrepresentantes delaIndia, losEstados Unidos, Noruega, las
Comunidades Europeas, elCanadá yelPakistán.
ElOSDtomó notadelasdeclaraciones yacordó establecer ungrupo especial conelmandato
uniforme previsto enelartículo 6delESD.
Losrepresentantes delCanadá, Costa Rica, lasComunidades Europeas, Noruega, elPakistán
yTurquía sereservaron suderecho aparticipar enelprocedimiento delGrupo Especial encalidad
deterceros.
v) Restricciones aplicadas alasimportaciones deropainterior dealgodón yfibras
sintéticas oartificiales (WT/DSB/M/10, 11y12)
Enlareunión quecelebró elOSDel31deenero de1996, elrepresentante deCosta Ricainformó
alosMiembros dequelasautoridades desupaíshabían solicitado lacelebración deconsultas con
losEstados Unidos alamparo deloestablecido enelartículo 4delESD, enelartículo XXIII delGATT
de1994yenlasdisposiciones correspondientes delAcuerdo sobre losTextiles yelVestido enrelación
conlaimposición yaplicación derestricciones cuantitativas alasimportaciones deropainterior de
algodón yfibras sintéticas oartificiales (WT/DS24/1 yCorr.1).
Hicieron usodelapalabra losrepresentantes delaIndia ydeHong Kong.
ElOSD tomó notadelasdeclaraciones formuladas.
Enlareunión quecelebró elOSD el21defebrero de1996, elrepresentante deCosta Rica
solicitó queseconvocara unareunión delOSDdentro delos15díassiguientes paraexaminar lasolicitud
deCosta Ricadequeseestableciera ungrupo especial pararesolver lacuestión.
ElOSD tomó notadeladeclaración.
2Enunacomunicación defecha 25deabrilde1996 distribuida conlasignatura WT/DS32/2, laIndia informó
alOSD deque,araízdelasupresión delalimitación porlosEstados Unidos, elGobierno delaIndia había
decidido solicitar quesepusiera término alasactuaciones delGrupo Especial conrespecto aestadiferencia.WT/DSB/W/37
Página 12
Enlareunión quecelebró el5demarzo de1996, elOSDexaminó lasolicitud deestablecimiento
deungrupo especial paraexaminar estacuestión presentada porCosta Rica(WT/DS24/2).
Hicieron usodelapalabra losrepresentantes deCosta RicaylosEstados Unidos.
ElOSD tomó notadelasdeclaraciones yacordó establecer ungrupo especial conelmandato
uniforme deconformidad conelartículo 6delESD.
vi) Pautas paralagasolina reformulada yconvencional
(WT/DSB/M/11, 17,19y20)
El10deabrilde1995, elOSDhabía establecido ungrupo especial paraexaminar estacuestión
apetición deVenezuela, yel31demayo de1995 ungrupo especial paraexaminar elmismo asunto
apetición delBrasil. Enesamisma reunión, conforme alodispuesto enelartículo 9delESDrespecto
delapluralidad departes reclamantes, elOSDhabía decidido, conlaconformidad detodas laspartes,
queestaúltima diferencia fueraexaminada porelGrupo Especial yaestablecido apetición deVenezuela.
Enlareunión quecelebró el21defebrero de1996, elOSD examinó elinforme delGrupo
Especial sobre lasreclamaciones deVenezuela yelBrasil, quefigura eneldocumento WT/DS2/R.
ElSr.Harbinson (Hong Kong), ennombre desuPresidente elSr.Wong presentó elinforme delGrupo
Especial.
Hicieron usodelapalabra losrepresentantes deVenezuela, losEstados Unidos yelBrasil.
ElOSD tomó notadelasdeclaraciones ydeladecisión delosEstados Unidos depresentar
alÓrgano deApelación unaapelación contra elinforme delGrupo Especial distribuido conla
signatura DS2/R.
Enlareunión quecelebró el20demayo de1996, elOSD examinó elinforme delÓrgano
deApelación contenido eneldocumento WT/DS2/AB/R yelinforme delGrupo Especial contenido
eneldocumento WT/DS2/R, relativos alasreclamaciones deVenezuela yelBrasil.
Hicieron usodelapalabra losrepresentantes deVenezuela, elBrasil, losEstados Unidos, las
Comunidades Europeas yelJapón.
ElOSDtomónotadelasdeclaraciones formuladas, adoptó elinforme delÓrgano deApelación,
contenido eneldocumento WT/DS2/AB/R, yelinforme delGrupo Especial, contenido eneldocumento
WT/DS2/R ymodificado porelinforme delÓrgano deApelación, yacordó que,deconformidad con
elprocedimiento adoptado porelConsejo delGATT de1947 enmayo de1988 (IBDD 35S/382), se
suprimiera elcarácter reservado deambos informes.
Enlareunión quecelebró elOSD el19dejunio de1996, losEstados Unidos informaron al
OSDdesupropósito encuanto alaaplicación delasrecomendaciones hechas porelOSDensureunión
del20demayo (WT/DS2/9).
Hicieron usodelapalabra losrepresentantes deVenezuela, elBrasil yNoruega.
ElOSD tomó notadelasdeclaraciones ydelainformación proporcionada porlosEstados
Unidos acerca desupropósito encuanto alaaplicación delasrecomendaciones delOSD.
Enlareunión quecelebró elOSDel5dejuliode1996, elrepresentante deVenezuela informó
alosMiembros dequelaspartes enladiferencia habían decidido prorrogar elplazo de45díasestipuladoWT/DSB/W/37
Página 13
enelpárrafo 3delartículo 21delESD, conelfindefijardecomún acuerdo unplazo paralaaplicación
delasrecomendaciones delOSD.
Hizo usodelapalabra elrepresentante delBrasil.
ElOSD tomó notadelasdeclaraciones.
vii) Aumento delosaranceles aplicados adeterminados productos procedentes de
lasComunidades Europeas (WT/DSB/M/19, 20y21)
Enlareunión quecelebró elOSDel19dejunio de1996, elrepresentante delasComunidades
Europeas pidióqueelOSDcelebrara unareunión extraordinaria afindeexaminar lasolicitud presentada
porlasComunidades dequeseestableciera unGrupo Especial paraqueexaminara elaumento delos
aranceles aplicados porlosEstados Unidos adeterminados productos procedentes delasComunidades
Europeas (WT/DS39/2).
ElOSD tomó notadelasolicitud.
Enlareunión quecelebro el5dejuliode1996, elOSD examinó lasolicitud presentada por
lasComunidades Europeas dequeseestableciera ungrupo especial queexaminara sureclamación
enrelación conelaumento delosaranceles aplicados porlosEstados Unidos adeterminados productos
deexportación delasComunidades Europeas.
HicieronusodelapalabralosrepresentantesdelasComunidadesEuropeasylosEstadosUnidos.
ElOSDtomónotadelasdeclaracionesyacordóvolveraocuparsedeestacuestiónensupróxima
reunión.
Enlareunión quecelebró losdías15y16dejuliode1996, elOSD volvió aexaminar esta
cuestión.
HicieronusodelapalabralosrepresentantesdelasComunidadesEuropeasylosEstadosUnidos.
ElOSD tomó notadelasdeclaraciones.
9. Proyecto deleydelosEstados Unidos sobre ladefinición de"rama deproducción nacional"
enlaesfera delassalvaguardias (WT/DSB/M/16)
Enlareunión quecelebró elOSD el8demayo de1996, elrepresentante deMéxico expuso
laspreocupaciones desudelegación enrelación conelproyecto deleyquedebepresentarse ala
aprobación delSenado delosEstados Unidos yqueredefiniría laexpresión "rama deproducción
nacional" quefigura enlalegislación desalvaguardia delosEstados Unidos.
Hicieron usodelapalabra losrepresentantes delCanadá, Argentina, Australia, elBrasil, Chile,
Costa Rica, laRepública Dominicana, Egipto, ElSalvador, Guatemala, Honduras, Nueva Zelandia,
Nicaragua, Noruega, elPerú, Filipinas -ennombre delospaíses delaASEAN- yelUruguay.
ElOSD tomó notadelasdeclaraciones.WT/DSB/W/37
Página 14
10. Informe sobre lasituación delasactividades preparatorias delaReunión Ministerial deSingapur
(WT/DSB/M/21)
Enlareunión quecelebró elOSD losdías15y16dejuliode1996, elPresidente anunció
queenlareunión delConsejo General prevista parael18dejuliopresentaría uninforme oralsobre
lasactividades delOSD enrelación conlaaplicación delasdisposiciones delESD.
ElOSD tomó notadeestainformación.
11. Informe delOSD alConsejo General paralaReunión Ministerial deSingapur
(WT/DSB/M/20 y22)
Enlareunión quecelebró elOSD el5dejuliode1996, elPresidente propuso queelOSD
presentara suinforme anual paraquefueraexaminado porelConsejo General ensureunión deldía7de
noviembre de1996.
ElOSD tomó notadeladeclaración.
Enlareunión quecelebró elOSDel27deseptiembre de1996, elPresidente señaló alaatención
delosMiembros quealgunos aspectos relativos alasactividades delOSD alosquehabía hecho
referencia enladeclaración quehabía hecho alConsejo General ensureunión de18dejuliode1996
serían incluidos enelinforme anual delOSDquehadesometerse alaaprobación delOSDenlareunión
quecelebrará ésteel16deoctubre de1996.
Hicieron usodelapalabra losrepresentantes deJamaica, México yNoruega.
ElOSD tomó notadelasdeclaraciones.
12. Recapitulación
ElÓrgano deSolución deDiferencias (OSD) hacomenzado afuncionar hacepocomenos de
dosaños. Enelpresente apartado sepretende poner derelieve algunos aspectos delproceso desolución
dediferencias eneseperíodo.
Desde enero de1995, sehansometido alOSD37asuntos deconformidad conlasdisposiciones
delESD.2Sehanestablecido grupos especiales paraocuparse dediferencias enrelación con11asuntos,
deloscuales tressehansolucionado sinquelosgrupos especiales hubieran depronunciarse alrespecto.
Enrelación conlosotros ochoasuntos, sehandistribuido dosinformes degrupos especiales, quehan
sidoambos objeto deapelación anteelÓrgano deApelación. ElÓrgano deApelación haemitido
informes endoscasos; encadaunodeesosinformes haconfirmado losresultados aquehabían llegado
losgrupos especiales respectivos, perohamodificado surazonamiento jurídico. Seespera quelos
otros seisgrupos especiales publiquen susinformes oportunamente.
Cabe hacer diversas observaciones alaluzdelaexperiencia delOSD en1995 y1996. En
primer lugar, sehasometido alOSD unnúmero deasuntos considerablemente mayor queelnúmero
deasuntos sustanciados enelmarco delGATT enperíodos similares. Losprincipales participantes
enelsistema desolución dediferencias, encalidad deMiembros demandantes odemandados, han
sidolasgrandes naciones comerciantes, yespecialmente losEstados Unidos. Noobstante, hayque
2Enrealidad sehanpresentado 51solicitudes formales decelebración deconsultas alamparo delESD yse
hansometido dosasuntos alOSD deconformidad conelAcuerdo sobre losTextiles yelVestido (ATV) elcual
norequiere lacelebración deconsultas enelESD sinoquepermite alaspartes solicitar elestablecimiento de
ungrupo especial traslaterminación delaetapa deconsultas ydelosdemás procedimientos previstos enelATV.WT/DSB/W/37
Página 15
destacar laparticipación enelsistema desolución dediferencias delosMiembros endesarrollo en
calidad dedemandantes, tanto frente apaíses desarrollados como aotros países endesarrollo, loque
ponedemanifiesto queengeneral estáaumentando lafrecuencia conqueserecurre alsistema.
Ensegundo lugar, hahabido unconsiderable número deacuerdos alcanzados enelmarco del
ESD. Enseisdelos37asuntos sometidos alOSD, sehanotificado formalmente aesteÓrgano que
sehabía alcanzado unasolución. Además, enotros sieteasuntos nosehapresentado alOSD una
solicitud deestablecimiento deungrupo especial, apesar dehaber transcurrido másdeseismeses
desde lasolicitud inicial decelebración deconsultas, loqueindica quetambién enestos casos puede
haberse llegado aunasolución. Deloanteriormente expuesto sedesprende queelESDestácumpliendo
sufunción depermitir, siempre queseaposible, quelosMiembros solucionen susdiferencias
rápidamente, sinnecesidad derecurrir alprocedimiento formal delosgrupos especiales.
Entercer lugar, laexperiencia delOSD hasta elmomento presente ponedemanifiesto una
mayor transparencia delsistema desolución dediferencias delaOMC. ElESDestablece laobligación
específica denotificar alOSD lassoluciones mutuamente convenidas enlosasuntos planteados
formalmente alamparo delasdisposiciones enmateria deconsultas ysolución dediferencias delos
acuerdos abarcados. Hasta lafecha, elOSDharecibido seisnotificaciones enlasquesehainformado
dequesehabía llegado aunasolución mutuamente convenida, yelPresidente delOSD hainstado
alosMiembros aqueutilicen plenamente estadisposición.
ElOSD, ensucalidad deÓrgano queseocupa delasdiferencias enlaOMC, ydeconformidad
conlasdisposiciones establecidas enelESD, hadecidido celebrar reuniones conlafrecuencia necesaria
parallevar acabosusfunciones. Desde enero de1995, hacelebrado 22reuniones, comprendidas
lasreuniones ordinarias ylasreuniones extraordinarias celebradas ainstancia delosMiembros. En1995
hahabido dosreuniones extraordinarias ydesde enero de1996sehancelebrado tresreuniones deesa
naturaleza.
ElOSD, entre otras funciones, administra lalistaindicativa depersonas, funcionarios
gubernamentales ono,concompetencia endiversas esferas, quepueden formar parte delosgrupos
especiales. Estalistahapermitido quelosdiversos grupos especiales contaran conelmayor grado
decompetencia técnica posible.
Siguiendo latradición delGATT, elOSDhaactuado conespíritu pragmático yhafomentado
unamayor cooperación entre losMiembros, loquehacontribuido allogro desoluciones mutuamente
aceptables enlasdiferencias comerciales. Noobstante, elOSDhaidomáslejosquelosprocedimientos
desolución dediferencias delGATT enlacodificación yeneldesarrollo progresivo enelESDde
prácticas anteriores, porloqueofrece alosMiembros tanto laposibilidad dellegar asoluciones
mutuamentesatisfactoriasensusdiferenciascomolacertezadeconseguir,encasonecesario,unasolución
deesasdiferencias porvíalegal.
Cabe concluir, porlotanto, queelOSDhadesempeñado unafunción positiva enladirección
delproceso desolución dediferencias dentro delnuevo sistema decomercio multilateral delaOMC.
ElESD, bajoladirección delOSD, estácontribuyendo allogro deunamayor seguridad yprevisibilidad
delasrelaciones entrelosinterlocutores delsistema multilateral abierto decomercio. Elfuncionamiento
delsistema desolución dediferencias, considerado ensuconjunto, hapuesto derelieve algunos
problemas, peroenlamayoría deloscasos sehanestablecido prácticas detrabajo pararesolver esos
problemas deforma pragmática. Noobstante, senecesita másexperiencia enelfuncionamiento del
sistema parapoder evaluarlo entodos susaspectos. Aesterespecto, ladecisión delosMinistros de
examinarelfuncionamientodelsistemadentrodeloscuatroañossiguientesasuentradaenvigorbrindará
laoportunidad dellevar acaboesaevaluación ydeintroducir, encasonecesario, mejoras enél.WT/DSB/W/37
Página 16
Porúltimo, puede afirmarse queelfuncionamiento satisfactorio delsistema desolución de
diferencias durante losdosprimeros añosdesuexistencia confirma laconfianza creciente quesuscitan
enlosgobiernos laOMC yelsistema abierto ymultilateral decomercio.
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. /.ORGANISATION MONDIALE
DU COMMERCEG/SPS/N/CAN/154
4 décembre 2002
(02-6694)
Comité des mesures sanitaires et phytosanitaires Original: anglais/
français
NOTIFICATION
1. Membre de l'Accord adressant la notification: CANADA
Le cas échéant, pouvoirs publics locaux concernés:
2. Organisme responsable: L'Agence de réglementation de la lutte antiparasitaire (ARLA),
Santé Canada
3. Produits visés (Prière d'indiquer le (les) numéro(s) du tarif figurant dans les listesnationales déposées à l'OMC. Les numéros de l'ICS devraient aussi être indiqués, le
cas échéant): Quizalofop-éthyl (ICS : 65.100.20)
4. Régions ou pays susceptibles d'être concern és, si cela est pertinent ou faisable: Non
établi
5. Intitulé, langue et nombre de pages du texte notifié: Autorisation de mise en marché
provisoire concernant l'utilisation du quizalofop-éthyl (disponible en anglais et français,
pages 3388-3389).
6. Teneur:
L'Agence de réglementation de la lutte antiparasitaire (ARLA) de Santé Canada a
récemment approuvé une demande de modifica tion de l'homologation du quizalofop-éthyl
afin de permettre son utilisation pour lutter contre les mauvaises herbes annuelles sur les
haricots adzuki, les haricots blancs, les haricots blancs secs, les haricots canneberge, les
haricots communs rouges et blancs, les haricots de Lima, les haricots mungo, les haricots
noirs, les haricots à oeil brun et jaune et les haricots pinto en traitement de postlevée. On a
aussi demandé à l'ARLA d'établir une limite maximale de résidus (LMR) pour les résidusdu quizalofop-éthyl et ses métabolites résultant de cette utilisation dans les haricots adzuki,
les haricots blancs secs, les haricots communs, les haricots de Lima secs, les haricots
mungo, les haricots pinto et les haricots secs (qui comprennent les haricots blancs, les
haricots canneberge, les haricots noirs et les haricots à oeil brun et jaune), de manière à
permettre la vente d'aliments contenant ces résidus.
Après avoir examiné toutes les données disponibles, l'ARLA a déterminé qu'une LMR de
0,15 p.p.m. pour le quizalofop-éthyl , y compris ses métabolites, dans les haricots adzuki, les
haricots blancs secs, les haricots communs, les haricots de Lima secs, les haricots mungo,
les haricots pinto et les haricots secs ne poserait pas de risque inacceptable pour la santé dela population.G/SPS/N/CAN/154
Page 2
Dans le but d'améliorer la souplesse du système de réglementation, on accorde une
autorisation de mise en marché provisoire afin de permettre la vente immédiate de haricots
adzuki, de haricots blancs secs, de haricots communs, de haricots de Lima secs, de haricots
mungo, de haricots pinto et de haricots secs avec une LMR pour le quizalofop-éthyl, y
compris ses métabolites, de 0,15 p.p.m., en attendant qu'on puisse modifier officiellementles règlements. Un nouvel avis sera publié au début du processus de modification et les
membres pourront alors formuler des commentaires au sujet de cette proposition de mesure.
7. Objectif et raison d'être: [ X ] innocuité des produits alimentaires, [ ] santé des
animaux, [ ] préservation des végétaux, [ ] protection des personnes contre les
maladies ou les parasites des animaux/des plantes, [ ] protection du territoire contre
d'autres dommages attribuables à des parasites
8. Norme, directive ou recommandation internationale:
[ ] Commission du Codex Alimentarius, [ ] Office international des épizooties,
[ ] Convention internationale pour la protection des végétaux, [ X ] NéantS'il existe une norme, directive ou recommandation internationale, en donner la
référence correcte et indiquer brièvement en quoi le texte notifié est différent:
9. Documents pertinents et langue(s) dans laquelle (lesquelles) ils sont disponibles:
Gazette du Canada, Partie I, 9 novembre 2002. (Disponible en anglais et français)
10. Date projetée pour l'adoption: Immédiatement en ce qui concerne l'autorisation de mise
en marché provisoire. Quant au règlement final, il sera établi dans la prochaine révision ou
le prochain addenda.
11. Date projetée pour l'entrée en vigueur: Immédiatement en ce qui concerne l'autorisation
de mise en marché provisoire. Quant au règlement final, il sera établi dans la prochaine
révision ou le prochain addenda.
12. Date limite pour la présentation des observations: Ce document n'est pas pour le moment
présenté pour commentaires. On prévoira cependant une période à cet effet dans le nouvel
avis.
Organisme ou autorité désigné pour traiter les observations: [ ] autorité nationale
responsable des notifications, [ X ] point d'information national ou adresse, numéro de
téléfax et adresse électronique (s'il y a lieu) d'un autre organisme:
13. Entité auprès de laquelle le texte peut être obtenu: [ ] autorité nationale responsable
des notifications, [ X ] point d'information national ou adresse, numéro de téléfax et
adresse électronique (s'il y a lieu) d'un autre organisme:
La version électronique du texte réglementaire peut être téléchargée à :
http://canada.gc.ca/gazette/part1/pdf/g1-13645.pdf
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ORGANIZACIÓN MUNDIAL
DEL COMERCIOG/TBT/Notif.98.551
9 de noviembre de 1998
(98-4416)
Comité de Obstáculos Técnicos al Comercio
NOTIFICACIÓN
Se da traslado de la notificación de conformidad con el artículo 10.6.
1. Miembro del Acuerdo que notifica: JAMAICA
Si procede, nombre del gobierno local de que se trate (artículos 3.2 y 7.2):
2. Organismo responsable: Oficina de Normalización (Jamaica)
Se indicará el organismo o autoridad responsable de la tramitación de observaciones sobre
la notificación, en caso de que se trate de un organismo o autoridad diferente:
3. Notificación hecha en virtud del artículo 2.9.2 [X], 2.10.1 [ ], 5.6.2 [ ], 5.7.1 [ ], o en
virtud de:
4. Productos abarcados (partida del SA o de la NCCA cuando corresponda; en otro caso
partida del arancel nacional. Podrá indicarse además, cuando proceda, el número de partida
de la ICS): Instrumentos de pesar y medir
5. Título, número de páginas e idioma(s) del documento notificado: Ley de Pesos y Medidas.
Reglamentos sobre pesos y medidas (prohibición de instrumentos de medir no métricos enel comercio), 1998. (Aproximadamente 2 páginas)
6. Descripción del contenido: El Reglamento establece que:
a) todos los intrumentos de pesar y medir que vayan a utilizarse con fines comerciales
deberán ser aprobados por la Oficina de Normalización;
b) todos los intrumentos de pesar y medir que se usen en el comercio indicarán
únicamente unidades métricas;
c) la importación de cualquier instrumento de pesar y medir no métrico deberá ser
aprobada por la Oficina de Normalización.
7. Objetivo y razón de ser, incluida, cuando proceda, la índole de los problemas urgentes:
Conversión al empleo exclusivo de unidades métricas en el comercio.
8. Documentos pertinentes: Suplemento del Diario Oficial de Jamaica – Proclamaciones,
normas y reglamentos. Volumen CXXI, 29 de junio de 1998, Nº 30A
9. Fecha propuesta de adopción:
Fecha propuesta de entrada en vigor: } 1º de enero de 1999
10. Fecha límite para la presentación de observaciones: 30 de noviembre de 1998
11. Textos disponibles en: Servicio nacional de información [X], o dirección, correo
electrónico y número de telefax de otra institución:
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ORGANIZACIÓN MUNDIAL
DEL COMERCIOWT/WGTCP/W/90
3 de septiembre de 1998
(98-3374)
Grupo de Trabajo sobre la Interacción entre
Comercio y Política de CompetenciaOriginal: inglés
COMUNICACIÓN DE LA REPÚBLICA DE COREA
Se ha recibido de la Misión Permanente de la República de Corea la siguiente comunicación,
de fecha 27 de julio de 1998.
_______________
Efectos de la política comercial en la competencia:
Evaluación de las normas antidumping
I. INTRODUCCIÓN
La incompatibilidad entre la política comercial y la política en materia de competencia ha sido
hasta la fecha objeto de no poca controversia. En particular, son muchos los que han expresado
preocupación sobre la aparente incompatibilidad entre las normas antidumping y las leyes y políticas
en materia de competencia. Esas preocupaciones reflejan la diferencia fundamental en los objetivosde los dos conceptos: mientras que las normas antidumping tienen por objeto proteger a los
"competidores" (es decir, a las industrias nacionales) frente a prácticas comerciales presuntamente
desleales, las leyes y políticas en materia de competencia tienen por objeto proteger la "competencia"
misma.
En el presente documento se trata de determinar si las normas antidumping son justificables
desde una perspectiva económica, se analizan algunos importantes aspectos anticompetitivos de las
normas antidumping existentes y se sugieren algunas pautas para reformar el actual régimen
antidumping multilateral y para futuras deliberaciones de este Grupo de Trabajo.
II. EVALUACIÓN ECONÓMICA DEL FUNDAMENTO DE LAS MEDIDAS
ANTIDUMPING
El dumping se considera una práctica comercial desleal, y está sujeto a medidas antidumping
en virtud del actual régimen multilateral de comercio. En la presente sección se evalúa el fundamentode las medidas antidumping por lo que respecta a la discriminación de los precios, las ventas a precios
inferiores al costo y el dumping predatorio.
A. DISCRIMINACIÓN DE LOS PRECIOS
En el artículo VI del GATT de 1994 se define el dumping como la venta de productos en
mercados extranjeros a un precio inferior al que normalmente se aplica en el mercado interior. Conarreglo a esa definición, el dumping es un tipo de discriminación de precios internacional en el que
una empresa fija un precio más bajo para el mercado de exportación que para el mercado nacional.
Desde una perspectiva económica, hay dos condiciones previas para que una empresa fije
precios internacionales discriminatorios. En primer lugar, la empresa debe disfrutar de una firmeWT/WGTCP/W/90
Página 2
posición monopolística -o cuando menos oligopolística- en su mercado interior. En segundo lugar, la
empresa debe estar protegida de la competencia extranjera en su mercado interior mediante obstáculos
naturales o artificiales al comercio. Es improbable que se produzcan casos de dumping si no hay
obstáculos al comercio debido al efecto de arbitraje de las mercancías objeto de dumping a uno y otro
lado de las fronteras.
Cuando se cumplen esas condiciones, es natural que las empresas recurran al dumping, como
se muestra en la figura 1. Supongamos que una empresa del país A exporta el producto X al país B.
Si la empresa disfruta de una fuerte posición monopolística en su mercado interior confiará en que la
demanda interior de su producto será menos elástica que en el mercado exterior. Esto significa que la
curva de la demanda para el producto en su mercado interior (D(a)) es más empinada que la del
mercado de importación (D(b)). Para simplificar el análisis, supongamos que la empresa tiene que
hacer frente a los mismos costes marginales (CM) en ambos países. En ese caso, la empresa debevender la cantidad Qx(a) al precio Px(a) en su país, y la cantidad (Qx(b)) al precio (Px(b)) en el país
importador para obtener el máximo beneficio.
Figura 1: Discriminación de precios internacional
Px
Px(a)
<Mercado interior> <Mercado de importación>
Px(b)
CM(a)=CM(b)
_______________________________________________________________
D(a) MR(a) D(b)
MR(b)
________________________________________________________________
Qx Qx(a) Qx(b)
Por consiguiente, el dumping es un fenómeno muy natural, y no necesariamente injusto cuando
la empresa cumple las dos condiciones previas arriba citadas. Por consiguiente, no hay justificación
económica para el establecimiento de normas antidumping que condenen todas las ventas de
productos de exportación a precios más bajos de los aplicados en el mercado interior.
Además, lo que debe condenarse no es la fijación de precios bajos en el mercado exterior, sino
más bien la fijación de precios altos en el mercado nacional. El dumping es consecuencia del abusodel poder monopolístico en el mercado interior, no en el mercado del país importador. Aunque los
monopolios obren en detrimento del bienestar social en el país de origen, los bajos precios
contribuyen al bienestar social en el país de im portación. Por consiguiente, las políticas antidumping
tienen poca justificación, especialmente desde el punto de vista del país importador.
B. VENTAS A PRECIO INFERIOR AL COSTO
"Las ventas a un precio inferior al costo" se producen cuando una empresa fija sus precios por
debajo de los costos medios (por ejemplo, en una fase más temprana de la producción). Esta fijación
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Página 3
costos medios es fija, puede ser racional e inevitable que una empresa venda un producto a un precio
inferior a los costos medios, siempre que el precio sea superior al coste marginal.
Además, cuando se trata de productos con altos precios fijos, no es raro que una empresa venda
productos a un precio inferior a los costos [medios] durante un cierto tiempo, en previsión de una
acusada disminución de los precios medios en un futuro próximo. Esto puede ser así porque lasempresas suelen determinar el precio sobre la base de los beneficios que prevén obtener a lo largo de
todo el ciclo de vida de un producto dado. En este sentido no hay fundamentos económicos para
restringir el dumping por el mero hecho de que un a empresa haya fijado un precio inferior al costo.
Durante las negociaciones de la Ronda Uruguay, una de las cuestiones más controvertidas fue
si para determinar el valor normal podían pasarse por alto las ventas a precios inferiores al costo.
Finalmente se acordó que las ventas a precios inferiores al costo podían admitirse como valor normal
en determinadas condiciones. Sin embargo, esa norma puede no reflejar plenamente la situación en elcaso de las operaciones de lanzamiento y los ciclos negocio/producto.
C. DUMPING PREDATORIO
Entre los diversos tipos de dumping (por ej emplo, dumping esporádico, dumping predatorio y
dumping persistente), sólo el dumping predatorio se condena como perjudicial para el país
importador. El dumping predatorio es un sistema de fijación de precios aplicado por las empresaspara obtener un monopolio en el país importador expulsando a los rivales del mercado. Los
consumidores del país importador pueden obtener alguna ventaja transitoria de la fijación de precios
predatorios, pero lo probable es que éstos en definitiva les perjudiquen cuando los predadores
empiecen a obtener sus beneficios monopolísticos. Esa práctica puede también ocasionar
perturbaciones de los recursos y algunas formas de deterioro económico.
Sin embargo, el dumping predatorio es tan improbable que resulta difícil justificar las medidas
antidumping por ese motivo. Para que el dumping predatorio tenga éxito, el monopolista no sólo
tiene que expulsar a los rivales del mercado, sino también que evitar la entrada de otros posibles
competidores. Esto obliga al monopolista a seguir cobrando un precio tan bajo que jamás llegará a
obtener beneficios, hipótesis altamente improbabl e. De hecho, los ejemplos documentados de
dumping predatorio exitoso son extremadamente raros en la historia del comercio internacional.
Además, es extremadamente difícil discernir si una empresa está simplemente fijando precios de
manera agresiva para competir con sus rivales o si lo hace para inducir la retirada de sus rivales con
objeto de obtener una posición monopolística en el mercado.
Cuando no hay intenciones predatorias, la imposición de derechos antidumping puede desviar a
exportadores eficientes hacia otros mercados, reduciendo la presión competitiva en el país importador.
Esto puede perjudicar exclusivamente a los consumidores nacionales como consecuencia del aumentode los precios interiores.
III. EFECTOS ANTICOMPETITIVOS DE LAS NORMAS ANTIDUMPING
Como se ha expuesto en el anterior capítulo, prácticas como la discriminación de precios, las
ventas a precio inferior al costo [medio] y la competencia en los precios son fenómenos generales y
naturales y deben considerarse como conductas que lejos de restringir la competencia la promueven,contribuyendo al bienestar de los consumidores y a una distribución eficiente de los recursos. En la
práctica, ese tipo de fijación de precios no está reglamentado en las políticas y leyes sobre
competencia de la mayoría de los países. Las normas antidumping que regulan esas prácticas
protegen en muchos casos a los competidores nacionales (es decir, las industrias nacionales) y obran
en menoscabo de la competencia.WT/WGTCP/W/90
Página 4
El Acuerdo antidumping de la OMC introdujo varias reformas importantes en el anterior
Código Antidumping en esferas como la comparación de precios, las ventas a precios inferiores a los
costos, la legitimación de los peticionarios, los conceptos de de minimis y acumulación, la caducidad
de las medidas antidumping, etc. Sin embargo, se ha criticado el nuevo acuerdo por considerarse que
no aborda ciertos problemas básicos relacionados con los efectos anticompetitivos de las normasantidumping. Los principales motivos de preocupación pueden resumirse en la forma siguiente:
En primer lugar, la definición del dumping es tan mecánica que no se tiene en cuenta el motivo
del dumping. Puede muy bien suceder que una empresa se vea sujeta a una investigación
antidumping automáticamente si exporta un producto a un precio inferior al valor normal en el
mercado interior, con independencia de que haya o no una intención predatoria. Como consecuencia
de ello, pueden imponerse derechos sobre precios bajos pero justificados. En contraste, la mayoría de
las leyes y políticas en materia de competencia regulan únicamente la discriminación de precios conintención predatoria de expulsar a los competidores del mercado.
En segundo lugar, con arreglo a las actuales normas antidumping, las autoridades nacionales
tienen amplísimas facultades discrecionales. Como los criterios para determinar el precio de
exportación y el valor normal no son estrictos ni específicos, el país importador puede determinar a
voluntad la existencia de casos de dumping. Esto significa que ligeros cambios en las normasmetodológicas podrían otorgar importantes ventajas a las empresas nacionales que invocan casos de
dumping. Además, no hay criterios específicos para determinar el daño material. Por si fuera poco,
no hay ningún mecanismo generalmente aceptado para establecer la relación causal entre el dumping
y el daño. Por consiguiente, los malos resultados de las empresas nacionales en los sectores
nacionales conexos pueden atribuirse fácilmente a los productos objeto de dumping durante losperíodos de recesión económica.
En tercer lugar, los compromisos relativos a los precios pueden dar lugar al nacimiento de
cárteles de precios, que perjudicarían a la competencia leal en materia de precios. Las normas
antidumping permiten a los exportadores evitar que se adopten medidas antidumping si acceden a
aumentar sus precios. Aunque esos acuerdos so n un medio de suspender procesos antidumping en
curso o inminentes, también pueden utilizarse para promover conductas anticompetitivas.
Concretamente, esas normas pueden promover la cartelización, en beneficio de los intereses de ciertos
productores del país importador que tratan de obtener mayor protección.
En cuarto lugar, las peticiones de adopción de medidas antidumping pueden constituir en sí
mismas poderosos instrumentos proteccionistas inductores de restricciones voluntarias de las
exportaciones por parte de las empresas exportadoras. Aunque el artículo 11 del Acuerdo sobre
Salvaguardias de la OMC prohíbe determinadas medidas como las limitaciones voluntarias de lasexportaciones o los acuerdos de comercialización ordenada, en muchas ocasiones los países
exportadores pueden actuar unilateralmente sin indicación formal alguna de la existencia de un
acuerdo internacional o incluso de un consenso. Por consiguiente, en lo tocante a los efectos
limitadores de las exportaciones de las medidas antidumping, la mera solicitud puede ser suficiente
para reducir los incentivos de las empresas para exportar, lo que a su vez puede conducir alimitaciones voluntarias de las exportaciones.
En quinto lugar, las normas antidumping son incompatibles con los principios más
fundamentales de la OMC, es decir, los principios de trato nacional y NMF, ya que son normas que se
aplican selectivamente y no a todos los exportadores extranjeros y a todos los productores nacionales.
Esa restricción discriminatoria de las importaciones distorsionará con certeza la competencia y elcomercio, que deben desarrollarse sobre la base de la ventaja comparativa internacional.WT/WGTCP/W/90
Página 5
IV. PAUTAS PARA LA REFORMA DE LAS ACTUALES NORMAS ANTIDUMPING
Más arriba se ha aducido que si no se confirma la intención predatoria las normas antidumping
no tienen sentido económico y sólo producen efectos protectores y anticompetitivos. Por
consiguiente, las normas antidumping no son en ningún caso la respuesta más idónea al dumping. La
mejor política es, por el contrario, eliminar la causa principal del dumping, es decir, quebrar laposición monopolística de las empresas en los países exportadores. En ese sentido, podrían estudiarse
las siguientes reformas de las actuales normas antidumping:
A largo plazo, es preferible hacer frente al dumping en el marco de la política en materia de
competencia que mediante la aplicación de las ac tuales normas antidumping. Si resulta demasiado
difícil derogar todas las normas antidumping, las partes pertinentes de esas normas podrían sustituirse
por los principios y procedimientos utilizados en la política en materia de competencia para hacer
frente a la discriminación de precios. Por ejemplo, sólo se autorizaría a las autoridades encargadas dela investigación tomar una decisión positiva sobre dumping cuando se haya confirmado la intención
predatoria. Además, sólo se permitiría a las autoridades encargadas de la investigación constatar la
existencia de un daño cuando se hayan probado los efectos anticompetitivos del dumping. Para que
sea más fácil probar la intención predatoria podrían establecerse algunos indicios que reflejen en la
medida de lo posible la posibilidad de fijar precios predatorios. Esos indicios podrían ser, entre otrascosas, la participación en el mercado, los índices de concentración y la duración de las ventas a
precios inferiores a los costos medios o marginales. Además, es muy importante tener en cuenta
todos los índices y factores económicos que puedan influir en la situación del sector de producción de
que se trate.
Por último, y por encima de todo, debería garantizarse el trato nacional al abordar cualquier
tipo de discriminación de precios desleal. No hay ninguna razón para que las normas sobre
discriminación de precios desleal sean distintas en los planos nacional e internacional. Esto es
especialmente importante para evitar que se abuse de las normas antidumping utilizándolas como
instrumentos proteccionistas.
V. CONCLUSIÓN
A medida que las actividades de negocios se van mundializando, cada vez es mayor la
necesidad de establecer normas multilaterales que regulen la política en materia de competencia en
formas aceptables para todas las naciones. Sin embargo, con carácter inmediato debe prestarse más
atención a las incompatibilidades entre las políticas y normas en materia de competencia y las normas
comerciales existentes y los efectos anticompetitivos de las actuales políticas y normas comerciales,
como se ha expuesto más arriba.
Por estas razones, Corea comparte la opinión de que las deliberaciones de este Grupo de
Trabajo deben apuntar a la reforma de las actuales normas de la OMC desde la perspectiva de la
competencia, con especial atención a la interacción entre el comercio y la política de competencia, en
lugar de centrarse en las normas reguladoras de la competencia per se . En este sentido debe hacerse
especial hincapié en las medidas gubernamentales que afectan a la competencia, como los derechos
antidumping.WT/WGTCP/W/90
Página 6
Referencias
Carlton, D.W., y Perlof, J.M. (1994), Modern Industrial Organization , 2ª ed. Nueva York:
Harper Collins.
Chae, W. (1993), Sistema antidumping del GATT y de im portantes países industrializados y
orientaciones para la mejora del sistema antidumping coreano (en coreano), Instituto Coreano de
Política Económica Internacional.
Chae, W. (1996), An Economic Assessment of Anti-dumping Rules , Instituto Coreano de
Política Económica Internacional.
Davies, S.W. & Mcquiness, A.J. (1982), "Dumping at Less than Marginal Cost", Journal of
International Economics , volumen 12.
Deardorff, A.V. (1991), "Economic Perspective on Anti-dumping Law", Anti-dumping Law
and Practice: A Comparative Study , editado por John H. Jackson y Edwin A. Vermulst.
Jackson, J.H. (1989), The World Trading System: Law and Policy of International Economic
Relations , Cambridge: MIT Press, capítulo 10.
Kwang, M.C.H. (1995), Anti-dumping: A Tool for Trade Policy or Promoting Competition? -A
Re-defining Analysis , Taiwan Elite Press.
Marceau, G. (1994), Anti-dumping and Anti-Trust Issues in Free-Trade Areas , Oxford:
Clarendom Press.
Palmeter, D.N. (1991), "The Anti-dumping La w: A Legal and Administrative Nontariff
Barrier", Down in the Dumps , editado por Richard Boltruck y Robert E. Litan, Wáshington D.C.:
Brookings Institution.
Schott, J. (1994), The Uruguay Round: An Assessment , Wáshington, DC: Institute for
International Economics, páginas 77-85.
Sim, Y.S. & Ko. J.S. (1997), Armonización de la política comercial y la política de
competencia (en coreano), Instituto Coreano de Comercio y Economía Industrial.
Slavator, D. (1993), International Economics , 4ª ed. Nueva York: Macmillan.
Viner, J. (1996), Dumping: A Problem in International Trade , Reimpresión, Nueva York:
Kelly.
Willig, R.D. (1996), "The Economic Effects of Anti-dumping Policy" , DAFFE/CLP(96)4,
OECD.
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ORGANISATION MONDIALE
DU COMMERCEWT/GC/W/518
5 décembre 2003
(03-6484)
Conseil général
15, 16 et 18 décembre 2003
CONSEIL GÉNÉRAL
Projet de rapport du Conseil général (2003)1
Le présent rapport, qui a été établi conformément aux procédures d'examen annuel des
activités de l'OMC et de présentation de rapports dans le cadre de l'OMC (WT/L/105), indique les
décisions prises par le Conseil général depuis le rapport annuel précédent.
Il convient de rappeler qu'à sa réunion de février 2003, le Conseil général était convenu que
son rapport à la cinquième session de la Conférence ministérielle, en septembre 2003, serait constitué
du rapport annuel pour 2002 et d'un bref rapport de mise à jour décrivant les faits nouveaux survenus
depuis décembre 2002.
Le rapport annuel du Conseil général pour 2 002 a été distribué sous la cote WT/GC/70. Un
rapport de mise à jour décrivant les faits nouveaux survenus jusqu'à la réunion d'août 2003 du Conseil
général a été distribué sous la cote WT/GC/70/Add.1.
Le présent rapport, qui indique les mesures prises par le Conseil général depuis août 2003,
devrait être lu conjointement avec le rapport reproduit sous la cote WT/GC/70/Add.1. Depuis
août 2003, le Conseil général a tenu [...] réunions, dont les comptes rendus, où sont consignés les
travaux du Conseil général, figurent dans les documents WT/GC/M/83 – [...].
Les questions traitées dans le rapport sont les suivantes:
1. Questions découlant de la quatrième se ssion de la Conférence ministérielle .....................2
a) Comité des négociations commerciales – Rapports ...................................................................2
b) Programme de travail su r les petites économies ........................................................................2
2. Accessions .................................................................................................................. ...............2
a) Iran ........................................................................................................................ .....................2
b) Kazakhstan .................................................................................................................. ...............3
3. Réexamen des présidences des organes de l'OMC relevant du CNC ..................................3
4. Sixième session de la Co nférence minist érielle ......................................................................3
5. Élargissement des restrictions contingentaires appliquées aux textiles par les CE
à la suite de l'adhésion de nouveaux États Membres ............................................................4
6. Onzième Déclaration des dirigeants économiques de l'APEC .............................................4
1 La version définitive du rapport tiendra compte également de la réunion du Conseil général de
décembre 2003 et les points seront renumérotés en conséquence.WT/GC/W/518
Page 2
7. Commerce des textiles et des vêtements – Préoccupations des pays en
développement Membres au sujet de la réduction potentielle de l'accès
aux marchés (contingents) en 2004 .........................................................................................5
8. Réexamen de l'exemption prévue au paragraphe 3 du GATT de 1994 ..............................5
1. Questions découlant de la quatrième session de la Conférence ministérielle
a) Comité des négociations commerciales – Rapports (WT/GC/M/83)
Les Ministres réunis à Doha ont créé le Comité des négociations commerciales, qui relève
directement du Conseil général et est chargé de superviser la conduite globale des négociations
(WT/MIN(01)/DEC/1). Conformément aux principes et pratiques qu'il a entérinés à sa première
réunion, tenue les 28 janvier et 1er février, le Comité des négociations commerciales (CNC) fait
rapport à chaque réunion ordinaire du Conseil général (TN/C/M/1).
À la réunion du Conseil général du 21 octobre 2003, le Président du CNC a rendu compte des
activités du Comité depuis son dernier rapport au Conseil général en juillet.
Le Président a pris la parole.
Le Conseil général a pris note du rapport et de la Déclaration du Président du Comité des
négociations commerciales.
b) Programme de travail sur les petites économies (WT/GC/M/83)
Les Ministres réunis à Doha étaient convenus d'un programme de travail, sous les auspices du
Conseil général, pour examiner les questions relatives au commerce des petites économies, dans le but
de définir des réponses aux questions liées au commerce identifiées pour intégrer davantage les petites
économies vulnérables dans le système commercial multilatéral, et pas de créer une sous-catégorie deMembres de l'OMC. (WT/MIN(01)/DEC/1, paragraphe 35). À sa réunion de février et mars 2002, le
Conseil général a pris note d'un cadre et de procédures pour la conduite du Programme de travail sur
les petites économies, en vertu desquels ce programme de travail serait un point permanent à l'ordre
du jour du Conseil général. Le cadre et les procédures prévoyaient également que le Comité du
commerce et du développement ferait régulièrement rapport au Conseil général de l'avancement des
travaux dans ses sessions spécifiques sur cette question.
À la réunion du Conseil général tenue le 21 octobre 2003, le Président des sessions
spécifiques du Comité du commerce et du développement a rendu compte des activités du Comité sur
ce point.
Le Conseil général a pris note du rapport du Président des sessions spécifiques du Comité du
commerce et du développement.
2. Accessions
a) Iran (WT/GC/M/83)
Une communication par laquelle l'Iran demandait à accéder à l'Accord sur l'OMC
(WT/ACC/IRN/1) avait été examinée une première fois en mai 2001 à la demande de l'Égypte au nom
du Groupe informel des pays en développement, puis à chacune des réunions suivantes du Conseil
général.WT/GC/W/518
Page 3
Le Conseil général s'est une nouvelle fois saisi de cette question à sa réunion du
21 octobre 2003.
Les représentants des États-Unis et de la Tanzanie (s'exprimant au nom du Groupe informel
des pays en développement) ont pris la parole.
Le Conseil général a pris note de leurs déclarations et est convenu de reprendre l'examen de
cette question à sa réunion suivante.
b) Kazakhstan (WT/GC/M/83)
À sa réunion du 21 octobre 2003, le Président a informé le Conseil général que M. Himanen
(Finlande) a bien voulu accepter de présider le Groupe de travail de l'accession du Kazakhstan, en
remplacement de M. Huhtaniemi (Finlande) qui, ayant quitté Genève, n'était plus en mesure d'assumer
cette fonction.
Le Conseil général a pris note de ce renseignement.
3. Réexamen des présidences des organes de l'OMC relevant du CNC (WT/GC/M/83)
À sa première réunion des 28 janvier et 1er février 2002, le Comité des négociations
commerciales (CNC) a adopté une structure et établi un certain nombre d'organes chargés de mener
les travaux sur les divers éléments du Programme de Doha pour le développement, sous la supervisiondu Comité. Le CNC a en outre approuvé des principes et pratiques pour guider ses travaux, indiquant
notamment que le Président du Conseil général tiendrait des consultations au sujet de la présidence
des différents organes, et que les Présidents de ces organes seraient nommés jusqu'à la cinquième
Conférence ministérielle, toutes les nominations devant être réexaminées à ce moment-là (TN/C/M/1).
Les présidents des organes relevant du CNC ont été nommés par le Conseil général à sa réunion defévrier 2002. À la réunion du Conseil général d'août 2003, le Président a dit que, bien que ces
nominations doivent être réexaminées au moment de la cinquième Conférence ministérielle, il
estimait que, vu la lourde charge de travail liée à la Conférence, les Membres seraient mieux à même
de procéder à ce réexamen à la réunion suivante du Conseil général en octobre. Celui-ci était convenu
que, dans l'intervalle, compte tenu de la nécessité d'assurer la continuité du processus, les Présidents
de ces organes seraient invités à rester en fonction jusqu'au réexamen à la réunion d'octobre.
À la réunion du Conseil général tenue le 21 octobre 2003, le Président a suggéré de procéder
au réexamen des présidences des organes de l'OMC relevant du CNC une fois qu'apparaîtraient
clairement les résultats des travaux de suivi de la Conférence ministérielle de Cancún, et a proposé au
Conseil général de reporter l'examen de ce point à sa première réunion ordinaire de la nouvelle année
et que, dans l'intervalle, et compte tenu de la nécessité de préserver la continuité, les Présidents de cesorganes resteraient en fonction jusqu'au réexamen à cette réunion.
Le Conseil général a pris note de cette déclaration et en est ainsi convenu.
4. Sixième session de la Conférence ministérielle (WT/GC/M/83)
À sa réunion d'août 2003, le Conseil général a examiné une communication de Hong Kong,
Chine (WT/GC/72) qui offrait d'accueillir la sixième session et, constatant que la date et le lieu de la
prochaine Conférence ministérielle étaient inscrits à l'ordre du jour de la Conférence ministérielle de
Cancún, avait décidé que son Président procéderait de toute urgence à des consultations informelles
sur le lieu de la sixième session et ferait rapport au Président de la Conférence ministérielle de Cancúndans les meilleurs délais, afin de l'aider à préparer l'examen de ce point à la Conférence ministérielle.WT/GC/W/518
Page 4
À la Conférence ministérielle de Cancún, les Ministres ont pris note avec gratitude de l'offre du
gouvernement de Hong Kong, Chine, et ont demandé au Président du Conseil général de poursuivre
les consultations pour fixer la date et le lieu de la sixième session.
À la réunion du Conseil général tenue le 21 octobre 2003, le Président a dit, entre autres, que
d'après les contacts qu'il avait eus avec un certain nombre de délégations, celles-ci étaient largement
en faveur de l'acceptation de l'offre de Hong Kong, Chine, et qu'il estimait qu'il serait bon pour toutes
les parties concernées de parvenir à une entente à cette réunion sur le lieu de la prochaine Conférence
ministérielle. C'est pourquoi il a proposé au C onseil général de convenir de Hong Kong, Chine,
comme lieu de la sixième session de la Conférence ministérielle, et a exprimé sa gratitude, au nom du
Conseil général, au gouvernement de Hong Kong, Ch ine, pour son offre généreuse. Il a en outre
proposé que des consultations soient tenues pour fixer la date de la sixième session, et que le Conseilgénéral revienne à cette question à une réunion ultérieure.
Le Conseil général en est ainsi convenu.Le représentant de Hong Kong, Chine, a pris la parole.Le Conseil général a pris note de la déclaration.
5. Élargissement des restrictions contingentaires appliquées aux textiles par les CE à la
suite de l'adhésion de nouveaux États Membres (WT/GC/M/83)
À la réunion du Conseil général tenue le 21 octobre 2003, le représentant de l'Inde,
s'exprimant au nom des membres du Bureau international des textiles et des vêtements qui étaient
également Membres de l'OMC ou observateurs de l'OMC, s'est déclaré préoccupé par un acte publié
au Journal officiel de l'Union européenne daté du 23 septembre 20032 et par ses dispositions relatives
aux adaptations susceptibles d'être apportés aux accords et arrangements bilatéraux en matière detextiles conclus par la Communauté avec des pays tiers.
Le représentant des Communautés européennes a pris la parole.Le Conseil général a pris note des déclarations.
6. Onzième Déclaration des dirigeants économiques de l'APEC (WT/GC/M/83)
À la réunion du Conseil général tenue le 21 octobre 2003, le représentant de la Thaïlande a
attiré l'attention sur la Déclaration de la onzième Réunion des dirigeants économiques qui avait été
rendue publique ce même après-midi à Bangkok, et sur les paragraphes ayant trait à l'OMC et au
système commercial multilatéral3, et a exprimé l'espoir que cette déclaration aiderait le Président à
trouver une convergence entre les Membres, et apporterait une contribution positive et donnerait unélan politique aux négociations en cours dans le cadre du Programme de Doha pour le développement
et à leur conclusion satisfaisante.
2 Intitulé "Acte relatif aux conditions d'adhésion à l'Union européenne de la République tchèque, de la
République d'Estonie, de la République de Chypre, de la République de Lettonie, de la République de Lituanie,
de la République de Hongrie, de la République de Ma lte, de la République de Pologne, de la République de
Slovénie et de la République slovaque, et aux adaptations des Traités sur lesquels est fondée l'Unioneuropéenne".
3 La Déclaration des dirigeants économiques de l'APEC (la "Déclaration de Bangkok sur un partenariat
pour l'avenir") a été distribuée par la suite sous la cote WT/L/542.WT/GC/W/518
Page 5
Le Conseil général a pris note de la déclaration.
7. Commerce des textiles et des vêtements – Préoccupations des pays en développement
Membres au sujet de la réduction potentie lle de l'accès aux marchés (contingents)
en 2004 (WT/GC/M/83)
À la réunion du Conseil général tenue le 21 octobre 2003, le Président a rappelé qu'après le
débat à la réunion de juillet du Conseil général sur cette question, il avait proposé de tenir des
consultations sur la meilleure manière de la régler. Or, son travail depuis cette réunion de juillet ayant
principalement porté sur les préparatifs de la Conférence ministérielle de Cancún et sur son suivi, il
n'avait pas été en mesure d'accorder toute l'attention nécessaire à cette question. Il avait l'intention
d'engager des consultations sur cette question – malgré la lourde charge de travail qui incombait à
tous en raison de Cancún – dans le but de présenter un rapport à la réunion de décembre du Conseilgénéral.
Le Conseil général a pris note de la déclaration.
8. Réexamen de l'exemption prévue au paragraphe 3 du GATT de 1994 (WT/GC/M/83)
À la réunion du Conseil général tenue le 21 octobre 2003, le Président, rappelant les débats
que le Conseil avait eus sur cette question, a dit que, comme convenu en décembre 2002, le réexamen
de l'exemption prévue au paragraphe 3 du GATT de 1994 figurerait officiellement à l'ordre du jour de
la réunion du Conseil général en décembre et qu'à ce moment-là, celui-ci serait invité à prendre note
des discussions tenues jusqu'alors au cours du réexamen, à prendre toute autre mesure dont il pourraitconvenir, et à prendre également note du fait que le réexamen suivant aurait normalement lieu
en 2005. Il a émis l'espoir que les délégations seraient en mesure d'utiliser le temps qui restait jusqu'à
la réunion de décembre pour bien se préparer pour ce débat et qu'elles pourraient procéder comme
convenu en 2002.
Le Conseil général a pris note de la déclaration.
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WORLD TRADE
ORGANIZATIONWT/WGTCP/W/79
24 July 1998
(98-2939)
Working Group on the Interaction
between Trade and Competition PolicyOriginal: English
COMMUNICATION FROM INDIA
The following communication, dated 26 June 1998, has been received from the Permanent
Mission of India with the request that it be circulated to Members.
_______________
INDIAN COMPETITION LAW
Antitrust legislation is now an integral part of economic life all the world over. It is present
not only in the developed countries but also in the developing countries. The Indian Law on the
subject, known as the Monopolies and Restrictive Trade Practices Act (MRTP Act), was originally
brought on the statute book in 1969, drawing its inspiration from the mandate given in the DirectivePrinciples of State Policy in the Indian Constitution. The said Principles aim at securing social justice
with economic growth. In terms of competition law and consumer protection, the objective of the Act
is to curb monopolistic, restrictive and unfair trade practices which curtail competition in trade and
industry and which adversely affect consumer interest s. A parallel legislation known as the Consumer
Protection Act, 1986 has also come into being which prevails in the realm of unfair trade practices.
Justification for Indian competition law
It is often argued that consumers need no special protection as market forces would take care
of them. But a perfectly competitive market is just a pipe dream and consumer sovereignty a myth.
Products are of great variety, many of them are complex and the consumer has imperfect product
knowledge. The supplier often has a dominant position vis-à-vis the buyer who has little or no
bargaining power in the market. The consumer, therefore, needs and deserves legal protection againstcertain trade practices, business methods and unscrupulous forces.
In many markets, a large number of consumers are illiterate and ill-informed, possess limited
purchasing power in an environment where there is a shortage of goods and where growth with social
justice guides the thinking of planners, the legislature and the executive. Very often, one witnesses
the spectacle of a large number of non-essential, sub-standard, adulterated, unsafe and less usefulproducts being pushed through by unscrupulous traders by means of unfair trade practices and
deceptive methods. Subtle deception, half truths and misleading omissions inundate the
advertisement media and instead of the consumer being provided with correct, meaningful and useful
information on the products, they often get exposed to fictitious information which result in their
making wrong buying decisions. Transparency in the dissemination of information is conspicuous byits absence.WT/WGTCP/W/79
Page 2
Objectives
The principal objectives sought to be achieved through the MRTP Act are:
(a) prevention of concentration of economic power to the common detriment;
(b) control of monopolies;
(c) prohibition of monopolistic trade practices;
(d) prohibition of restrictive trade practices;
(e) prohibition of unfair trade practices.
Out of these five, the first two have been de-emphasized, after the 1991 amendment to the
Act. The emphasis has not only shifted to the three last mentioned objectives but they have been re-
emphasized. Yet to the extent that monopolies tend to bring about monopolistic trade practices, the
Act provides for their surveillance. Briefly, the Act is designed to guard against different aspects ofmarket imperfections. For instance, a merger, which can increase the dominance of the combine or
has resulted in a large share in the market can be looked at in terms of the provisions of the Act and
the objectives governing them.
Restrictive trade practices (RTPs)
A restrictive trade practice is generally one which has the effect of preventing, distorting or
restricting competition. In particular, a practice which tends to obstruct the flow of capital or
resources into the stream of production is an RTP. Likewise, manipulation of prices, conditions of
delivery or flow of supply in the market which may have the effect of imposing on the consumer
unjustified costs or restrictions are regarded as restrictive trade practices. But competition is notalways a necessary touchstone on which a trade practice is judged if it is a RTP.
Certain common types of restrictive trade practices enumerated in the Act which do not have
an element of competition are:
(a) refusal to deal;
(b) tie-up sales;
(c) full line forcing;
(d) exclusive dealings;
(e) concert or collusion-cartel;
(f) price discrimination;
(g) re-sale price maintenance;
(h) area restriction;
(i) predatory pricing.WT/WGTCP/W/79
Page 3
All restrictive trade practices under the Act as mentioned above are deemed legally to be
prejudicial to public interest. The onus is, therefore, on the entity, body or undertaking charged with
the perpetration of the restrictive trade practice to plead for gateways provided in the Act itself. For
instance in the following circumstances gateways can be pleaded:
(a) that the restriction is reasonably necessary, having regard to the character of the
goods to which it applies, to protect the public against injury (whether to persons or
to premises) in connection with the consumption, installation or use of those goods;
(b) that the removal of the restriction would deny to the public, as purchasers, consumers
or users of any goods, other specific and substantial benefits of advantages enjoyed or
likely to be enjoyed by them as such whether by virtue of the restriction itself or of
any arrangements or operations resulting therefrom;
(c) that the restriction is reasonably necessary to counteract measures taken by any one
person not party to the agreement with a view to preventing or restricting competition
in or in relation to the trade or business in which the persons party thereto are
engaged;
(d) that the restriction is reasonably necessary to enable the persons party to the
agreement to negotiate fair terms for the supply of goods to, or the acquisition ofgoods from, any one person not party thereto who controls a preponderant part of the
trade or business or acquiring or supplying such goods, or for the supply of goods to
any person not party to the agreement and not carrying on such a trade or business
who, either alone or in combination with any other such persons, controls a
preponderant part of the market for such goods;
(e) that, having regard to the conditions actually obtaining, or reasonably foreseen at the
time of the application, the removal of the restriction would be likely to have a
serious and persistent adverse effect on the general level of employment in an area
taken together, in which a substantial proportion of the trade, or industry to which the
agreement relates is situated;
(f) that, having regard to the conditions actually obtaining, or reasonably foreseen at the
time of the application, the removal of the restriction would be likely to cause a
reduction in the volume or earnings to the whole export business of India or in
relation to the whole business (including export business) of the said trade or
industry;
(g) that the restriction is reasonably required for purposes in connection with the
maintenance of any other restriction accepted by the parties, whether under the sameagreement or under any other agreement between them, being a restriction which is
found by the Commission not to be contrary to the public interest upon grounds other
than those specified in this paragraph, or has been so found in previous proceedings
before the Commission;
(h) that the restriction does not directly or indirectly restrict or discourage competition to
any material degree in any relevant trade or industry and is not likely to do so;
(i) that such restriction has been expressly authorized and approved by the Central
Government;WT/WGTCP/W/79
Page 4
(j) that such restriction is necessary to meet the requirements of the defence of India or
any part thereof, or for the security of the State; or
(k) that the restriction is necessary to ensure the maintenance of supply of goods and
services essential to the community.
If the gateways are satisfactory to the MRTP Commission and if it is further satisfied that the
restriction is not unreasonable having regard to the balance between those circumstances and any
detriment to the public interest or consumers likely to result from the operation of the restriction, the
Commission may arrive at the conclusion that the RTP is not prejudicial to public interest and
discharge the enquiry against the charged party.
Furthermore, if a trade practice is expressly au thorized by any law for the time being in force,
the MRTP Commission is barred from passing any order against the charged party.
Unfair trade practices (UTPs)
Essentially unfair trade practices fall under the following categories in Indian law:(a) misleading advertisement and false representation;
(b) bargain sale, bait and switch selling;
(c) offering of gifts or prizes with the intention of not providing them and conducting
promotional contests;
(d) product safety standards;
(e) hoarding or destruction of goods.
Making false or misleading representation of facts disparaging the goods, services or trade of another
person is also a restrictive trade practice under Indian law.
Monopolistic trade practices (MTPs)
An MTP is a trade practice which has or is likely to have the effect of:
(a) maintaining the prices of goods or charges for the services at an unreasonable level
by limiting, reducing or otherwise controlling the production, supply or distribution
of goods or the supply of any services or in any other manner;
(b) unreasonably preventing or lessening competition in the production, supply or
distribution of any goods or in the supply of any services;
(c) limiting technical development or capital investment to the common detriment or
allowing the quality of any goods produced, supplied or distributed, or any servicesrendered, in India to deteriorate;
(d) increasing unreasonably:
- the cost of production of any goods; or
- charges for the provision, or maintenance of any services;WT/WGTCP/W/79
Page 5
(e) increasing unreasonably:
- the prices at which goods are, or may be, sold or re-sold, or the charges at
which the services are, or may be, provided; or
- the profits which are, or may be, derived by the production, supply or
distribution (including the sale or purchase) of any goods or in the provision
or maintenance of any goods or by the provision of any services;
(f) preventing or lessening competition in the production, supply or distribution of any
goods or in the provision or maintenance of any services by the adoption of unfair
methods or unfair or deceptive practices.
Dominance
In the Indian law, the basis of determining dominance is whether an undertaking has a share
of one fourth or more in the production, supply, distribution or control of goods or services. There are
other finer distinctions in the law but they are outside the scope of the general treatment warranted in
this paper. When mergers or amalgamations come up for examination by the MRTP Commission,
one of its important responsibilities is to evaluate the post merger/amalgamation dominance in themarket with reference to the common good and public interest. If the merger/amalgamation leads to
unilateral price fixation on the part of such dominant undertakings without any reference to the market
and tends to extinguish smaller units and undertakings and douse competition, the Commission has
the power to stop it.
MRTP Commission
Under the MRTP Act, a Commission has been esta blished, the Chairman of which is always a
person who is or has been or is qualified to be a judge of the Supreme Court or of High Court (of a
State). The members of the Commission are persons of ability, integrity and standing who have
adequate knowledge or experience of, or have s hown capacity in dealing with, problems relating to
economics, law, commerce, accountancy, industry, public affairs or administration. The Commission
is assisted by the Director General of Investigation & Registration (DG) for carrying out
investigations, or maintaining a register of agreements and for undertaking carriage of proceedings
during the enquiry before the MRTP Commission. The powers of the Commission include the power
vested in a Civil Court and include further power:
(a) to direct an errant undertaking to discontinue a trade practice and not to repeat the
same;
(b) to pass a cease and desist order;
(c) to grant temporary injunction, restraining an errant undertaking from continuing an
alleged trade practice;
(d) to award compensation for loss suffered or injury sustained on account of RTP, UTP
or MTP;
(e) to direct parties to agreements containing restrictive clauses to modify the same;
(f) to direct parties to issue corrective advertisements;WT/WGTCP/W/79
Page 6
(g) to recommend to the Central Government division of undertakings or severance of
interconnection between undertakings if their working is prejudicial to public interest
or has led or is leading to MTP or RTP.
Investigation and enquiries
The MRTP Commission can be approached with a complaint on restrictive or unfair trade
practices by:
(a) an individual consumer;
(b) a registered association of consumers; and
(c) a trade association.
The Commission can be moved by an applicati on from the Director General (DG) or by a
reference by the Central or State Government. The law provides for suo motu action on the part of the
Commission, if it receives information from any source or on its own knowledge.
The procedure followed by the Commission is that, on receipt of a complaint, the matter is in
many cases referred to the DG for investigation and report. More often than not, the person
complained against is called upon to give his/he r comments on the complaints received. Experience
shows that in a large number of cases the issue of le tter of investigation or enquiry by the DG or the
Commission results in the relief being provided to complainant. This has been noticed in cases
relating to refunds in respect of repair or replacement of refrigerators, TV sets, replacement of
defective parts during the warranty period and the like. Similarly, there have been cases of successful
interventions relating to property disputes. The law provides for a temporary injunction against the
continuance of alleged monopolistic, restrictive or unfair trade practices pending enquiry by theCommission.
A salutary provision in the Act is the power of the Commission to award compensation for
loss or damage suffered by a consumer, trader, class of traders or government as a result of any
monopolistic/restrictive/unfair trade practice indulged in by any undertaking or person.
Merger and amalgamation
The concentration of economic power may result from a merger, an amalgamation or take-
over. The MRTP Act does not prohibit mergers, amalgamations or take-overs but seeks to ensure that
the arrangement serves the public interest. Before the 1991 amendment, the Act frowned upon
expansion of giant undertakings so as not to permit them to acquire power to put a stranglehold both
on the market as well as on consumers and further industrial expansion of the country. After the 1991
amendment, the Act has been restructured and pre-en try restrictions with regard to prior approval of
the Government for amalgamation, merger or take-over have been removed. But in relation to
concentration of economic power, the law retains provisions relating to the power of the Government
to direct division of an undertaking and severance of interconnection between undertakings if the
working of an undertaking is prejudicial to public interest or is likely to lead to the adoption of any
monopolistic or restrictive trade practices. While the power to conduct an enquiry in this regard isvested with the MRTP Commission, the order for division of undertaking or severance of
interconnection can be passed only by the Government. Thus, the role of the Commission is advisory.WT/WGTCP/W/79
Page 7
Consumer protection
The Consumer Protection Act, 1986 (CPA) pr oviding for the protection of interests of
consumers has provisions for the establishment of consumer councils and other authorities for the
settlement of consumer disputes and matters connected therewith. The consumers council essentiallyseeks to promote and protect the rights of consumers such as:
(a) the right to be protected against marketing of goods hazardous to life and property;
(b) the right to be informed about the quality, quantity, potency, purity, standard and
price of goods for their protection against UTP;
(c) the right to be assured access to a variety of goods at competitive prices;
(d) the right to be heard and to be assured that consumers’ interests will receive due
consideration in appropriate fora;
(e) the right to seek redress against UTP or unscrupulous exploitation of consumers; and
(f) the right to consumer education.
Quasi-judicial machinery has been set up at the District, State and Central levels empowered
to give relief to the consumers and to award compen sation for loss or injury suffered by them. For
non-compliance of the order given by the quasi-judicial body, the CPA provides for penalties. Thusthe Act has two approaches, the first to provide c onsumer education and the other to provide for a
simplified, inexpensive and speedy remedy for redress of grievances of consumers.
The quasi-judicial bodies are empowered to direct the guilty party:
(a) to remove a defect in the goods in question;
(b) to replace the goods with new goods of similar description, free from any defect;
(c) to return to the complainant the price or charges paid by him/her; and
(d) to pay such amount as may be awarded as compensation for the loss or injury
suffered by the consumer due to the negligence of the guilty party.
Both the MRTP Act and the Consumer Protection Act have similar provisions particularly in the areas
of unfair trade practices. Where the area of jurisdiction overlaps, the complainant has the option tochoose the appropriate fora for seeking redress of his/her grievances.
Conclusion
The objective of the MRTP Act and the Consumer Protection Act is to engender competition.
The concept of public interest which includes consumer interest permeates the regulatory framework
provided for the prohibition of monopolistic, restrictive and unfair trade practices in both the statutes.
__________
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ORGANISATION MONDIALE
DU COMMERCEG/AG/N/USA/32
30 mars 2000
(00-1312)
Comité de l'agriculture Original: anglais
NOTIFICATION
Le Secrétariat a reçu de la délégation des États-Unis, le 23 mars 2000, la notification ci-après
concernant les engagements en matière de subventions à l'exportation pour l'exercice budgétaire 1998
(tableaux ES:1 et ES:2 ).G/AG/N/USA/32
Page 2Tableau ES:1
SUBVENTIONS À L'EXPORTATION: États-Unis d'Amérique
PÉRIODE CONSIDÉRÉE: 1998
Subventions à l'exportation: Engagements de réduction des dépenses budgétaires et des quantités
Désignation des produits Année civile/campagne de
commercialisation
commençant … 1Exportations subventionnées Aide alimentaire2Niveaux d'engagement annuels
Dépenses
($EU)Quantité
(tonnes)Quantité
(tonnes)Dépenses
($EU)Quantité
(tonnes)
(d'après la Section II de la Partie IV) (d'après la Section II de la
Partie IV)(d'après la Section II de la Partie IV)
12 3 4 5 6 7
Blé 0 3 202 1923524 488 462 16 808 555
Céréales secondaires 0 111 688454 764 835 1 698 880
Riz 0 382 710 7 703 695 131 796
Huiles végétales 0 0 29 633 547 319 795
Beurre et huile de beurre 451 956 39550 36 215449 29 854
Lait écrémé en poudre 133 284 327 129 81060 97 925 923 84 212
Fromages 4 164 216 3 122 0 4 317 320 3 350
Autres produits laitiers 7 407 673 5 34470 5 762 232 5 003
Viande bovine 0 0 27 101 322 19 148
Viande porcine 0 0 590 253 430
Viande de volaille 1 399 762 3 54680 17 283 857 30 475
Bovins laitiers vivants (nombre de têtes) 0 0 14 109 185 12 001Œufs (nombre de douzaines) 0 0 3 997 856 16 256 487
1 Les engagements concernant les quantités portent sur la période allant du 1er juillet 1998 au 30 juin 1999. Les engagements concernant les dépenses budgétaires sont mis en œuvre pendant
l'exercice budgétaire, qui commence le 1er octobre de chaque année.
2 Les Membres doivent fournir des données sur l'aide alimentaire pour toutes les destinations.
3 Comprend le blé, le blé bulgur et la farine de blé sur la base équivalent blé.
4 Sorgho.
5 Comprend le beurre, l'huile de beurre, les matières grasses laitières anhydres et le ghee sur la base équivalent beurre.
6 Conformément aux prescriptions en matière de notification (G/AG/2, page 24, paragraphe 1), la flexibilité utilisée pour la péri ode 1998 a été de 35 358 404 dollars EU correspondant à des dépenses
précédemment non effectuées et de 45 598 tonnes correspondant à des quantités précédemment inutilisées.
7Conformément aux prescriptions en matière de notification (G/AG/2, page 24, paragraphe 1), la flexibilité utilisée pour la péri ode 1998 a été de 1 645 441 dollars EU correspondant à des dépenses
précédemment non effectuées et de 341 tonnes correspondant à des quantités précédemment inutilisées.
8Les quantités incluent les exportations attribuées en 1997/98 (après le 30 juin 1998).G/AG/N/USA/32
Page 3Tableau explicatif ES:1
SUBVENTIONS À L'EXPORTATION: États-Unis d'Amérique
PÉRIODE CONSIDÉRÉE: 1998
Subventions à l'exportation: Engagements de réduction des dépenses et des quantités
Désignation des produits Subventions
directes à
l'exportation1
(milliers de
$EU)Ventes de
stocksSubventions
financées
par les
producteursMesures de réduction
des coûtsSubventions aux
transports
intérieursSubventions à
l'exportation
totales par
produit2
(milliers de
$EU)Quantité
d'exportations
subventionnées
(tonnes)Source des données
12 3 4 5 6 7 8 9
Blé 0 0,0 0,0 0,0 0,0 0 0 USDA/FAS
Céréales secondaires 0 0,0 0,0 0,0 0,0 0 0 USDA/FAS
Riz 0 0,0 0,0 0,0 0,0 0 0 USDA/FASHuiles végétales 0 0,0 0,0 0,0 0,0 0 0 USDA/FAS
Beurre et huile de beurre 452 0,0 0,0 0,0 0,0 452 395 USDA/FAS
Lait écrémé en poudre 133 284 0,0 0,0 0,0 0,0 133 284 129 810 USDA/FASFromages 4 165 0,0 0,0 0,0 0,0 4 165 3 122 USDA/FAS
Autres produits laitiers 7 408 0,0 0,0 0,0 0,0 7 408 5 344 USDA/FAS
Viande bovine 0 0,0 0,0 0,0 0,0 0 0 USDA/FASViande porcine 0 0,0 0,0 0,0 0,0 0 0 USDA/FAS
Viande de volaille 1 400 0,0 0,0 0,0 0,0 1 400 3 546 USDA/FAS
Bovins laitiers vivants
(nombre de têtes)0 0,0 0,0 0,0 0,0 0 0 USDA/FAS
Œufs (nombre de douzaines) 0 0,0 0,0 0,0 0,0 0 0 USDA/FAS
1 Les engagements concernant les quantités portent sur la période allant de juillet à juin.
2 Les dépenses budgétaires portent sur un exercice budgétaire commençant le 1er octobre.
USDA/FAS: Département de l'agriculture des États-Unis, Service agricole étranger.G/AG/N/USA/32
Page 4Tableau ES:2
SUBVENTIONS À L'EXPORTATION: États-Unis d'Amérique
PÉRIODE CONSIDÉRÉE: 1998
Subventions à l'exportation: Notification des exportations totales
Désignation des produits Campagne de commercialisation allant du
1er juillet 1998 au 30 juin 1999Unités Quantité des exportations totales
12 3
Viande bovine tonnes 728 839
Bovins laitiers vivants nombre de têtes 13 165
Viande porcine tonnes 194 845
Viande de volaille tonnes 1 828 401
Œufs nombre de douzaines 95 435 422
Fromages tonnes 22 302
Céréales secondaires tonnes 6 384 529
Riz1tonnes 1 911 624
Lait écrémé en poudre tonnes 79 378
Autres produits laitiers tonnes 5 944
Blé tonnes 28 626 560
Graines oléagineuses tonnes 21 587 742
Beurre et huile de beurre tonnes 3 135
Tourteaux tonnes 12 030 570
Légumes tonnes 2 496 643
Huiles végétales tonnes 1 659 743
Fruits tonnes 2 514 475
Tabac tonnes 209 516
Coton balles 4 585 481
1 Les données concernant le riz sont fournies séparément car le riz n'est pas compris dans les céréales secondaires et ne bénéfic ie pas de subvention à l'exportation.
__________
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Q_G_LIC_N1EST1A1
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WORLD TRADE
ORGANIZATIONG/LIC/N/1/EST/1/Add.1
15 May 2000
(00-1976)
Committee on Import Licensing Original: English
AGREEMENT ON IMPORT LICENSING PROCEDURES
Notification under Articles 1.4(a) and 8.2(b)
ESTONIA
Addendum
The following communication, dated 10 May 2000, has been received from the Permanent
Mission of Estonia.
_______________
The Republic of Estonia has the honour to notify the changes made to the procedure for
issuing licences for importing raw material of food and foodstuffs into Estonia.
The Regulation of the Government No. 249 "Order for issuing state licence for importing
foodstuffs into Estonia" (adopted on 5 November 1998, entered into force on 1 December 19981) has
been repealed. It has been replaced by the Regulation No. 1 of the Minister of Agriculture "Order for
issuing licences for importing raw material of food and foodstuffs into Estonia" (adopted on
19 January 2000, entered into force on 3 February 2000).
The unofficial translation into English of the Regulation No. 1 of 19 January 2000 of the
Minister of Agriculture is submitted herewith2.
__________
1 Notified in document G/LIC/N/1/EST/1.
2 Available for consultation in the Secretariat (Market Access Division) (English only).
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Q_G_C_W195
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. /.RESTRICTEDWORLD TRADE
ORGANIZATIONG/C/W/195
4 April 2000
(00-1352)
Council for Trade in Goods
5 April 2000
PROPOSED AGENDA
1. STATUS OF NOTIFICATIONS UNDER THE PROVISIONS OF THE AGREEMENTS IN
ANNEX 1A OF THE WTO AGREEMENT (G/L/223/REV.4)
2. TRIMS AGREEMENT: REQUESTS FOR EXTENSION OF THE TRANSITION PERIOD
PURSUANT TO ARTICLE 5.3
- PHILIPPINES (G/L/325, G/C/W/ 166, G/C/W/168, G/C/ W/170, G/C/W/184)
- COLOMBIA (G/C/W/169, G/C/W/169/ADD.1, G/C/W/180)
- MEXICO (G/C/W/171, G/C/W/185)
- ARGENTINA (G/C/W/176, G/C/ W/182, G/C/W/185, G/C/W/193)
- CHILE (G/C/W/172, G/ C/W/181, G/C/W/185)
- ROMANIA (G/C/W/175, G/C/ W/179, G/C/W/185, G/C/W/191)
- MALAYSIA (G/C/W/174, G/C/ W/183, G/C/W/185, G/C/W/192)
- PAKISTAN (G/C/W/173, G/C/W/185, G/ C/W/186)
3. REVIEW OF THE OPERATION OF THE TRIMS AGREEMENT4. CUSTOMS VALUATION AGREEMENT: REQUEST FOR A WAIVER BY URUGUAY
UNDER ARTICLE IX OF THE WTO AGREEMENT FOR MINIMUM VALUES
(G/VAL/W/55/ADD.1/REV.1)
5. REQUEST FOR A WAIVER FOR THE APPLICATION OF THE EU AUTONOMOUS
PREFERENTIAL TREATMENT TO THE COUNTRIES OF THE WESTERN BALKANS(G/C/W/178)
6. REQUEST FOR A WTO WAIVER – NEW ACP-EC PARTNERSHIP AGREEMENT
(G/C/W/187 AND G/C/W/187/ADD.1)
7. EC/FRANCE – TRADING ARRANGEMENTS WITH MOROCCO – REQUEST FOR
EXTENSION OF THE WAIV ER (G/L/357, G/C/W/194)
8. MARKET ACCESS MATTERS
(A) COMMITTEE ON MARKET ACCESS
- PERIODIC REPORT OF THE COMMITTEE (G/MA/107)
(B) HARMONIZED SYSTEM – REQUESTS FOR EXTENSIONS OF WAIVERS
(I) NICARAGUA (G/L/351, G/C/W/189)
(II) SRI LANKA (G /L/350, G/C/W/188)G/C/W/195
Page 2
(C) ZAMBIA – RENEGOTIATION OF SCHEDULE LXXVIII
- REQUEST FOR AN EXTENSION OF THE WAIVER (G/L/295, G/C/W/190)
(D) DECISION ON THE INTRODUCTION OF HARMONIZED SYSTEM CHANGES
INTO WTO SCHEDULES OF TARIFF CONCESSIONS ON 1 JANUARY 1996
- EXTENSION OF THE TIME-LIMIT (G/MA/W/22/REV.1)
9. FREE TRADE AGREEMENTS
(A) FREE-TRADE AGREEMENT BETWEEN BULGARIA AND THE FORMER
YUGOSLAV REPUBLIC OF MACEDONIA- COMMUNICATION FROM BULGAR IA (WT/REG90/N/1, WT/REG90/1)
(B) FREE-TRADE AGREEMENT BETWEEN EFTA AND MOROCCO
- COMMUNICATION FROM THE PARTIES TO THE AGREEMENT
(WT/REG91/N/ 1, WT/REG91/1)
10. APPOINTMENT OF OFFICERS FOR SUBSIDIARY BODIES OF THE COUNCIL11. ELECTION OF CHAIRPERSON OF THE COUNCIL FOR TRADE IN GOODS
12. OTHER BUSINESS
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ORGANISATION MONDIALE
DU COMMERCETN/DS/W/43
28 janvier 2003
(03-0572)
Organe de règlement des différends
Session extraordinaireOriginal: anglais
CONTRIBUTIONS DE LA JORDANIE À L'AMÉLIORATION ET LA CLARIFICATION
DU MÉMORANDUM D'ACCORD DE L'OMC SUR
LE RÈGLEMENT DES DIFFÉRENDS
Communication de la Jordanie
La Mission permanente du Royaume hachémite de Jordanie a fait parvenir au Secrétariat la
communication ci-après, datée du 24 janvier 2003.
_______________
1. Le règlement des différends est un élément important du système de l'Organisation mondiale
du commerce ("OMC"), car il offre le mécanisme nécessaire pour assurer l'exercice des droits et lerespect des obligations prescrits dans les Accords de l'OMC. Ce système créé pour le règlement des
différends dans le cadre de l'OMC révèle le caractère fondamental du droit pour la réalisation des
objectifs économiques.
2. Pour commencer, il convient de souligner que les Membres de l'OMC devraient toujours
s'efforcer de résoudre leurs différends le plus tôt possible, que ce soit au stade de la consultation ou
même par le biais du recours à un système efficace de médiation ou de conciliation.
3. Un certain nombre de mesures pratiques pourraient être prises pour améliorer et clarifier le
Mémorandum d'accord de l'OMC sur les règles et procédures régissant le règlement des différends (le
"Mémorandum d'accord") et, étant donné le contexte mondial en évolution rapide dans lequel l'OMC
opère aujourd'hui, l'adaptabilité, la prévisibilité et la flexibilité dans le cadre du Mémorandum
d'accord seront essentielles pour faire face aux défis de ce monde de plus en plus intégré. Il
conviendrait également de souligner que les propositions examinées en vue de faire évoluer leMémorandum d'accord devraient avoir pour objectif général de faciliter le règlement à l'amiable des
différends. Une analyse du fonctionnement de ce système sur le plan juridique pourrait inclure une
série de questions allant du général au particulier et du théorique au pratique. On pourrait examiner le
caractère essentiel du droit international ainsi que le niveau de conflit entre les notions de
mondialisation et de souveraineté.
4. À cet égard, on trouvera ci-après quelques suggestions relatives à l'amélioration et à la
clarification du Mémorandum d'accord, visant à assurer le bon fonctionnement du mécanisme de
règlement des différends.
II. CONCILIATION ET MÉDIATION
5. L'objectif premier du règlement des différends de l'OMC est d'encourager les solutions
mutuellement convenues. L'article 5 du Mémorandum d'accord indique que les bons offices, la
conciliation et la médiation sont des procédures additionnelles qui sont ouvertes à titre volontaire.TN/DS/W/43
Page 2
Dans le contexte de l'OMC, un obstacle majeur à la réalisation des objectifs de ces procédures de
règlement des différends additionnelles est la nécessité d'assurer la cohérence avec les règles de
l'OMC, qui devraient toujours favoriser les droits et obligations actuels des Membres interdépendants.
Le Mémorandum d'accord, à cet égard, reconnaît, à l'article 3:6, le droit des Membres de l'OMC de
faire en sorte que toutes les solutions convenues d'un commun accord par ces moyens soient notifiéesà l'Organe de règlement des différends (ORD), devant lequel d'autres Membres pourraient soulever
leurs préoccupations et questions.
6. Pour développer cette approche, la Jordanie suggère que le recours à la conciliation et à la
médiation devienne impératif dans les cas où un pays en développement ou un pays moins avancé
Membre est concerné et fasse l'objet d'un mandat convenu et de délais spécifiques.
7. Pour compléter les dispositions du Mémorandum d'accord en matière de conciliation, il serait
bon également d'envisager la possibilité d'avoir un système de médiation général, qui fonctionneraitparallèlement à la procédure de groupe spécial. Les normes énoncées dans les Accords OTC et SPS
peuvent être considérées comme un instrument qui aiderait à déterminer les procédures d'un système
de ce genre, lequel serait administré par l'ORD.
8. La Jordanie propose en conséquence d'apporter les amendements suivants à l'article 5 du
Mémorandum d'accord:
"Article 5
Bons offices, conciliation et médiation
1. Les bons offices, la conciliation et la médiation sont des procédures qui sont ouvertes
volontairement si les parties au différend en conviennent ainsi. Dans les différends concernant des
pays en développement ou des pays moins avancés Membres, ces procédures seront impératives.
2. Les procédures de bons offices, de conciliation et de médiation et, en particulier, la position
adoptée par les parties au différend au cours de ces procédures seront confidentielles et sans préjudicedes droits que chacune des parties pourrait exercer dans une suite éventuelle de la procédure menée au
titre des présentes procédures.
3. Les bons offices, la conciliation ou la médiation pourront être demandés à tout moment par
l'une des parties à un différend. Ces procédures pourront commencer à tout moment et il pourra y être
mis fin à tout moment et elles seront assujetties à des mandats convenus. En aucun cas, elles ne
pourront excéder la durée maximale de 60 jours.
4. Lorsqu'il aura été mis fin aux procédures de bons offices, de conciliation ou de médiation, une
partie plaignante pourra demander l'établissement d'un groupe spécial. Si l'une des parties est un
pays en développement ou un pays moins avancé Membre, la procédure de bons offices, de
conciliation ou de médiation continuera pendant que la procédure du groupe spécial sepoursuivra, à moins que les deux parties n'en conviennent autrement.
5. Si les pa
rties à un différend en conviennent ainsi, les procédures de bons offices, de conciliation
ou de médiation pourront continuer pendant que la procédure du groupe spécial se poursuivra.
4.5. Lorsque des procédures de bons offices, de conc iliation ou de médiation seront engagées dans
les 60 jours suivant la date de réception d'une demande de consultations, la partie plaignante devra
attendre que se soit écoulé un délai de 60 jours après la date de réception de la demande de consultations
avant de demander l'établissement d'un groupe sp écial. Elle pourra demander l'établissement d'unTN/DS/W/43
Page 3
groupe spécial dans le délai de 60 jours si les partie s au différend considèrent toutes que les procédures
de bons offices, de conciliation ou de médiation n'ont pas abouti à un règlement du différend.
6. Le Directeur général pourra, dans le cadre de ses fonctions, offrir ses bons offices, sa
conciliation ou sa médiation en vue d'aider les Membres à régler leur différend."
III. RETRAIT DES DEMANDES DE CONSULTATIONS
9. Le Mémorandum d'accord devrait inclure une disposition permettant à un Membre de retirer
formellement une demande de consultations et cette disposition devrait inclure un paragraphe qui
traite de la question des consultations qui n'ont pas été suivies d'une demande d'établissement d'un
groupe spécial dans un certain délai, précisant que cette demande de consultations devrait être
considérée comme retirée formellement à l'expiration d'une période spécifiée.
10. La Jordanie propose en conséquence que le nouveau paragraphe suivant soit inséré en tant
que paragraphe 12 de l'article 4 du Mémorandum d'accord:
"Une demande de consultations pourra être retirée à tout moment et prendra effet à la
date où une notification écrite à cette fin aura été adressée à l'ORD. Une demande de
consultations sera réputée avoir été retirée par la partie plaignante si cette partie n'a pasprésenté une demande d'établissement d'un groupe spécial dans les [ ] mois suivant la
date de réception de la demande."
IV. RETRAIT D'UNE DEMANDE D'ÉTABLISSEMENT D'UN GROUPE SPÉCIAL
11. Le Mémorandum d'accord devrait inclure une disposition permettant à une partie plaignante
dans un différend de retirer formellement une dema nde d'établissement d'un groupe spécial. Ce droit
devrait être exercé dans un délai spécifique.
12. La Jordanie propose en conséquence que le nouveau paragraphe suivant soit inséré en tant
que paragraphe 3 de l'article 6 du Mémorandum d'accord:
"Une demande d'établissement d'un groupe spécial pourra être retirée par la partie
plaignante à tout moment de la procédure avant les deuxièmes communications écrites
des parties au différend. Le retrait prendra effet à la présentation d'une demande écrite
à l'ORD."
V. DIFFÉRENDS CONCERNANT LES PAYS EN DÉVELOPPEMENT ET LES PAYS
LES MOINS AVANCÉS MEMBRES
13. La participation des pays en développement et des pays les moins avancés Membres est de
plus en plus évidente dans le processus de règlement des différends et c'est pourquoi la représentation
dans les groupes spéciaux de ressortissants de ces pays offrirait une garantie et une incitation
supplémentaires à une participation effective.
14. La Jordanie suggère en conséquence que le paragraphe 10 de l'article 8 du Mémorandum
d'accord soit amendé de façon à être libellé comme suit:
"Dans les différends concernant des pays en développement Membres et/ou des pays les
moins avancés Membres, les dispositio ns suivantes seront d'application:TN/DS/W/43
Page 4
a. En cas de différend entre un pays développé Membre et un pays en
développement Membre, le groupe spécial comprendra un ressortissant d'un
pays en développement Membre.
b. En cas de différend entre un pays moins avancé Membre et un pays développé
Membre, le groupe spécial comprendra un ressortissant d'un pays moins avancé
Membre.
c. En cas de différend entre un pays en développement Membre et un pays moins
avancé Membre, le groupe spécial comprendra un ressortissant d'un pays en
développement Membre et un ressortissant d'un pays moins avancé Membre."
VI. PROCÉDURES DE TRAVAIL
15. Il faudrait élaborer à l'intention des groupes spéciaux des procédures de travail types
détaillées analogues aux procédures de travail qui ont été établies par l'Organe d'appel pour sestravaux. Actuellement, les groupes spéciaux ne disposent que des lignes directrices très générales
énoncées à l'Appendice 3 du Mémorandum d'accord. Comme les différends deviennent plus
complexes, à la fois du point de vue du nombre de parties et de tierces parties concernées et du
nombre de questions à examiner au titre des Accords pertinents de l'OMC, l'équité et l'efficacité de la
procédure des groupes spéciaux seraient grandement facilitées si l'on disposait de procédures detravail types.
16. Ce point a été réitéré par l'Organe d'appel dans un certain nombre de ses rapports récents, où
il recommandait que les groupes spéciaux élaborent des procédures de travail types.
17. En attendant, et dans le contexte de notre mandat de négociation actuel, un certain nombre de
procédures de travail additionnelles devraient être examinées, y compris les procédures suivantes:
i. La Jordanie pense comme le Costa Rica que l'article 12:1 devrait être amendé de
façon à inclure les droits de consultations des tierces parties lorsqu'il s'agit de décider
de l'application des procédures de travail spécifiées à l'Appendice 3.
En conséquence, la Jordanie est favorable aux amendements suivants qui ont été
suggérés pour le libellé de l'article 12:1:
"Les groupes spéciaux suivront les procédures de travail énoncées dans
l'Appendice 3, à moins qu'ils n'en décident autrement après avoir consulté les
parties au différend. Cette décision ne limitera pas les droits des tierces parties
au différend, à moins qu'elles n'aient aussi été consultées."
ii. La Jordanie pense comme le Japon et les CE qu'il est nécessaire de modifier le
paragraphe 3 de l'Appendice 3, en ce qui concerne la fourniture de résumés non
confidentiels des renseignements contenus dans les exposés des parties et des tierces
parties. En conséquence, nous sommes favorables aux amendements suivants qui ont
été suggérés pour le libellé du paragraphe susmentionné:
a. Les délibérations du groupe spécial et les documents qui lui auront été
soumis resteront confidentiels. Aucune disposition du Mémorandum
d'accord n'empêchera une partie ou une tierce partie à un différend de
communiquer au public ses propres positions.TN/DS/W/43
Page 5
Les Membres traiteront comme confidentiels les renseignements qui
auront été communiqués par un autre Membre au groupe spécial que ce
Membre aura désignés comme tels.
b. Chaque partie et tierce partie à une procédure fournira aussi, si un
Membre le demande, un résumé non confidentiel des renseignements
contenus dans ses exposés qui peuvent être communiqués au public, au
plus tard 15 jours après la date de la demande ou dans un autre délai
convenu à la fois par la partie et par le Membre présentant la demande.
iii. La participation effective des tierces parties enrichirait le processus de règlement des
différends en permettant aux parties à un différend et aux Membres pour lesquels lerésultat d'une certaine affaire présente un intérêt de participer pleinement aux travaux.
À cet égard, la Jordanie suggère que le paragraphe 6 de l'Appendice 3 du
Mémorandum d'accord soit amendé de façon à être libellé comme suit:
Toutes les tierces parties qui auront informé l'ORD de leur intérêt dans
l'affaire seront invitées par écrit à présenter leurs vues au cours d'une séance
de la première de toutes les réunion s de fond du Groupe spécial réservées à
cette fin. Toutes ces tierces parties pourront être présentes pendant toute
cette séance . Les tierces parties auront le droit d'assister à toutes les
phases de la procédure. Lorsqu'il établira les procédures de travail à
suivre, le groupe spécial pourra prendre en considération toutes
circonstances spéciales des tierces parties se rapportant de près à l'objet
du différend.
VII. DÉLAI PRÉVU POUR LA PARTICIPATION DES TIERCES PARTIES
18. La pratique antérieure a montré que le délai prévu pour qu'une tierce partie informe l'ORD de
son intérêt à présenter à un groupe spécial des communications écrites lors d'un différend devrait être
de dix jours. Cette pratique devrait être explicitement prévue dans le cadre de l'article 10:2 du
Mémorandum d'accord.
19. Il convient de noter que ce bref délai est nécessaire, car la notification de l'intérêt en tant que
tierce partie est indispensable pour la composition d'un groupe spécial, les ressortissants de tiercesparties à un différend ne devant pas faire partie des membres du groupe spécial qui ont été désignés.
20. La Jordanie propose en conséquence les amendements suivants au paragraphe 2 de l'article 10
du Mémorandum d'accord:
"Tout Membre qui aura un intérêt substantiel dans une affaire portée devant un groupe spécial et
qui en aura informé l'ORD dans les dix jours suivant la demande d'établissement d'un
groupe spécial (dénommé dans le présent mémorandum d'accord "tierce partie") aura la
possibilité de se faire entendre par ce groupe spécial et de lui présenter des communications
écrites. Ces communications seront également remises aux parties au différend et il en sera fait
état dans le rapport du groupe spécial."
VIII. RELATION ENTRE LES ARTICLES 21:5 ET 22 DU MÉMORANDUM D'ACCORD
21. La relation entre l'article 21:5 concernant la mise en œuvre et l'article 22:6 concernant les
droits de rétorsion a donné lieu à une certaine perplexité. La principale question qui se pose est deTN/DS/W/43
Page 6
savoir si la procédure prévue à l'article 21:5 doit précéder la procédure prévue à l'article 22. La
formulation actuelle de ces deux dispositions donne lieu à une certaine incertitude.
22. L'article 21:5 du Mémorandum d'accord dispose qu'un groupe spécial reconvoqué achèvera
ses travaux dans les 90 jours suivant la date à laquelle il aura été saisi de la question. Toutefois, il ne
précise pas à quel moment ces travaux devraient être engagés, probablement parce que cela dépend dumoment où le Membre défendeur cherche à mettre en œuvre les recommandations pertinentes. Rien
dans les termes mêmes de cette disposition n'empêche que ces travaux soient engagés avant ou après
l'expiration d'un délai raisonnable pour la mise en œuvre des recommandations et décisions.
L'article 22:6, par ailleurs, indique que l'ORD accordera l'autorisation de suspendre des concessions et
d'autres obligations "dans un délai de 30 jours à compter de l'expiration du délai raisonnable, à moins
qu'il ne décide par consensus de rejeter la demande" ou que cette demande ne soit contestée et
soumise à arbitrage. Ainsi, l'article 22 prévoit un délai explicite pour la demande d'autorisation àl'ORD et l'octroi de cette autorisation. Néanmoins, l'article 21:5 ne prévoit aucun calendrier qui
puisse garantir que cette analyse sera menée à bien dans ce délai.
23. À cet égard, la Jordanie souscrit à la conclusion selon laquelle l'article 22 ne peut être utilisé
qu'une fois que les procédures prévues à l'article 21:5 auront été menées à bien. Cette argumentation
part du fait qu'il est énoncé à l'article 21:5 que "dans les cas où il y aura désaccord au sujet del'existence ou de la compatibilité avec un accord visé de mesures prises pour se conformer aux
recommandations et décisions, ce différend sera réglé suivant les présentes procédures de règlement
des différends, y compris ...". En outre, l'article 22:6 se limite aux cas où "la situation décrite au
paragraphe 2 se produira". Il s'agit là d'une référence aux cas où le Membre concerné n'a pas mis la
mesure jugée incompatible avec un accord visé en conformité avec celui-ci. Dans les cas où uneprocédure au titre de l'article 21:5 est ainsi en attente, l'argumentation est que les conditions
permettant de présenter une demande de suspension au titre de l'article 22:6 ne peuvent être remplies.
En conséquence, dans les cas où il y a désaccord au sujet de la mise en œuvre, c'est l'article 21:5 qui
doit être utilisé et non l'article 22; sinon, l'article 21:5 n'aurait pas de raison d'être.
24. La Jordanie souhaiterait examiner les textes juridiques proposés à cet effet, et elle sera
heureuse de coopérer avec les délégués pour arriver à une interprétation commune à cet égard.
IX. DÉLAI PRÉVU POUR L'ARBITRAGE AU TITRE DE L'ARTICLE 21:3 C)
25. Le délai prévu pour mener à bien l'arbitrage au titre de l'article 21:3 c) du Mémorandum
d'accord devrait commencer à compter de la date de la désignation de l'arbitre et non de la date de
l'adoption du rapport.
26. En conséquence, la Jordanie suggère que l'alinéa c) du paragraphe 3 de l'article 21 du
Mémorandum d'accord soit modifié de façon à être libellé comme suit:
c) un délai déterminé par arbitrage contraignant. Toute partie peut demander un
tel arbitrage dans les 60 jours suivant la date d'adoption des recommandations et
décisions par l'ORD. Si les parties ne parviennent pas à s'entendre sur le choix d'un
arbitre dans un délai de dix jours après que la question aura été soumise à arbitrage, le
Directeur général désignera l'arbitre dans les dix jours à partir de la liste indicative despersonnes appelées à faire partie de groupes spéciaux, après avoir consulté les parties à
un différend. L'arbitre remettra sa décision aux parties dans les 45 jours suivant la date
à laquelle il aura été désigné. Dans cette procédure d'arbitrage, l'arbitre devrait partir
du principe que le délai raisonnable pour la mise en œuvre des recommandations du
groupe spécial ou de l'Organe d'appel ne devrait pas dépasser 15 mois à compter de ladate à laquelle l'arbitre aura été désigné. Toutefois, ce délai pourra être plus court ou
plus long, en fonction des circonstances du différend.TN/DS/W/43
Page 7
X. POUVOIR DE RENVOI
27. L'octroi à l'Organe d'appel du pouvoir de renvoyer au groupe spécial des constatations ou
conclusions factuelles est nécessaire pour assurer l'efficacité du système à deux niveaux du règlement
des différends, préservant ainsi l'un des principes essentiels qui distinguent le mécanisme derèglement des différends de l'OMC de celui d'autres organes et tribunaux internationaux.
28. Étant donné que la sphère de compétence de l'Organe d'appel se limite aux questions de droit,
celui-ci a parfois du mal, dans les cas où il a infirmé une conclusion juridique d'un groupe spécial, de
décider de la façon de modifier les conclusions du groupe spécial sans renvoyer une allégation au
groupe spécial initial. Néanmoins, si l'on introduisa it le concept de renvoi, il faudrait prolonger les
délais prévus pour le règlement des différends, et élaborer des procédures prévoyant un examen
supplémentaire par le groupe spécial.
29. En l'absence de lignes directrices claires qui réglementeraient le pouvoir de renvoi, l'Organe
d'appel serait placé dans une situation peu enviable.
30. En outre, donner à l'Organe d'appel le pouvoir de renvoyer une affaire aurait certains
inconvénients pour le système de l'OMC, comme l'atteste par exemple le fait que les membres des
groupes spéciaux ne sont pas actuellement des magistrats permanents, si bien qu'il serait difficile dereconstituer le groupe spécial initial pour connaître du rapport renvoyé.
31. En conséquence, la Jordanie suggère les amendements suivants au paragraphe 12 de
l'article 17 du Mémorandum d'accord:
"L'Organe d'appel examinera chacune des questions soulevées conformément au
paragraphe 6 pendant la procédure d'appel. Néanmoins, si le rapport du groupespécial ou du groupe spécial de la mise en conformité ne renferme pas des constatations
de fait non contestées suffisantes pour permettre à l'Organe d'appel de s'acquitter de sa
tâche, l'Organe d'appel renverra l'affaire devan t le groupe spécial ou, le cas échéant, le
groupe spécial de la mise en conformité, avec les constatations de droit et/ou les
indications nécessaires pour permettre au gr oupe spécial de s'acquitter de ses tâches.
Une décision à cet effet sera tr ansmise au Président de l'ORD."
32. En outre, le nouvel article suivant devrait être ajouté pour réglementer la question des
procédures de renvoi:
"Article 17 bis
Procédure de renvoi
Lorsque l'Organe d'appel fera un renvoi au titre du paragraphe 12 de l'article 17,
l'ORD établira un groupe spécial, composé des membres du groupe spécial initial, si possible,
dans un délai de dix jours après que la demande aura été transmise au Président de l'ORD.
Le mandat du groupe spécial établi au titre du présent paragraphe sera le suivant:"Examiner, à la lumière des dispositions pert inentes de (nom de l'(des) accord(s) visé(s)
cité(s) par les parties au différend), la question portée devant l'ORD au titre du
paragraphe 12 de l'article 17 dans le document ...; faire des constatations,
conformément aux constatations de droit fa ites par l'Organe d'appel et/ou aux lignes
directrices données par lui au titre de cette disposition, qui seront propres à aider l'ORDTN/DS/W/43
Page 8
à formuler des recommandations ou à statuer sur la question, ainsi qu'il est prévu dans
ledit (lesdits) accord(s)."
XI. COMMUNICATIONS D' AMICI CURIAE NON DEMANDÉS
33. Le système de l'OMC a maintenant atteint un stade où il est justifié de reconnaître les intérêts
non publics dans les différends entre Membres.
34. L'article 17 du Mémorandum d'accord, tel qu'il est libellé, ne prévoit pas l' amicus curiae , mais
l'Organe d'appel ou le groupe spécial n'est-il lié que par ce qui est énoncé explicitement dans le
Mémorandum d'accord? Si tel était véritablement le cas, on pourrait arriver à des résultats plutôt
contradictoires: par exemple, le Mémorandum d'accord ne mentionne nulle part que l'Organe d'appel
doit procéder à une évaluation objective de la "question" dont il est saisi. Dans tout différend, les faits
et le droit sont en cause, comme le précise clairement le libellé dénué d'ambiguïté de l'article 11 duMémorandum d'accord. Cette obligation de procéder à une évaluation objective n'est imposée qu'aux
groupes spéciaux conformément audit article 11, mais cela empêche-t-il l'Organe d'appel de procéder
à une évaluation objective de l'affaire dont il est saisi? Certainement pas. C'est pourquoi il faudrait
laisser à l'Organe d'appel une certaine latitude pour mener à bien les procédures dont il est saisi.
35. Ce qui importe c'est que, lorsqu'il exerce son pouvoir discrétionnaire, le groupe spécial ou
l'Organe d'appel ne fasse pas disparaître son devoir implicite de respecter le principe de régularité de
la procédure et fasse en sorte que les mémoires non demandés n'englobent pas des questions de fait, et
que les parties au différend aient amplement le temps de réagir. Il faudrait toujours prendre en
compte le fait que les mémoires d' amici curiae non demandés ne seront utilisés que pour évaluer les
arguments présentés par les parties au différend et non pour plaider en faveur du plaignant ou dudéfendeur.
36. En conséquence, une disposition qui réglemente clairement les communications d' amici
curiae non demandés, ou les interventions non publiques, dans le cadre du Mémorandum d'accord,
faciliterait le processus de règlement des différends. Ce droit d'intervention permettrait à une
personne ou un groupe intéressé (comme les organisations de défense de l'environnement, lesentreprises concurrentes du secteur privé et les citoyens) de présenter au groupe spécial ou à l'Organe
d'appel des éléments de preuve et arguments (juridiques ou autres) qui amélioreraient la transparence
et fourniraient des renseignements d'experts qui ne figureraient pas dans les communications des
Membres.
37. Là aussi, ce privilège peut être mal utilisé dans certains cas, s'il n'y a pas de cadre clair pour
son application, en particulier lorsqu'un différend concerne un pays en développement Membre,
compte tenu des charges financières auxquelles il peut se trouver confronté pour présenter ce type decommunication.
38. En conséquence, la Jordanie souscrit à la proposition des CE et suggère qu'un nouveau
paragraphe soit inclus dans la proposition de ces dernières, en tant que paragraphe 8, qui serait libellé
comme suit:
"Article 13 bis
Communications d' amici curiae
8. Les membres des groupes spéciaux et les membres de l'Organe d'appel élaboreront dans
les moindres délais, dans leurs procédures de travail respectives, les règles et procédures
nécessaires pour réglementer, rendre opérationnel et définir la portée du présent article en
tenant compte des intérêts des pays en dévelo ppement Membres et des pays les moins avancésTN/DS/W/43
Page 9
Membres, dans la mesure où le Mémorandum d'accord n'en prévoit pas déjà. De telles
procédures incluront une référence spécifique à un fonds qui serait créé dans les moindres
délais par les Membres concernés de l'OMC afin d'aider les pays en développement et les pays
les moins avancés Membres à assumer financièrement la présentation de mémoires
d'amici curiae , qu'ils soient présentés par une partie plaignante ou par un défendeur. Lesdites
procédures seront élaborées en consultation avec le Président de l'ORD et le Directeur général,
et seront soumises à l'ORD pour adoption."
XII. QUESTIONS D'INTERPRÉTATION
39. Il n'y a rien dans le Mémorandum d'accord qui empêche que des interprétations soient
données dans le cadre de l'OMC, que ce soit par la Conférence ministérielle ou par l'ORD.
40. Conformément à l'idée que l'OMC est un organe de droit public international, la Jordanie
suggère également que les groupes spéciaux, l'Organe d'appel et/ou l'ORD aient le pouvoir de
demander des avis consultatifs à la Cour internationale de justice (CIJ) sur des questions de droit
international. Ainsi, l'OMC bénéficierait de la fonction consultative de la CIJ, comme c'est le cas
pour d'autres organes spécialisés. La référence à un groupe indépendant tel que la CIJ attesterait de
l'impartialité de l'OMC pour résoudre les différends qui peuvent résulter de l'application et de la miseen œuvre des Accords de l'OMC.
41. L'avis consultatif devrait être considéré comme un instrument d'interprétation qui vise à aider
les organes pertinents à recommander ou adopter un rapport sur un différend. Ledit avis devrait être
soumis à la Conférence ministérielle ou au Conseil général pour adoption conformément à
l'article IX:2 de l'Accord de Marrakech instituant l'Organisation mondiale du commerce.
42. En attendant, et aux fins de notre mandat de négociation actuel, la Jordanie souscrit à la
proposition du Groupe africain concernant cette question et suggère que le libellé suivant soit inclus
dans le cadre du Mémorandum d'accord en tant qu'article 5 bis:
"Article 5 bis
Questions d'interprétation
1. Les parties et les tierces parties à un différend peuvent à n'importe quel stade de la
procédure renvoyer des questions d'interprétation au Conseil général conformément au présent
article.
2. La (les) question(s) sera (seront) adressée(s) au Conseil général au moyen d'une
demande écrite contenant un énoncé exact des questions pour lesquelles l'interprétation est
demandée, accompagnée de tous les documents susceptibles d'aider à étudier la (les) question(s)
et à y répondre.
3. Le Secrétariat informera de la demande d'in terprétation dans les moindres délais les
autres Membres pouvant avoir un intérêt substantiel dans le résultat de cette interprétation.
4. Les parties au différend, les tierces parties et les Membres ayant un intérêt substantiel,
qui auront présenté des déclarations écrites, se conformeront au modèle, au délai et autres
directives établis par le Conseil général à cette fin.
5. Les décisions du Conseil général seront prises à la majorité des trois quarts des voix."TN/DS/W/43
Page 10
XIII. RÔLE DU SECRÉTARIAT
43. Conformément à l'article 27 du Mémorandum d'accord, le Secrétariat est chargé d'aider les
membres des groupes spéciaux en ce qui concerne plusieurs aspects de leurs travaux. Dans la
pratique, il apporte des compétences juridiques et aide les membres des groupes spéciaux de
nombreuses façons, y compris en rédigeant certaines parties de leurs recommandations. Cela risqued'avoir un impact différent sur la transparence du processus de règlement des différends s'il n'y a pas
de système qui assure que tous les documents, notes, renseignements ou toutes sortes de
communications distribués par le Secrétariat sont transmis dans les moindres délais aux parties et
tierces parties au différend.
44. La Jordanie souscrit à la proposition faite par l'Inde et d'autres concernant la nécessité
d'amender le paragraphe 10 de l'Appendice 3 du Mémorandum d'accord et suggère le libellé suivant:
"Afin de garantir une totale transparence, les parties et tierces parties seront présentes lors des
exposés, réfutations et déclarations dont il est fait mention aux paragraphes 5 à 9. De plus, les
exposés écrits de chaque partie ou tierce partie, y compris les observations sur la partie
descriptive du rapport et les réponses aux questions posées par le groupe spécial, seront mis à la
disposition de l'autre partie ou des tierces parties. Les documents, notes, renseignements et
toutes autres sortes de communications fourni s par le Secrétariat au groupe spécial seront
transmis dans les moindres délais aux parties et tierces parties au différend, dont les vues
à ce sujet seront prises en considération par le groupe spécial. "
45. Enfin, la possibilité que le Mémorandum d'accord parvienne à équilibrer les objectifs en
matière de commerce et les objectifs juridiques restera l'une des tâches les plus importantes à réalisermoyennant quelques innovations et une volonté de changement. Ces changements devraient être
dirigés essentiellement vers un plus grand rapprochement des règles et pratiques de l'OMC et du droit
public international et des autres questions de politique commerciale.
46. Pour établir un régime commercial international plus viable, il est fondamental d'avoir un
mécanisme de règlement des différends qui soit équitable et juste et qui permette aux faibles d'obtenirréellement réparation de la part des forts. Les pays en développement devront être prêts à faire face
aux problèmes posés par le processus d'amélioration et de clarification du mécanisme de règlement
des différends; néanmoins, il ne faudrait jamais perdre de vue le fait qu'un système juridique qui
n'encourage pas la participation de tous ses membres manque en fin de compte de crédibilité et n'est
pas viable.
47. La Jordanie se réserve le droit d'amender, de modifier, d'infirmer, de compléter, de supprimer
n'importe laquelle des propositions, idées et suggestions ci-dessus et accueillera avec intérêt touteobservation ou préoccupation que d'autres parties peuvent vouloir exprimer concernant n'importe
lequel des sujets traités ci-dessus.
__________
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WORLD TRADE
ORGANIZATION G/TBT/N/SVN/20
2 April 2004
(04-1501)
Committee on Technical Barriers to Trade Original: English
NOTIFICATION
The following notification is being circ ulated in accordance with Article 10.6.
1. Member to Agreement notifying: SLOVENIA
If applicable, name of local government involved (Articles 3.2 and 7.2):
2. Agency responsible: Ministry of Transport, Directorate for Roads, Langusova 4, SI-1000
Ljubljana
Name and address (including telephone and fax numbers, e-mail and web-site
addresses, if available) of agency or authority designated to handle comments
regarding the notification shall be indicated if different from above:
3. Notified under Article 2.9.2 [ X ], 2.10.1 [ ], 5.6.2 [ ], 5.7.1 [ ], other:
4. Products covered (HS or CCCN where applicable, otherwise national tariff heading.
ICS numbers may be provided in addition, where applicable): Technical Specification
for Road Engineering – TSC 06.541 (HS 9027, ICS 93.080.10)
5. Title, number of pages and language(s) of the notified document: Designing, Structural
Designing of Existing Asphalt Pavement Struct ure Reinforcement Overlays (13 pages,
in Slovenian)
6. Description of content: It defines dimensions of the designed reinforcements of the
existing pavement structures on all traffic surface s intended for motorway vehicle traffic.
7. Objective and rationale, including the na ture of urgent problems where applicable:
To inform and provide equal possibilities for all tenderers.
8. Relevant documents: Act on Public Road (OJRS, no.29/97) and Rules on Development of
Technical Specification for Public Roads (OJRS, no.69/98)
9. Proposed date of adoption:
Proposed date of entry into force: }Not stated
10. Final date for comments: 60 days after circulation by WTO Secretariat
11. Texts available from: National enquiry point [ X ] or address, telephone and fax
numbers, e-mail and web-site addresses, if available of the other body:
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WORLD TRADE ORGANIZATION
ORGANISATION MONDIALE DU COMMERCE
ORGANIZACION MUNDIAL DEL COMERCIO
Council for Trade-Related Aspects of
Intellectual Property Rights IP/N/IIMARlG/2
13 November 2002
(02-6281)
Original: French!
fran<;ais/
frances
MAIN DEDICATED INTELLECTUAL PROPERTY
LAWS AND REGULATIONS NOTIFIED UNDER
ARTICLE 63.2 OF THE AGREEMENT
MOROCCO
The present document reproduces the text! of Order No. 869-75 of the Minister for
Agriculture and Agrarian Reform regulating the appellation of origin regime for wines, as notified by
Morocco under Article 63:2 of the Agreement (see document IP/N/1/MARl2).
Conseil des aspects des droits de propriete
intellectuelle qui touchent au commerce
PRINCIPALES LOIS ET REGLEMENTATIONS CONSACREES A LA
PROPRIETI!: INTELLECTUELLE NOTIFIEES AU TITRE
DE L'ARTICLE 63:2 DE L'ACCORD
MAROC
Le present document contient le texte! de l' Arrete du Ministre de l'agriculture et de la
reforme agraire N° 869-75 portant reglementation du regime des appellations d' origine des vins,
notifie par le Maroc au titre de l'article 63:2 de l'Accord (voir le document IP/N/1/MARl2).
Consejo de los Aspectos de los Derechos de Propiedad
Intelectual relacionados con el Comercio
PRINCIPALES LEYES Y REGLAMENTOS DEDICADOS A LA PROPIEDAD
INTELECTUAL NOTIFICADOS EN VIRTUD DEL pARRAFO 2
DEL ARTiCULO 63 DEL ACUERDO
MARRUECOS
En el presente documento se reproduce el texto! de la Orden N° 869-75 del Ministerio de
Agricultura y Reforma Agraria relativa a la reglamentaci6n del regimen de las denominaciones de
origen de los vinos, que Marruecos ha notificado en virtud del parrafo 2 del articulo 63 del Acuerdo
(vease el documento IP/N/lIMARl2).
! In French only'/En franyais seulement.!En frances solamente. IPINIlIMARlG/2
Page 2
..... , ARRETE
du ministre de I'agriculture et de la reforme agraire n°
869-75 du 28 chaabane 1397 (15 aout 1977) portant
reglementation du regime des appellations d'origine des
vins(1}.
TITRE PREMIER
Des appellations d'origine
Article premier. -Les productions de vin nationales
provenant des aires geogaphiques ci-apres delimitees ont droit,
respectivement,. sous reserve des dispositions de I'article 2 ci
dessous, aux «appellations d'origine garantie» suivantes :
1 ° Berkane: pour les vignobles des Triffa, avec comme
limites : au nord, la cote mediterraneenne ; El l'est, la frontiere
algero-marocaine ; au sud, la chaine montagneuse des Beni
Snassen ; El !'ouest, le cours de I'oued Moulouya.
2° Angad : pour les vignobles des Angad, avec comme
limites : au nord, la chaine montagneuse des Beni-Snassen; El
I'est, la frontiere algero-marocaine; au sud, le massif des
Zekkara; El I'ouest, le massif d'EI-Aioun.
3° Sa'ls : pour les vignobles delimites par les coteaux de
Sefrou, Immouzer. les Ain-Blouz, le cours de !'oued N'Ja, les
contreforts du Trat, les pentes du Zalarh, la vallee de I'oued
Sebou, EI-Hericha et Sefrou.
(1) B.O. n" 3388 du 5 octobre 1977. page 1091. IP 1Nl 1 IMARlG 12
Page 3
4° Beni-Sadden : pour les vignobles delimites par la vallee du
Sebou, EI-Hericha, EI-Ouata, Bou-Hellou, Souk-el-Arba-de
Tissa, la vallee de l'lnaouen, puis celle du Sebou jusqu'a Fes.
5° Zerhoun : pour les vignobles situes sur les pentes du
massif du Zerhoun, au nord de la route de Fes-Meknes-Rabat.
6° Guerrouane : pour les vignobles du plateau de Meknes,
situes au sud de la route de Fes-Meknes-Rabat et a I'ouest de
la route de Meknes a EI-Hajeb et a I'est de I'oued Beht.
7° Beni-M'Tir : pour les vignobles du plateau de Meknes,
situes a I'est de la route de Meknes a EI-Hajeb.
8° Rharb : pour les vignobles du Rharb.
go Chellah : pour les vignobles situes sur la rive droite et la
rive gauche de I'oued Bou-Regreg : coteaux de Sale, des
Sehoul, de Rabat, de Temara, de Bouznika.
10° Zaer : pour les vignobles des coteaux et plateaux
compris entre I'oued Grou, Rommani, Sidi-Bettache, Sidi
Yahya des Zaers, ATn Aouda.
11 ° Zemmour : pour les vignobles des coteaux et plateaux
delimites par la vallee de I'oued Beht, Dar-Bel-Hamri, Sidi-Allal
EI-Bahraoui, la vallee de !'oued Bou-Regreg, Maaziz.
12° Zenata : pour les vignobles de Tit-MeW/; Oulad-Ziane, El
Gara, Ei-Louizia. EI-8ahii, Sidi-Larbi, Fedalate, Ben-Sllmane,
Bessabes, Ben Nabet, Oulad-Taleb, Beni-Amar et Mansouriah.
13° Sahel : pour les vignobles compris entre la rive droite de
I'Oum-er-Rebia et la route de Casablanca. Berrechid. Ben
Ahmed, Sahel-des-Oulad-Harriz, Bouskoura, Chtouka. Oulad
Sa'id, Settat et Oulad-Harriz-sud.
14° Doukkala : pour les vignobles situes entre la rive gauche
de l'Oum-er-Rebia, Sidi-Bennour et le littoral atlantique.
Art. 2. -Pour pouvoir etre commercialises sur le marche IP INI11MARJG/2
Page 4
interieur et sur les marches d'exportation, sous I'une des
appellations d'origine garantie precisees a I'article premier, les
vins doivent :
a) etre produ.its dans I'une des aires geographiques
delimitees a I'article premier ci-dessus,· a partir de raisins
produits dans la meme aire geographique;
b) etre obtenus exclusivement a partir des cepages suivants :
10 pour les appellations Berkane, Angad, Beni-Sadden, Sa'is,
Zerhoun, Guerrouane, Beni-M'tir, Rharb, Chellah, Zaer,
Zemmour, Zenata et Sahel :
-Cepages destines a la production des vins rouges ou roses:
-Cabernet franc,
-Cabernet sauvignon,
-Gamay,
-Grenache,
-Pinot,
-Syrah,
-Cinsault,
-Carignan,
-Alcante-Bouschet,
-Cepages destines a la production de vins blancs :
-Clairette,
-Farane,
-Folie-Blanche,
-Grenache blanc,
-Maccabeo,
-Malvasia Grossia,
-Mersguera,
-Muscat blanc,
-Muscat d'Alexandrie,
-Pedro Ximenes
-Sauvignon,
-Ugni blanc.
-El Biod (Zeihouni). IP/N/l/MARlG/2
Page 5
2° pour I'appellation Doukkala, cepages destines
exclusivement a la production de vins roses:
-tous les clones locaux groupes sous la denomination de
«gros rose des Doukkala».
c) posseder un titre alcoometrique minimal naturel de 12
degres 0.1. V. Gay Lussac ou equivalent.
Tout enrichissement est interdit;
d) provenir de vignobles cultives suivant les methodes
conformes aux usages locaux et qui ne sont pas irrigues, sauf
derogation speciale accordee par arrete du ministre charge de
I'agriculture, lorsque des conditions ecologiques particulieres la
justifient ;
e) etre vinifies suivant des techniques de vinification
constantes, et repondre aux normes analytiques exigees;
f) etre issus de production n'excedant pas, a I'hectare, un
rendement d~nt le taux est fixe, annuellement pour chaque
appellation, par arrete du ministre charge de l'agricultYe, pris
sur proposition de la commission nationale viti-vinicole;
g) etre obtenu a partir d'une vinification distincte de celle des
autres vins;
« h) (Arr~ du 17 septembre 1986)(1). _ avoir obtenu un label
« d'appellation d'origine accompagnee ou non du qualificatif
« «primeur» ou «nouveau».»
TITRE 11
Des appellations d'origine contr6h~e
Art. 3. -Pour beneficier de I'appellation d'origine contr6lee,
les vins doivent provenir d'une aire de production delimitee par
(1) B.O.n° 3862 du 5 novembre 1986. page 329. IPINIlIMARlG/2
Page 6
des releves cadastraux, a I'interieur d'une zone de production
de vins a appellation d'origine garantie et repondant. en ce qui
concerne les cepages autorises, le degre alcoolique minimum,
les normes de production, les procedes de culture, de
vinification et de distillation et les qualites organoleptiques ainsi
que le regime de circulation, aux prescriptions qui seront
prevues par un arrete ulterieur.
TITRE 11 bis (Arrete du 17 septembre 1986)(1).
Des qualifications «primeuP) ou «nouveau»
« Art. 3 bis. w Les appellations d'origine peuvent etre accom
«pagnees du qualificatif «primeur» ou «nouveau» lorsque les vins
«proposes presentent, au maximum, une acidite volatile de 0,6 9 / I
(Cexprimee en acide sulfurique et un taux de sucre residuel de 2 9 / I.
TITRE III
Du transfert des vins it appellation d'origine
Art. 4. w Le Transfert des vins a appellation d'origine de la cave
de production dans une cave de stockage ou dans un chai
negociant situe en dehors de I'aire geographique de
I'appellation, n'est auto rise qu'apres attribution d'un label
d' appellation d' origi ne et sous le couvert des titres de
mouvements prevus a I'article 8 ci-apres.
TITRE IV
De la commercialisation des vins a appellation d'origine
Art. 5. w Sous reserve des dispositions des articles 6 et 7, les vins
ay ant obtenu le label peuvent etre commercialises immediatement
sur le marche interieur et sur les marches exterieurs, dans les
emballages autorises pour les vins vieux et selectionnes.
(1) B.O.n° 3862 du 5 novembre 1986. page 329. IP/NllIMARlG/2
Page 7
«Art. 6. -(Arrate du 17 septembre 1986)(1). -Les bouteilles
(C contenant les vins beneficiant d'une appellation d'origine
« doivent, pour pouvoir atre commercialisees, atre revatues
cc d'une etiquette portant les mentions obligatoires suivantes :
« 1 0 la denomination geographique de I'appellation d'origine;
« 2° la mention «appellation d'origine garantie» ou appellation
« d'origine contrelee» suivie, le cas echeant, du qualificatif
« «primeur» ou «nouveau».
3° le nom d'une marque ou, le cas echeant, la designation
d' un cru si I' etiq uette porte comme seule inscripti on
geographique la denomination de I'appellation d'origine; la
mention «appellation d'origine garantie» ou, le cas echeant,
«appellation d'origine contrelee» doit figurer en caracteres tres
apparents au-dessous de la denomination geographique de
I'appellation.
Si on utilise un nom de cru ou un nom de marque
commerciale, le nom de I'appellation contre!ee ou garantie doit
figurer en caracteres tres apparents, de dimensions, couleur et
forme identiques entre le mot «appellations» et le mot
«contrelee» ou «garantie»;
4° I'indication du degre alcoolique acquis;
50 le nom et I'adresse du producteur embouteilleur ou du
negociant embouteilleur imprimes en caracteres ne depassant
pas au maximum ies 2/3 de ceux utiiises pour ia denomi
nation geographique de I'appellation.
Peuvent egalement figurer sur I'etiquette les indications
suivantes:
10
-la couleur de vin;
2° -les noms de deux varietes, au maximum, de vigne pour
une seule et mame appellation d'origine, El condition:
(1) B.O.n° 3862 du 5 novembre 1986. page 329. IPINII/MARlG/2
Page 8
a) que ces varietes figurent dans la liste des cepages
autorises par le present arrete;
b) que le produit concerne provienne exclusivement des
varietes indiquees;
-le nom d'une variete de vigne, a condition que cette variete
figure dans la liste des cepages autorises par le present arrete;
3° I'annee de la recolte;
4 ° les precisions concernant :
-le mode d'elaboration
-le type du produit,
-une couleur particuliere du produit,
pour autant que ces indications soient traditionnelles et
d'usage ou qu'elles ne puissent preter a confusion avec une
denomination speciale a laquelle le produit n'aurait pas droit;
5° le nom de I'exploitation viticole ou du groupement
d'exploitation viticole ou le vin en question a ete obtenu, le nom ou
la raison sociale des personnes physiques ou morales, ou d'un
groupement de personnes ayant participe au circuit commercial du
vin, et qui sont susceptibles de renforcer son prestige;
6° ie numero et ia date du iabei de quaiite attribue par ia
commission nationale viti-vinicole;
7° I'indication de la mise en bouteille, au domaine, pour les
vins effectivement conserves et mis en bouteilles dans les
chais du domaine sur lequel ils ont ete recoltes;
8° une distinction attribuee au vin en question par un
organisme officiel ou officiellement reconnu El cet effet, et El
condition que la distinction puisse etre prouvee par un
document approprie; IP/NI1 IMARlG/2
Page 9
go des mentions particulieres exigees par les pays
importateurs pour les vins destines a I'exportation, a condition
qu'elles ne contreviennent pas a la reglementation nationale en
vigueur.
Ne peuvent, toutefois, figurer sur les etiquettes les mentions
suivantes:
10 toute indication ayant un rapport quelconque avec une
terminologie, un lieu ou un edifice ayant un caractere religieux;
2° toute denomination geographique nationale autre que
celles reservees aux appellations d'origine et rappelant le nom
d'une localite, d'une region, d'une montagne, d'une riviere, d'un
lieu-dit, sans que cette enumeration soit limitative;
3° les mots ou leur equivalent en toute langue de:
-Coteau.
-Clos,
-Domaine
-Chateau,
-Mont.
-Cote,
-Moulin,
-Tour,
ou toutes autres expressions analogues empruntees a la
terminologie typiquement nationale, sauf lorsqu'il s'agit de
produits beneficiant a la date de publication du present arrete :
a) d'une appellaton d'origine garantie ou contralee;
b) et provenant d'une exploitation viticole existant reellement et. IP /Nil /MARlG/2
Page 10
s'i/ y a lieu, exactement qualifiee par ces mots ou expressions;
40 remploi de termes : -1 er cru,
-2e cru,
est interdit sauf pour les vins produits dans un terroir
determine et beneficiant :
a) d'une appellation d'origine contrelee;
b) d'une qualite affirmee par la tradition;
c) d'un classement par la commission nationale vitivinicole
visee a I'article 12 du decret susvise n° 2-75-321 du 25
chaabane 1397 (12 aoOt 1977);
50 Vin de pays, vins du pays, accompagne ou non d'une
designation geographique;
6° d'une maniere plus generale, toute indication, toute
illustration, tout mode de presentation, toute mention particuliere
sur les recipients, emballages, etiquettes, capsules, bouchons,
cachets, ainsi que dans les papiers de commerce, factures,
catalogues, prospectus, enseignes, affiches, tableaux, reclames,
annonces et tout autre mode de publicite, susceptibles de creer
une confusion sur la nature, I'origine, les qualites substantiel/es. la
composition des produits ou la capacite des recipients.
TITRE V
De I'exportation des vins a appellation d'origine
Art. 7. -Les exportations de vin a I'appel/ation d'origine, en
vrac, doivent etre accompagnees d'un label par lot, delivre par
la division de la repression des fraudes a l'organisme
commercial, pour etre joint aux documents accompagnant la
marchandise.
Ce label doit preciser, en plus des indications prevues ci
dessus a I'article 7, alinea 5, la quantite du lot exporte.
La division de la repression des fraudes ne peut delivrer ce IP/NIIIMARJG/2
Page 11
label a I'organisme exportateur qu'apres avoir verifie, au moyen
des titres de mouvement speciaux accompagnant la
marchandise du lieu de production au lieu de dechargement,
que les vins livres au chai portuaire ou directement a bord du
moyen de transport (bateau-citerne, container, wagon-citerne)
ont bien fait /'objet de I'attribution du label par la commission
nationale viti-vinicole.
Des prelevements d'echantillon peuvent etre effectues par
les services de la repression des fraudes a." bord des moyens
de transport prevus pour I'exportation, en vue de faire proceder
a des analyses de conformite par un des laboratoires vises a
I'article 21 (2° alinea) du decret precite n02-75-321 du 25
chaabane 1397 (12 aoOt 1977).
TITRE VI
«De I'attribution, du refus et du retrait du label»
(Arrete du 3 janvier 1979)(1).
Art. 8. -Le label d'appellation d'origine est attribue par le
ministre charge de I'agriculture sur proposition de la
commission nationale viti-vinicole.
«A. -(Arrete du 17 septembre 1986)(2). -Pour pouvoir obtenir
« un label d'une appellation d'origine accompagnee ou non du
«qualificatif «primeur» ou «nouveau», le producteur est tenu :
«1) d'en faire la demande ecrite a la division de la repression
« des fraudes et d'y joindre ia declaration de recolte prevUe
« par I'article 21-1 ° du decret precite n° 2.75-321 du 25 chaabane
« 1397 (12 aoOt 1977).
«Toutefois, pour les vins pour lesquels la qualification
CC «primeur») ou «nouveau» est sollicitee, cette demande doit
« etre adressee avant le 30 septembre de I'annee de recolte et
«doit etre jointe a une declaration previsionnelle de recolte.
(1) B.O. n° 3458 du 7 fevrier 1979, page 83.
(2) B.O. n° 3862 du 5 novembre 1986, page 329. IP /Nil /MARlG/2
Page 12
« Dans les deux cas la demande doit preciser :
« a) la nature et la denomination de I'appeilation demandee;
« b) la designation du ou des vignobles ayant produit les raisins
« utilises pour I'elaboration des vins a labelliser;
« c) la ou les superficies de ces vignobles;
« d) la nature des encepagements des parcelles du vignoble
« dont la production a servi a elaborer du vin presente pour
« I'obtention du label;
« e) la localisation de la cave de production, laquelle doitetre
« situee dans I'aire geographique de I'appellation d'origine
« demandee;
« f) le poids de vendange transforme en vin pour lequel le label
« est sollicite;
« g) le volume et la couleur des vins pour lesquels I'appeliation
« est demandee;
« h) la designation des caves dans lesquelles sont entreposes
« les vins pour lesquels I'appellation est demandee.
« 2° d'informer, par IFttre recommandee avec accuse de
« reception, I'inspection regionale de la repression des fraudes
« dont il depend, de la date a laquelle les vins seront prets a
etre « preleves pour analyse.
« Cette date ne pourra etre posterieure au 30 septembre de
« I'annee de recolte pour les vins proposes pour obtenir
« I'appellation d'origine accompagnee du qualificatif «primeur»
« ou «nouveau)), et au 1 er mars suivant la production pour les
« autres vins; passes ces delais, aucune demande de
« labellisation ne sera instruite.
« Le producteur est tenu de preciser dans cette meme
« correspondance : « -la quantite de vins presentee, par couleur; IPIN11/MARlG/2
Page 13
« -le numero de chaque cuve contenant le vin presente avec
« sa capacite, laquelle doit etre au moins egale ou superieure a
« 50 hectolitres.»
« B. -(Arrete du 3 janvier 1979)(1) -L'inspection regionale de
« la division de la repression des fraudes procede, en presence
cc du producteur ou de son representant, a la prise d'echantillons
cc dans des cuves qui ont ete designees par le producteur dans
cc sa declaration prevue au paragraphe A ci-dessus.
« Les echantillons sont preleves cuve par cuve dont le contenu
cc ne doit faire I'objet d'aucun melange apres labellisation.
cc Toutefois, tout producteur disposant d'un lot homogene
cc constitue de plusieurs cuves pourra, s'i! le juge utile, solliciter
cc I'autorisation de proceder au melange de leur contenu apres
cc labellisaton. Dans ce cas, la commission appreciera le. suite a
« donner a cette de made sur le vu, notamment, des resultats des
« examens analytiques et organoleptiques.
cc Les echantillons sont etiquetes et cachetes en presence du
« producteur suivant la procedure en vigueur».
Les echantillons sont preleves en neuf bouteilles d'au moins 75
centilitres :
-2 echantillons sont remis pour analyse a I'un des
iaboratoires d!anaiyse vises a i'articie 21 (2° aiinea) du decret
precite n° 2-75-321 du 25 chaabane 1397 (12 aout 1977);
- 3 echantillons sont presentes a la commission nationale viti
vinicole pour degustation;
- 2 echantillons sont conserves par le producteur:
-2 echantillons sont gardes en reserve, par la division de la
repression des fraudes.
(1) B.O. n° 3458 du 7 f8vrier 1979. page 83. IP/NI1 IMARlG/2
Page 14
« B'. -(Arrete du 3 janvier 1979)(1). -Les echantillons presentes
« pour degustation sont soumis a un comite de degustation dont
« les membres sont designes annuellement, par le ministre de
« I'agriculture sur proposition de la commission nationale
« viti-vinicole.
cc Le mandat du degustateur est renouvelable.
« En fonction du nombre d'echantillons El examiner, le comite
« de degustation peut etre subdivise en sous-comites comprenant
« chacun, au minimum, trois membres.
« Toutes les degustations sont faites dans un local specialement
« amenage El cet effet.
« Le reglement interieur du comite de degustation qui precisera
« notamment la procedure et les methodes de degustation est
« approuve par la commission nationale viti-vinicole».
« C. -(Arrete du 17 septembre 1986)(2). La commission
« nationale viti-vinicole qui doit donner son avis sur I'attribution
« du label au produit presente est reunie, par son president,
cc dans la 2eme quinzaine du mois de mars.
« (Arrete du 20 decembre 1996) (3). -Toutefois, la commission
designe, en son sein, un comite de six « membres, dont trois
representnats de la profession, qui se reunit :
« 1 ° Au cours de la premiere semaine du mois d'octobre pour
cc du qualificatif (cpremier)~ ou ccnouveau»;
cc 2° A titre exceptionnel et El la demande de la profession,
(c dans la deuxieme quinzaine du mois de decembre pour
cc I'attribution des labels d'appellation d'origine aux vins
«presentes dans les conditions definies au present article.»
(1) B.O. n° 3458 du 7 fevrier 1979, page 83.
(2) B.O. n° 3862 du 5 Novembre 1986. page 329.
(3) B.O. n° 4458 du 20 fevii8i 1996, page 155. IP/N/lIMARlG/2
Page 15
« -La commission ou le co mite peut reserver sa decision
« lorsqu'il estime necessaire de verifier, au prealable,
C( I'authenticite des renseignements fournis par le producteur
« dans sa demande d'attribution du label».
« o. -(Arrete du 17 septembre 1986)(2). -Les decisions du
« comite doivent etre immediatement notifiees, celles de la
« commission peuvent /'etre jusqu'au 15 avril suivant la recolte.
« Ces decisions sont notifiees par la division de la repression
« des fraudes.
« A la decision d'attribution est annexe le label, lequel est
« efabli sous la forme d'un document ecrit, numerote et date
« dont le modele est arrete par la commission nationale
« vitivinicole et approuve par le ministre charge de I'agriculture;
« il doit comporter toutes les indications necessaires pour
« permettre I'identification du vin concerne; iI doit etre signe par
« le president de la commission nationale viti-vinicole.
« Le label est accompagne de la copie du bulletin de I'analyse
« du vin preleve et doit comporter un numero de reference.
« Les numeros de reference du label et de I'analyse doivent
« figurer sur les documents de circulation accompagnant les
« vins concernes»,
« D'. -(Arrete du 3 janvier 1979)(3). -En cas de retus du label,
« la decision est notifiee a /,interesse avant le 15 avril avec le
« motif du retus. Le producteur peut dans les 30 jours qui suivent
« celui de la notification, a peine de forclusion, demander un
« nouvel examen. Cet examen se fait a partir des deux
« echantillons temoins qu'iI detient.»
E-Le label est retire lorsque le vin labellise est reconnu non
conforme a I'analyse (initiale) ayant permis I'attribution du label.
F-La division de la repression des fraudes delivre au
(2) B.O. n° 3862 du 5 Novembre 1986. page 329.
(3) B.O. n° 3458 du 7 fevrier 1979. page 83. IP/N/l/MARlG/2
Page 16
producteur ayant obtenu le label un carnet de titres de
mouvement a souches, qui doivent porter la denomination de
I'appellation d'origine attribuee au vin ainsi que les numeros de
la derniere analyse et du label de reference.
TITRE VII
De la commission nationale viti-vinicole
Art.9. -La commission nationale viti-vinicole instituee par
I'article 12 du decret n° 2-75-321 du 25 chaabane 1397 (12
aoUt 1977) a son siege au ministere charge de I'agriculture
(division de la repression des fraudes).
Elle a pour objet d'instruire les demandes d'attribution de
labels d'appellation d'origine et de proposer, au ministre charge
de I'agriculture, I'octroi desdits labels.
En vue de cette proposition, la commission doit juger les
qualites organoleptiques des vins, controler I'authenticite de
leur origine, verifier la conformite de leur production. A cette fin,
elle est habilitee a controler :
-I'encepagement des vignobles;
-leur delimitation;
-leur surface;
-leui appartenance aux aires geog raphiques d'appe
lIation;
-leur production;
-les moyens de culture employes;
-les pratiques de vinification utilisees;
-I'analyse des vins produits;
afln de verifier !eur conformite avec la reglementation relative aux productions de vins a appellation d'origine. IP/NI1 IMARlG/2
Page 17
-decider du c!assement des vins produits dans un terroir
determine;
-donner son avis sur toutes les questions de viticulture qui lui
sont soumises par le ministre charge de I'agriculture.
« Art. 10. -(Arrete du 3 janvier 1979)(1). -La commission
cc nationale viti-vinicole est composee des menbres suivants :
cc -le ministre charge de I'agriculture. president;
« -le directeur de la mise en valeur agricole ou son
« representant;
« -le directeur de la recherche agronomique ou bien
« representant;
«-le directeur de I'enseignement agricole et de la formation
cc professionnelle ou son representant;
« -le chef de la division de la repression des fraudes ou son
« representant;
« -le chef de la division des affaires economiques ou son
« representant;
cc -un representant du ministre des finances (douanes);
« -un representant du ministre charge du commerce;
« -un representant de I'office de commercialisation et
d'exportation;
« -Trois representants de la profession designes nommement
cc pour une periode de 3 ans, renouvelable par "association des
« producteurs de raisins au Maroc (ASPRAM);
(1) R 0 n° ~4"Q r1U 7 fe'''n'''r "979 ~~--8" \ _. • I 'V vv...... I I V I 'C' , I ,J.JClyt: v. IP/NI1 IMARlGI2
Page 18
« -un degustateur designe par le comite de degustation.
«-le president peut convoquer toute personne dont la
« participation aux travaux de la commission est jugee utile.»
Art. 11. -Le reglement interieur de la commission nationale
viti-vinicole est approuve par le ministre charge de I'agriculture.-
Le secretariat de la commission est assure par la division de
la repression des fraudes.
TITRE VIII
Des autres produits vinicoles
Art. 12. -Les mistelles. vermouths, vins aromatises et tout
autres produits vinicoles peuvent beneficier du regime des
appellations d'origine garantie ou contr61ee dans les memes
conditions que celles prevues pour les vins, dans le cadre des
procedes de fabrication et des normes analytiques propres a
chacun des produits.
TITRE IX
Art. 13. -Le present arrete sera publie au Bulletin Officiel.
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. /.WORLD TRADE
ORGANIZATIONG/SPS/N/USA/624
29 July 2002
(02-4195)
Committee on Sanitary and Phytosanitary Measures Original: English
NOTIFICATION OF EMERGENCY MEASURES
1. Member to Agreement notifying: UNITED STATES
If applicable, name of local government involved:
2. Agency responsible: Department of Agriculture, Animal and Plant Health Inspection
Service – APHIS
3. Products covered (provide tariff item number(s) as specified in national schedules
deposited with the WTO; ICS numbers should be provided in addition, where
applicable): Mediterranean Fruit Fly (Medfly) host material such as citrus fruits
4. Regions or countries likely to be affected, to the extent relevant or practicable:
Regions or countries where Mediterranean Fruit Fly is found.
5. Title, language and number of pages of the notified document: Evaluation of cold
storage treatment against Mediterranean Fruit Fly Ceratitis Capitata (Wiedeman)(Diptera:Tephritidae) (6 pages, available in English)
6. Description of content: The Animal and Plant Health Inspection Service (APHIS) is
modifying its existing cold treatment schedule (T107-a) used to treat imported fruits,
including citrus, to control Mediterranean Fruit Fly. For all temperatures provided in the
treatment schedule, the length of treatment required shall be extended by two days. For
example, where the schedule currently calls for a treatment of 16 days at temperatures at orbelow 36 degrees Fahrenheit (2.22 degrees Celsius), the revised schedule will require
treatment for 18 days. Other treatment schedules (T107-c, and T107-f) will no longer be
authorized for treatment of Mediterranean Fruit Fly. A new treatment schedule, T107-a-1,
has been authorized to treat commodities for Medfly and Anastrepha sp. other than A.
ludens. Additional information is available on the APHIS web page athttp://www.aphis.usda.gov/ppq/pim/coldtreatment.htm . The Treatment Manual is available
on the APHIS web page, at http://www.aphis.usda.gov/ppq/manuals/online_manuals.html .
APHIS is taking this action because of evidence that the current cold treatment parameters
are insufficient for controlling high larval populations and may result in fruit fly survivors.
7. Objective and rationale: [ ] food safety, [ ] animal health, [ X ] plant protection,
[ ] protect humans from animal/plant pest or disease, [ ] protect territory from other
damage from pests
8. Nature of the urgent problem(s) and reason for urgent action: This action is necessary
to prevent introduction of the Medfly into the United States.
9. International standard, gu ideline or recommendation:
[ ] Codex Alimentarius Commission, [ ] Office International des Epizooties,
[ X ] International Plant Protec tion Convention, [ ] None
If an international standard , guideline or recommendation exists, give the appropriate
reference and briefly identify deviations:G/SPS/N/USA/624
Page 2
10. Relevant documents and language(s ) in which these are available: Notice from APHIS
dated 23 July 2002 and Evaluation of cold storage treatment against Mediterranean Fruit
Fly Ceratitis capitata (Wiedeman) (Diptera:Tephritidae) noted in paragraph 5. An interim
rule will be published shortly in the Federal Register.
11. Date of entry into force/period of application (as applicable): This action is effective
upon publication of this notification by the WTO.
12. Agency or authority designated to handl e comments: [ ] National notification
authority, [ ] National enquiry point, or address, fax number and E-mail address (if
available) of other body: Animal and Plant Health Inspection Service
The comment period will be detailed when the interim rule is published in the Federal
Register. The six page evaluation noted above is available upon request to the address in
paragraph 13.
13. Texts available from: [ X ] National notification authority, [ X ] National enquiry point,
or address, fax number and E-mail address (if available) of other body:
United States SPS Enquiry Point/Notification Authority
USDA/FAS/FSTSD
ATTN: Carolyn F. Wilson
Room 5545 South Agriculture Building
Stop 1027
1400 Independence Avenue, S.W.
Washington, D.C. 20250
Phone: (202) 720-2239Fax: (202) 690-0677
E-mail Address: [email protected]
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ORGANISATION MONDIALE
DU COMMERCEWT/DS273/1
G/L/579G/SCM/D50/1
24 octobre 2002
(02-5847)
Original: anglais
CORÉE – MESURES AFFECTANT LE COMMERCE DES NAVIRES
DE COMMERCE
Demande de consultations présentée par les Communautés européennes
La communication ci-après, datée du 21 octobre 2002, adressée par la Délégation permanente
de la Commission européenne à la Mission permanente de la Corée et au Président de l'Organe de
règlement des différends, est distribuée conformément à l'article 4:4 du Mémorandum d'accord sur le
règlement des différends.
_______________
Les Communautés européennes (CE) demandent l'ouverture de consultations avec le
gouvernement de la République de Cor ée (Corée) conformément à l'article 4 du Mémorandum
d'accord sur les règles et procédures régissant le règlement des différends (Mémorandum d'accord), à
l'article XXIII:1 de l' Accord général sur les tarifs douaniers et le commerce de 1994 (GATT de 1994)
et aux articles 4, 7 et 30 de l' Accord sur les subventions et les mesures compensatoires (Accord SMC )
au sujet des mesures affectant le commerce des navires de commerce.
Les Communautés européennes considèrent que les mesures ci-après établissent des
subventions qui sont incompatibles avec les obligations de la Corée au titre de l' Accord SMC :
• La Corée, par le biais de banques détenues et contrôlées par l'État, a accordé des
subventions à la restructuration d'entreprises sous la forme d'annulations etd'allégements de dettes, de bonifications d'intérêts et de conversions de dettes en
prises de participation. Ces subventions ont été accordées à au moins trois chantiers
navals (Daewoo Shipbuilding and Marine Engineering, Samho Heavy Industries,
Daedong Shipbuilding Co).
• La Loi sur le contrôle des régimes fiscaux spéciaux, et plus particulièrement le
programme d'imposition spéciale des apports en nature (article 38) et d'imposition
spéciale des cessions d'actifs (article 45-2), établit deux programmes fiscaux
applicables uniquement aux entreprises en cours de restructuration et dans le cadre
desquels des avantages fiscaux ont été accordés à Daewoo; l'avantage combiné deces programmes est estimé à 78 milliards de won.
• La Banque coréenne d'export-import ("KEXIM"), détenue par l'État, accorde à tous
les chantiers navals coréens i) des prêts avant expédition , c'est-à-dire des prêts avant
livraison à des taux préférentiels destinés à financer les coûts de production de laconstruction navale liés aux contrats d'exportation, comme le coût des matières
premières et de la main-d'œuvre et les frais généraux jusqu'à la livraison des navires,
ainsi que ii) des garanties de restitution des paiements anticipés , c'est-à-dire uneWT/DS273/1
G/L/579
G/SCM/D50/1
Page 2
garantie assortie de taux de prime préférentiels, qui permet à un acheteur étranger de
se faire restituer tous paiements anticipés effectués auprès d'un chantier naval coréen,
y compris les intérêts accumulés sur ces paiements anticipés, dans le cas où lechantier naval coréen ne s'acquitte pas de ses obligations dans le cadre du contrat
d'exportation correspondant.
• Les subventions en question ont été accordées pour la production de navires de
commerce destinés au commerce international, y compris: vraquiers,porte-conteneurs, pétroliers, transporteurs de produits et de produits chimiques,
transporteurs de GNL/GPL, transbordeurs à passagers et navires rouliers et autres
navires non destinés au transport de marchandises (y compris les unités au large).
• Les entreprises de construction navale coréennes qui ont bénéficié de ces subventions
incluent Samho Heavy Industries, Daed ong Shipbuilding Co., Daewoo Shipbuilding
and Marine Engineering, Hyundai Heavy Industries, Hyundai Mipo, Samsung Heavy
Industries et Hanjin Heavy Industries & Construction Co.
Les Communautés européennes considèrent que les mesures coréennes contreviennent aux
obligations de la Corée au titre de l' Accord SMC , en particulier, mais pas nécessairement
exclusivement, les dispositions suivantes:
- Les articles 3.1, 1
er et 2 de l' Accord SMC parce que, entre autres choses, les garanties
de restitution des paiements anticipés et les prêts avant expédition accordés par laKEXIM sont des subventions spécifiques au sens des articles 1
er et 2 de l' Accord SMC
et sont de jure subordonnés aux exportations.
- Les articles 5 a), 1er et 2 de l' Accord SMC , parce que, entre autres choses, les mesures
de restructuration des entreprises et les avantages fiscaux sont des subventionsspécifiques au sens des articles 1
er et 2 de l' Accord SMC et qu'une évaluation de tous
les facteurs économiques pertinents a montré que leurs effets causent un dommage à
la branche de production communautaire, en particulier sur le marché des
porte-conteneurs et des transporteurs de produits et de produits chimiques.
- Les articles 5 c), 1er, 2 et 6.3 et 6.5 de l' Accord SMC , parce que, entre autres choses,
les mesures de restructuration des entreprises et les avantages fiscaux sont dessubventions spécifiques au sens des articles 1
er et 2 de l' Accord SMC et causent un
préjudice grave aux intérêts des Communautés européennes, en particulier parce
qu'ils se traduisent par une sous-cotation notable des prix ou qu'ils ont pour effet
d'empêcher des hausses de prix ou de déprimer les prix ou de faire perdre des ventes
dans une mesure notable, en particulier sur le marché des porte-conteneurs et destransporteurs de produits et de produits chimiques.
Les CE attendent la réponse du gouvernement coréen à la présente demande et souhaitent
qu'une date et un lieu mutuellement acceptables puissent être fixés pour engager les consultations.WT/DS273/1
G/L/579
G/SCM/D50/1
Page 3
Exposé des éléments de preuve disponibles
Programmes de la KEXIM
i) Prêts avant expédition
ii) Garanties de restitution des paiements anticipés
- La LOI KEXIM et son Décret d'application
- États financiers de la KEXIM 1997-1999- Manuel de la KEXIM concernant les programmes de financement
- Réponse du gouvernement coréen au questionnaire
- Réponse de Samho Heavy Industries au questionnaire
- Réponse de Daewoo Shipbuilding and Marine Engineering au questionnaire- Réponse de Samsung Heavy Industries au questionnaire
- Réponse de Hanjin Heavy Industries & Construction Co. au questionnaire
- Réponse de Hyundai Heavy Industries au questionnaire
- Réponse de Hyundai Mipo au questionnaire
- Annulations de dettes, conversions de dettes en prises de participation et bonifications
d'intérêts par les banques détenues et contrôlées par l'État
- Lettre d'intentions (matrice du FMI concernant les politiques) de la République de Corée au
FMI datée du 3 décembre 1997
- Lettre d'intentions (matrice du FMI concernant les politiques) de la République de Corée au
FMI datée du 24 décembre 1997
- Lettre d'intentions (matrice du FMI concernant les politiques) de la République de Corée au
FMI datée du 7 février 1998
- Lettre d'intentions (matrice du FMI concernant les politiques) de la République de Corée au
FMI datée du 2 mai 1998
- Lettre d'intentions (matrice du FMI concernant les politiques) de la République de Corée au
FMI datée du 24 juillet 1998
- Lettre d'intentions (matrice du FMI concernant les politiques) de la République de Corée au
FMI datée du 24 septembre 1998
- Lettre d'intentions (matrice du FMI concernant les politiques) de la République de Corée au
FMI datée du 13 novembre 1998
- Lettre d'intentions (matrice du FMI concernant les politiques) de la République de Corée au
FMI datée du 10 mars 1999
- Lettre d'intentions (matrice du FMI concernant les politiques) de la République de Corée au
FMI datée du 24 novembre 1999
- Lettre d'intentions (matrice du FMI concernant les politiques) de la République de Corée au
FMI datée du 12 juillet 2000
- Mémorandum d'accord avec la Ba nque mondiale daté du 23 juillet 1998
- Mémorandum d'accord avec la Banque mondiale daté du 18 novembre 1999
- Participations du gouvernement coréen dans les établissements financiers
- Accord sur la restructuration des entreprises du 25 juin 1998, y compris son règlement
d'application et ses directives opérationnellesWT/DS273/1
G/L/579
G/SCM/D50/1
Page 4
- Réponse du gouvernement coréen au questionnaire
- Réponse de la Banque coréenne de développement au questionnaire
- Réponse de la Banque de change coréenne au questionnaire
DSME- Accord global sur la restructuration de Daewoo Heavy Industries daté du 20 janvier 2000
- Programme de cession d'actifs de DHI daté du 12 mai 2000 (exécuté le 23 octobre 2000)
- Décision du Comité des établissements financiers créanciers du 4 décembre 2000
- Réponse de Daewoo Shipbuilding and Marine Engineering au questionnaire- États financiers vérifiés 1997 à 2000
Samho- Programme de restructuration de l'entreprise daté du 22 octobre 1998
- Programme de restructuration de l'entreprise révisé daté du 9 août 1999
- Réponse de Samho Heavy Industries au questionnaire
- États financiers vérifiés 1997 à 2000
Daedong- Programme de liquidation de Daedong, Tribunal de district de Séoul
Programmes fiscaux
Loi sur le contrôle des régimes fiscaux spéciaux du 1
er janvier 1999 et son Décret d'application
Effets défavorables
- Rapports mensuels de la Commission sur la surveillance du marché pour la période
d'avril 1999 à décembre 2001 inclus.
- Rapport de l'OCDE intitulé "Évolution récente des prix des navires neufs" C/WP6(2002)6,
25.03.2000, page 7.
- Lloyd's register list of shipping – données concernant le marché.
- Réponses des chantiers navals ci-après de l'UE au questionnaire:
G. Assereto Fincantieri - IT;
Astilleros Españoles Group - IZAR Construcciones Navales - ES;
Aker Finnyards Oy - FIN;
Ørskov Staalskibsvaerft A/S - DK;
Odense Steel Shipyard Ltd. - DK;
ALSTOM Chantiers de l'Atlantique - F;SSW Fähr-und Spezialschiffbau GmbH - D;
Lloyd Werft Bremerhaven GmbH - D;
J.L. Meyer GmbH - D;
Blohm&Voss GmbH - D;
Volkswerft Stralsund - GmbH - D;Peene-Werft GmbH - D;
Lindenau GmbH - D;
Thyssen Nordseewerke - GmbH - D;
Kvaerner Warnow Werft GmbH - D;WT/DS273/1
G/L/579
G/SCM/D50/1
Page 5
Aker MTW Werft GmbH - D;
Kröger Werft GmbH&Co.KG - D;
Flender Werft AG - D;Flensburger Schiffbau- GmbH&Co.KG - D;
Howaldtswerke-Deutsche Werft AG - D;
Merwede - NL.
__________
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PRESS RELEASE
PRESS/365
6 November 2003
(03-5956)
OFFICE OF THE DIRECTOR-GENERAL
Harbinson will give up Agriculture Committee Chair
Stuart Harbinson, Director of the Office of WTO Director-General Supachai Panitchpakdi,
announced today that he intends to give up the chairmanship of the agriculture negotiations.
Mr. Harbinson, formerly the permanent representative of Hong Kong, China to the WTO, was
chosen by WTO Member Governments in February 2002 to chair the Committee on Agriculture inSpecial Session. He was subsequently selected by Director-General Supachai to serve as his chief
of staff later that same year and assumed the post in September 2002. In announcing his
decision, Mr. Harbinson said however that he recognized the need for continuity and said he wouldcontinue to serve Member Governments as the agriculture chairman until a successor was
selected.
"Chairing the agriculture negotiations has been extremely challenging and rewarding. In practice it
has been possible to combine the chairmanship with my other duties. However, we are now
entering a new phase in the agriculture negotiations and I think a new chairperson may be betterable to bring the fresh perspective which we now need. I believe I did what I had to do as
chairman over the past 18 months given the mandate issued by Ministers at the 2001 Doha
Ministerial Conference. I have no regrets but it is now time for someone else to take up thebanner," he said.
END
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WORLD TRADE
ORGANIZATIONWT/MIN(99)/ST/4
30 November 1999
(99-5192)
MINISTERIAL CONFERENCE
Third SessionSeattle, 30 November - 3 December 1999Original: English
FINLAND
Statement by H.E. Mr. Kimmo Sasi
Minister for Foreign Trade on behalf of the Presidency
of the Council of the European Union
On behalf of the Presidency of the European Union, I would like to congratulate you on your
election as Chairman of the Conference. Through you, I would like to thank the United States, the
City of Seattle and all the organisers of this Conference for their warm hospitality.
Our thanks go also to the Chairman of the WTO General Council, and to our new Director-
General and his staff for their hard work in preparing for this Conference.
I have the pleasure in taking the floor imme diately after Commissioner LAMY who has just
addressed you on the EU objectives for this Conference. Allow me to complement his intervention bymaking some remarks.
The WTO is a celebrity. It has caught the attention of the public opinion because it addresses
not only border measures but also internal policies, and because of the impact of its Dispute
Settlement Mechanism. Like every celebrity, the WTO is either praised or criticized for its action and
finds itself in the limelight of the debates on the effects of globalization. The presence here in Seattle
of numerous NGOs and journalists is a clear demonstration of this celebrity.
The WTO is the creation of its Members. We Ministers should not be too shy of that fact.
We can be proud of the achievements of the multilateral trading system. The WTO is a forum for
cooperation and solidarity among countries with different cultures, mentalities and levels of
development. It is an indispensable vehicle for expansion of world trade which contributes toeconomic growth, job creation and stimulation of innovation. WTO is a powerful engine for
promoting market-oriented economies, trade liberalization and a more stable and predictable world
economy. It is a pool of attraction with its present membership of 135 countries and a further large
number of other countries being in the accession process.
Governments have the responsibility of looking into the future. One expects from them a
clear vision of the new opportunities and challenges of the 21
st century in the age of the information
society. Our common responsibility during the coming days here in Seattle is to demonstrate that we
have this sense of vision. We have to keep pace with rapid economic and social changes as well as
the technological revolution we are witnessing today. We have to address the legitimate concerns ofour civil societies with regard to unemployment, poverty and marginalization and we have to respond
to their questions about the effects of further tr ade liberalization for the development, environment,
consumer health and social progress.
Our Conference is of fundamental importance. Further liberalization of trade and an effective
set of common rules and principles can be a powerful tool to assist development and enhance world
prosperity. We need to go beyond short-term interests and to deliver by launching a New Round withWT/MIN(99)/ST/4
Page 2
an agenda which shows that we have a long-term strategy for proper and effective management of the
globalization process and which offers equal opportunities for all WTO Members.
In every international negotiation there is a time for discussion and a time for decision. Since
Singapore and Geneva, sufficient time has been spent in discussing in depth the issues at stake. Thispreparatory process has been of extreme value with an intensive dialogue and very active participation
of the developing countries. It is now up to us, Mi nisters, to take the political decisions by showing
courage, determination and flexibility on all sides to settle the remaining open questions with a view
to achieving a positive and balanced agenda. It is not my intention to re-explain the EU
comprehensive approach, which is well known. I would like to limit myself to emphasizing some
parameters of crucial importance for our work in the coming days:
(a) Firstly, we should not miss the target. We are here to open the door of the New Round. We
are in the starting blocks and not in the final sprint of the content of possible solutions. To be
concrete, our collective task is to set up the agenda for the New Round, and to define the
framework of the negotiations. Our task is not to pre-empt the final outcome of these
negotiations.
(b) Secondly, we should aim at a stronger and more predictable WTO. A static WTO or a
moratorium on negotiations are non-starters. If we remain passive we run the risk of falling
back to protectionism and unilateral actions. Preserving of the status quo would freeze the
current, in some respects unsatisfactory situation and prevent improvements. History hasshown the disastrous effects of such inward-looking policies.
The EU is firmly in favour of a dynamic WTO. Yes, the EU is fully committed to the built-in
agenda and to further trade liberalization. But the EU is equally strongly attached to the
strengthening of WTO rules and disciplines. Improved market access alone is not sufficientto provide increased transparency, fairness and predictability. It has to be supported by
multilateral regulations by developing a framework of rules also in new areas, such as
investments or competition. For example, securing of a stable and predictable climate for
investment world-wide would be for the be nefit of all WTO Members, including the
developing countries. The WTO system can also be improved by clarifying, completing, or,
where necessary amending the existing rules, for instance concerning the precautionary
principle.
In the same spirit, we need to respect a ba lance between trade and non-trade concerns, for
example in agriculture. Let me be very clear in this sensitive issue. The EU is fully
committed to Article 20 of the Marrakesh Agreement on Agriculture in all its elements. The
EU is prepared to contribute to the further refo rm of international trade in agriculture but will
not give up the multifunctional character of its Common Agricultural Policy. Success in
Agriculture is not achieved by revolutions but by progressive realistic reforms taking into
account the specificities and constrains of this sector.
(c) Thirdly, we need a better and more equitable WTO. The multilateral trading system has been
set up to serve all the WTO Members. Each of them has a right of ownership for its
functioning and evolution. The fuller integration of developing countries into the system is a
must. The marginalization of LDCs is unacceptable. A development agenda should be part
of the New Round. The EU expects the Confer ence to enter into a commitment to ensure
duty-free market access no later than the end of the Round for essentially all productsexported by the LDCs. We expect a work programme to be built providing for increased
technical assistance and for a coordinated approach to trade-related capacity building. The
EU is also ready to look in a constructive way at issues of genuine concern to the developing
countries with regard to the functioning and implementation of the Uruguay Round
Agreements.WT/MIN(99)/ST/4
Page 3
A better WTO further means a more transparent organization. The WTO cannot be left only
to experts who know more and more about less and less. Our civil societies are entitled to be
informed, to understand what is going on and to be heard with regard to their concerns and
expectations. Such a dialogue has been initiated with the WTO and at home in our countrieswhere the main responsibility for transparency lies. However, more should and will be done
to enhance transparency.
(d) Fourthly, we need a more interactive WTO. The WTO is neither in charge of resolving all
international problems nor responsible for all the evils of the earth. Its main competence lies
with trade. But, in an interdependent world, the WTO cannot work in isolation. Stronger
bridges between the WTO and other relevant international organizations are needed to ensurethe necessary coherence of action at international level. The New Round should maximize
the potential for positive synergies between trade liberalization, environmental protection and
economic development. A close cooperation between the ILO and WTO on the issue of trade
and labour rights would be a promising way. In this context the EU has proposed the creation
of a joint ILO/WTO Standing Working Forum on trade, globalization and labour issues. Inthe same spirit, complementarity of action should be encouraged between the WTO and other
organizations, such as the Bretton Woods Institutions, to enhance capacity building in the
developing countries.
The coming days will be decisive for the development of the WTO multilateral system into
the first years of the new millennium. The time is short and the task ahead of us is not easy.
However, I am convinced that by joining our efforts we can still make this meeting a success.
__________
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. /.WORLD TRADE
ORGANIZATIONG/SPS/N/USA/646
17 October 2002
(02-5669)
Committee on Sanitary and Phytosanitary Measures Original: English
NOTIFICATION
1. Member to Agreement notifying: UNITED STATES
If applicable, name of local government involved:
2. Agency responsible: Food and Drug Ad ministration – FDA
3. Products covered (provide tariff item number(s) as specified in national schedules
deposited with the WTO; ICS numbers should be provided in addition, where
applicable): Fruit and vegetable juice
4. Regions or countries likely to be affected, to the extent relevant or practicable:
Trading partners
5. Title, language and number of pages of the notified document: Draft Guidance for
Industry: Juice HACCP Hazards and Controls Guidance, First Edition
6. Description of content: FDA has issued a draft guidance document to assist juice
processors in complying with the recently enacted requirements (21 CFR Part 120) that
they establish in-plant programs based upon the principles of HACCP (Hazard Analysis
Critical Control Points) to identify and contro l potential food safety hazards in their juice
processes. The draft guidance document presents information on microbiological,
chemical and physical hazards that may potentially occur in juice, and identifies controlmeasures for these hazards that processors may incorporate into their HACCP plans to
prevent, reduce or eliminate such hazards. FDA plans to issue a final guidance document
after considering public comment on the draft guidance.
7. Objective and rationale: [ X ] food safety, [ ] animal health, [ ] plant protection,
[ ] protect humans from animal/plant pest or disease, [ ] protect territory from other
damage from pests
8. International standard, gu ideline or recommendation:
[ ] Codex Alimentarius Commission, [ ] Office International des Epizooties,
[ ] International Plant Prot ection Convention, [ X ] None
If an international standard , guideline or recommendation exists, give the appropriate
reference and briefly identify deviations:
9. Relevant documents and language(s ) in which these are available: Notice of availability
in 67 FR 57829 and "Draft Guidance for I ndustry: Juice HACCP Hazards and Controls
Guidance, First Edition", available in English
10. Proposed date of adoption: This guidance is applicable upon issuance of the final
guidance.G/SPS/N/USA/646
Page 2
11. Proposed date of entry into force: This guidance is applicable upon issuance of the final
guidance.
12. Final date for comments: Submit written or electronic objections by 12 November 2002.
The full text, which includes instructions for submitting objections and requests forhearing, will be sent upon request to the address in paragraph 13.
Agency or authority designated to handle comments: Food and Drug Administration
[ ] National notification authority, [ ] National enquiry point, or address, fax number
and E-mail address (if available) of other body: Submit written comments on the
document to the Dockets Management Branch (HFA-305), Food and Drug Administration,
5630 Fishers Lane, rm. 1061, Rockville, MD 20852, U.S.A. It is possible to submit
electronic comments to: http://www.fda.gov/dockets/ecomments . Submit comments by
indicating DOCKET No. 02D-0333 and Title of document I Draft Guidance for Industry:
Juice HACCP Hazards and Controls Guidance, First Edition: Availability.
13. Texts available from: [ X ] National notification authority, [ X ] National enquiry
point, or address, fax number and E-mail address (if available) of other body:
United States SPS Enquiry Point / Notification Point
Mr. William Janis
U.S. Department of Agriculture
Stop 1027
Washington, DC 20250
Tel: (202) 720-9047Fax: (202) 720-0677
E-mail: [email protected]
Complete text can be also be found on the Internet
http://www.fda.gov/ohrms/dockets/default.htm by looking under DOCKET No. 02D-0333.
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ORGANIZACIÓN MUNDIAL
DEL COMERCIOG/ADP/Q1/CHN/17
G/SCM/Q1/CHN/17
7 de mayo de 2003
(03-2442)
Comité de Prácticas Antidumping
Comité de Subvenciones y Medidas CompensatoriasOriginal: inglés
NOTIFICACIÓN DE LEYES Y REGLAMENTOS DE CONFORMIDAD
CON EL PÁRRAFO 5 DEL ARTÍCULO 18 Y EL PÁRRAFO 6 DEL
ARTÍCULO 32 DE LOS ACUERDOS CORRESPONDIENTES
Respuestas a las preguntas formuladas por la ARGENTINA1
en relación con la notificación de CHINA2
Se ha recibido de la Misión Permanente de China la siguiente comunicación, de fecha 30 de
abril de 2003.
_______________
Pregunta 1
Diversos artículos mencionan las competencias del Ministerio de Comercio Exterior y de
Cooperación Económica y de la Comisión de Comercio y Economía del Estado.
¿Puede la delegación de China aclarar las funciones específicas de ambos organismos y
cuál es la relación y la comunicación entre ellos?
Respuesta
Con arreglo al Reglamento, el Ministerio de Comercio Exterior y Cooperación Económica
(MOFTEC) está a cargo de la investigación y determinación del dumping. La Comisión Estatal de
Economía y Comercio (SETC) es responsable de la investigación y determinación del daño. Despuésde la reciente reestructuración del Gobierno, en marzo del presente año, el nuevo Ministerio de
Comercio será responsable de ambas competencias.
Pregunta 2
En el artículo 7 se mencionan las investigaciones que se refieren a productos agrícolas.
¿Podría aclarar cómo se realiza la investigación conjunta con el Ministerio de
Agricultura?
1 G/ADP/Q1/CHN/13 - G/SCM/Q1/CHN/13.
2 G/ADP/N/1/CHN/2.G/ADP/Q1/CHN/17
G/SCM/Q1/CHN/17
Página 2
Respuesta
Sí se realiza una investigación relativa a un producto agrícola, el Ministerio de Agricultura
facilitará apoyo tecnológico y análisis de la información para informar acerca del daño o amenaza dedaño a la rama de producción nacional.
Pregunta 3
En el artículo 8 se mencionan los factores de daño que deben ser examinados. Al
referirse a la amenaza de daño no se señalan cuáles factores deben ser tenidos en cuenta.
¿Podría aclarar la delegación de China cuáles son estos factores?
Respuesta
El artículo 7 del Reglamento sobre la investigación y determinación del daño a una rama de
producción nacional en materia antidumping (G/ ADP/N/1/CHN/2/Suppl.2) contiene las disposiciones
siguientes:
En la determinación de amenaza de daño importante causado a una rama de producción
nacional por la existencia de dumping se examinarán los siguientes factores:
1) el incremento y la posibilidad de incrementos significativos del volumen de
importaciones objeto de dumping;
2) los efectos significativos de retención o disminución del precio de un producto
nacional similar que puedan causar las importaciones objeto de dumping, o la
posibilidad de que tales efectos se produzcan;
3) la capacidad de producción, la capacidad de exportación, la capacidad de producción
y de exportación potencial futura de los productores y de los productores vinculados
en los países (regiones) exportadores o países (regiones) de origen de las
importaciones objeto de dumping;
4) la evolución de las tendencias de las existencias de los países (regiones) exportadores,
países (regiones) de origen, y las de los productores y los productores vinculados de
las importaciones objeto de dumping;
5) los efectos y los posibles efectos de las importaciones objeto de dumping en la rama
de producción nacional;
6) las consecuencias del dumping en el mercado de un tercer país (región), derivadas de
las importaciones objeto de dumping;
7) otros factores.La determinación de la existencia de una amenaza de daño importante se basará en hechos y
no simplemente en alegaciones, conjeturas o posibilidades remotas.G/ADP/Q1/CHN/17
G/SCM/Q1/CHN/17
Página 3
Pregunta 4
¿Podría explicar a qué se refiere en el artí culo 10 como "separate identification of the
domestic production of the like product"?
Respuesta
Significa que cuando la autoridad investigadora evalúa los efectos de las importaciones objeto
de dumping, "la producción nacional del producto similar" se considerará el primer factor de
importancia.
Pregunta 5
¿Puede explicar la delegación china a qué se refiere en el artículo 13 cuando menciona
"organización relevante", así como tambié n qué otras partes pueden solicitar una
investigación?
Respuesta
En el sistema jurídico chino, la expresión "organización relevante" abarca diferentes tipos de
organizaciones. Algunas tienen personalidad jurídica y otras no. Si no se hace referencia a otrasorganizaciones relevantes, la disposición incluye en la condición de partes interesadas a las
asociaciones comerciales o a los sindicatos.
Pregunta 6
¿Podría explicar en el artículo 21 qué se entiende por "facts already known"?
Respuesta
La expresión "los hechos ya conocidos", que figura en el artículo 21, equivale a la expresión
"los hechos de que se tenga conocimiento" que figura en el párrafo 8 del artículo 6 y el Anexo II del
Acuerdo Antidumping.
Pregunta 7
Artículo 22: ¿Puede la delegación de China informar si utiliza el sistema de
"Administrative Protective Orders" o un sistema similar que facilite el acceso a los abogadosy/o representantes de las contrapartes de la información declarada confidencial?
Respuesta
En China no existen "las órdenes de protección administrativa" o un sistema similar. La
información confidencial es de uso exclusivo de la autoridad investigadora. No se permite el acceso a
la información confidencial al representante legal de partes que no sean la que la presentó.
Pregunta 8
¿Podría explicar cómo se lleva a cabo la notificación de los hechos esenciales que se
menciona en el artículo 25?G/ADP/Q1/CHN/17
G/SCM/Q1/CHN/17
Página 4
Respuesta
Los "hechos esenciales" que se mencionan en el artículo 25 son la base de la determinación
definitiva de la autoridad investigadora y constituyen su parte principal.
Pregunta 9
En el artículo 27, inciso 5, ¿podría mencionar ejemplos de cuáles pueden ser otras
circunstancias no apropiadas para continuar la investigación?
Respuesta
En cuanto al inciso 5 del artículo 27 del reglamento, no se ha dado ninguna otra circunstancia
de ese tipo hasta el momento.
Pregunta 10
En relación a las medidas provisionales, ¿podría aclarar cuáles son las "circunstancias
especiales" a las que se refiere el artículo 30 para extender la duración de las mismas a
nueve meses?
Respuesta
En cuanto a las "circunstancias especiales" a las que se refiere el artículo 30, el artículo
correspondiente en el Acuerdo Antidumping establece que cuando las autoridades competentes estén
considerando si procede imponer un derecho infe rior, el período de aplicación de medidas
provisionales puede ampliarse hasta nueve meses. China se acoge a esa posibilidad. No obstante,
hasta el momento, no se ha dado ningún caso como ese.
Pregunta 11
¿Puede explicar la delegación de China cómo se implementa la extensión de la medida a
la que se refiere el artículo 48?
Respuesta
Con arreglo al artículo 29 del Reglamento, la propuesta relativa a la imposición de derechos
antidumping provisionales deberá ser presentada por el MOFTEC, que en la reestructuración hapasado a ser el Ministerio de Comercio (MOC). Sobre la base de dicha propuesta, la Comisión
Arancelaria del Consejo de Estado adoptará una decisión. Por lo tanto, el MOC está facultado para
decidir la extensión de las medidas provisionales según cual sea la situación del caso de que se trate.
Pregunta 12
¿Puede explicar la delegación de China cómo se compatibiliza lo dispuesto en el
artículo 56 con el Acuerdo sobre la OMC?
Respuesta
En cuanto al artículo 56 del reglamento, en la reunión sobre el mecanismo de examen de
transición del Comité de Prácticas Antidumping celebrada el pasado octubre presentamos una
aclaración en el sentido de que hasta el mome nto no se había dado ningún caso de ese tipo.G/ADP/Q1/CHN/17
G/SCM/Q1/CHN/17
Página 5
Pregunta 13
¿Cómo se computan los plazos a los que alude el presente reglamento, como días hábiles
o corridos?
Respuesta
Los plazos a los que se refiere el reglamento se computan como días hábiles.
__________
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RESTRICTED
WORLD TRADE G/ADP/Q1/KOR/11
G/SCM/Q1/KOR/11
ORGANIZATION 20April 1998
(98-1552)
Original: English Committee onAnti-Dumping Practices
Committee onSubsidies andCountervailing Measures
NOTIFICATION OFLAWS AND REGULATIONS UNDER
ARTICLES 18.5AND 32.6OFTHE AGREEMENTS
Reply ofKOREA toFollow-up Question
from CANADA1
Thefollowing communication, dated 12December 1997, hasbeenreceived fromthePermanent
Mission ofKorea.
_______________
Question
Article5.5oftheAnti-DumpingAgreementrequirestheauthoritiestonotifythegovernment
oftheexporting country "after receipt ofaproperly documented application andbefore proceeding
toinitiate aninvestigation". Could Korea please identify thesection ofTheDecree oftheCustoms
Actthatincludes thisrequirement?
Answer
Withregard toyourletterof24November 1997, Iwould liketoinform youthatKorea 'scurrent
anti-dumping legislation, more specifically theDecree oftheCustoms Act,doesnotinclude the
requirement stipulated inArticle 5.5oftheAnti-Dumping Agreement. Nonetheless, itwillbereflected
inthemodification ofthatDecree which isplanned tobemade bytheendofthisyear.
__________
1G/ADP/Q1/KOR/10-G/SCM/Q1/KOR/10
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RESTRICTEDORGANIZACIÓN MUNDIAL
DEL COMERCIOS/FIN/M/29
14 de marzo de 2001
(01-1291)
Comité del Comercio de Servicios Financieros
INFORME DE LA REUNIÓN CELEBRADA EL 29 DE NOVIEMBRE DE 2000
Nota de la Secretaría
1. El Comité del Comercio de Servicios Financieros celebró una reunión el 29 de noviembre
de 2000. El orden del día de la reunión figura en el aerograma WTO/AIR/1446.
Punto A: Aceptación del Quinto Protocolo anexo al Acuerdo General sobre el Comercio de
Servicios, en el que se recogen los resultados de las negociaciones sobre los servicios
financieros
2. El Presidente recordó que en la última reunión las delegaciones de Nigeria, Jamaica y Polonia
habían facilitado algunos datos sobre la situación de los procesos de ratificación en sus países. Desde
entonces, las delegaciones de Kenya y Nigeria habían enviado comunicaciones al Consejo del
Comercio de Servicios, en las que solicitaban la reapertura del Quinto Protocolo anexo al Acuerdo
General sobre el Comercio de Servicios (AGCS) para su aceptación (documentos S/C/W/176 y 177,
respectivamente). Estas solicitudes se examinarían a fin de adoptar una decisión en la reunión delConsejo de 1º de diciembre. Invitó a las delegaciones a hacer observaciones sobre estas solicitudes.
3. El representante de Kenya expresó que le era grato informar al Comité de que el Ministro de
Asuntos Exteriores y Cooperación Internacional había firmado el instrumento de aceptación del
Quinto Protocolo anexo al AGCS el 28 de septiembre de 2000. Su delegación había depositado el
instrumento ante la Secretaría y había solicitado al Consejo del Comercio de Servicios la reapertura
del Quinto Protocolo. Manifestó su agradecimiento por el entendimiento mostrado por los Miembros,
pues los procesos nacionales de ratificación habían tardado más de lo previsto.
4. El representante de Nigeria recordó la declaración que su delegación había formulado en la
reunión de abril del Comité, en la que ésta había informado que la demora experimentada en la
aceptación del Quinto Protocolo obedecía a las circunstancias políticas de Nigeria, que había acudido
a un régimen democrático hacía muy poco tiempo. En esa ocasión, su delegación había asegurado a
los Miembros que, a pesar de las dificultades con que tropezaba en ese momento, Nigeria seguíamanteniendo su compromiso con las obligaciones contraídas en el marco de la OMC y continuaría
haciendo esfuerzos por asegurar que todos los procesos nacionales necesarios para la aceptación del
Protocolo concluyeran en breve plazo. Tenía el placer de informar a los Miembros de que habían
concluido todos los procesos nacionales necesarios y posteriormente se había ratificado el
instrumento. Además, Nigeria había solicitado formal mente la reapertura del Protocolo a la próxima
reunión del Consejo a fin de dar plena legalidad a sus compromisos en el sector de los servicios
financieros. Expresó a los Miembros su agradecimiento por la comprensión mostrada en cuanto a la
duración del proceso nacional de ratificación.
5. La representante de las Comunidades Europeas acogió con satisfacción los anuncios de
Kenya y Nigeria. Su delegación sabía por experiencia que siempre podía tomar más tiempo de lo
previsto reunir los documentos o la legislación. Confiaba en que los Miembros apoyarían laS/FIN/M/29
Página 2
reapertura del Quinto Protocolo y que las acciones de Kenya y Nigeria alentarían a quienes estaban
conduciendo sus propios procesos a completarlos tan rápidamente como fuera posible.
6. El Presidente invitó a los demás Miembros que aún no habían aceptado el Protocolo a
proporcionar cualquier otra información de la que dispusieran sobre la situación de sus procesos
nacionales.
7. El representante del Uruguay hizo referencia a la carta enviada por el Director General de
la OMC, de fecha 19 de septiembre de 2000, relativa a la aceptación del Quinto Protocolo anexo
al AGCS. A este respecto, el 22 de noviembre de 2000, el Ministro de Asuntos Exteriores del
Uruguay había enviado un Memorando en respuesta a la nota del Director General. En esa respuesta
se afirmaba que el poder ejecutivo del Uruguay había enviado nuevamente al Parlamento nacional el
correspondiente proyecto de ley, y había reiterado el carácter prioritario de su adopción.
Actualmente, el proyecto estaba en estudio en la Comisión de Asuntos Internacionales de la Cámarade Representantes. En la respuesta se afirmaba también que el Uruguay estaba dispuesto a seguir
apoyando el proceso de negociaciones sobre servicios en curso en la OMC.
8. El representante de Polonia recordó que, como se había indicado en reuniones anteriores,
había sido necesario modificar la ley de transacciones de valores para dejar expedita la vía para la
ratificación sin dificultades del Quinto Protocolo. La situación en lo concerniente a la enmienda, eraque en octubre la Cámara Baja del Parlamento polaco la había aprobado y presentado a la Cámara
Alta, el Senado. Este último había aprobado la modificación de la ley el 21 de noviembre y, de
conformidad con el procedimiento, debía retornar a la Cámara Baja para su adopción definitiva,
adopción que estaba prevista para las dos semanas siguientes. Después de la firma por el Presidente y
la publicación, sería necesario esperar 14 días para su entrada en vigor. En esa etapa, sería posibleiniciar el procedimiento nacional relativo a la adopción del Quinto Protocolo por parte de Polonia.
9. El Presidente dijo que el Comité tomaría nota de los comentarios hechos en relación con
Nigeria y Kenya, así como de las actualizaciones recibidas de otros dos Miembros. Alentó además a
quienes no habían podido presentar información actualizada al Comité sobre la situación de los
procedimientos de ratificación en sus respectivos países a hacerlo tan pronto como fuera posible.
Punto B: Cuestiones técnicas
10. El Presidente recordó que, en la anterior re unión, el Comité había celebrado un breve debate
sobre este punto. Aunque unas pocas delegaciones habían indicado que estaban estudiando nuevas
actividades posibles y su cobertura en la clasificación contenida en el Anexo sobre Servicios
Financieros, una delegación había expresado reservas en cuanto a la necesidad de revisar las
definiciones contenidas en el Anexo. En ese sentido, la delegación del Japón había planteado la
cuestión de cómo clasificar algunos servicios que habían aparecido con la creación de Internet y larápida proliferación de los sistemas de comercio electrónicos, y había dado ejemplos concretos.
La declaración completa del Japón figuraba en el documento sin signatura Nº 7051, de fecha
7 de noviembre de 2000.
11. El representante del Canadá indicó que se habían planteado ciertas cuestiones interesantes que
aún estaban siendo estudiadas por su delegación. El representante de Hong Kong, China consideró
que, como había declarado el Japón, existían problemas. Por ejemplo, la cuestión de si debía
considerarse como compañías de corretaje de cambios a los sitios Web que ofrecían préstamos o
cotizaciones de tipos sobre los depósitos. Esos sitios Web que actuaban como intermediarios entre los
bancos y los depositantes cumplían funciones de corretaje similares a las de los corredores de cambios
en los mercados interbancarios. En resumen, la cuestión se examinaría más a fondo en una reunióncon miras a determinar algunas medidas que pudieran ayudar a resolver el problema.S/FIN/M/29
Página 3
12. El representante de las Comunidades Europeas afirmó que su delegación estaba estudiando
los comentarios hechos por el Japón; sin embargo, su delegación no estaba segura de que hubiera
nuevos servicios involucrados. Se estaba estudiando este problema desde un punto de vista técnico.
La representante de los Estados Unidos dijo que su delegación también estaba examinando la
declaración del Japón. Ahora bien, la impresión inicial era que las definiciones muy amplias actuales
contenidas en el Anexo sobre Servicios Financieros que muchos países habían utilizado para
programar sus compromisos, así como las amplias definiciones que utilizaban los países para
programar sus compromisos en materia de telecomunicaciones, muy probablemente abarcarían
algunas de las cuestiones planteadas por el Japón. Su delegación desearía evitar todo conflicto entre
la labor del Comité y el debate general que había tenido lugar en el Consejo en relación con la
neutralidad de la tecnología.
13. El representante de Corea expresó el interés de su delegación por los temas relacionados con
las transacciones electrónicas financieras. Actualmente, se estaban revisando los planes pertinentes
de reglamentación y las normas de aprobación para las transacciones electrónicas financieras
desarrolladas recientemente. Considerando que las transacciones electrónicas financieras se hallaban
en sus primeras etapas y se estaban desarrollando a un ritmo extraordinario, sería difícil predecir el
futuro de los servicios financieros electrónicos. Además, no se había llegado a un consenso acerca desi podían incluirse los servicios financieros electrónicos en la lista tradicional de clasificación de los
servicios. Por lo tanto, su delegación vería con satisfacción que el Comité celebrase un debate sobre
estas cuestiones para facilitar las futuras negociaciones en materia de servicios en lo que respecta a los
servicios financieros electrónicos.
14. El Presidente observó que la declaración del Japón había despertado el interés de las
delegaciones y, de acuerdo con las declaraciones formuladas, continuaba siendo objeto de un examen
activo en las capitales. Era necesario más tiempo de reflexión y, por lo tanto, el Comité volvería a
tratar el punto en su próxima reunión. Instó a los Miembros a dar a conocer sus puntos de vista por
escrito para permitir la realización de un examen previo de las opiniones de los demás Miembros, con
miras a facilitar un mayor intercambio de opiniones de fondo.
Punto C: Otras cuestiones que se podrían examinar en el futuro
15. El Presidente recordó que en la reunión anterior el debate de este punto había girado en torno
de una propuesta hecha por el Japón, de que se recabara información de las organizaciones
internacionales que se ocupaban de las cuestiones reglamentarias en materia de servicios financieros.
Aunque algunas delegaciones se mostraron dispuestas a aceptar la realización de actividades de
reunión de información sin relación alguna con los debates sobre medidas cautelares, conducidas de
manera más gradual y controlada, otras se opusieron enérgicamente a esas actividades,independientemente de cómo se realizaran. Estas últimas expresaron preocupaciones sobre los
objetivos de la propuesta pues no percibían la importancia que la información que se reuniera podría
tener para los trabajos del Comité. Consideraron también que esas actividades podrían llevar a un
debate sobre la legitimidad de las reglamentaciones cautelares de los Miembros. Se habían hecho
también sugerencias sobre otras formas que permitieran a las delegaciones tener acceso a estainformación. Como la propuesta estaba siendo examinada todavía por algunas delegaciones, el
Comité había decidido volver a tratar este asunto.
16. En relación con las preocupaciones que se habían expresado, el representante del Japón
reiteró que su delegación tampoco deseaba entrar en un debate sobre las reglamentaciones cautelares.
La finalidad de las actividades propuestas era sólo obtener información de las organizacionesinternacionales que se ocupaban de las cuestiones reglamentarias de los sectores financieros con el
propósito de profundizar en el conocimiento de esas cuestiones, lo cual sería útil en el contexto de la
futura liberalización del mercado financiero. Con respecto al formato, su delegación tenía unaS/FIN/M/29
Página 4
posición flexible, por ejemplo, sería aceptable limitarse a recopilar información sobre las normas.
El Japón estaba dispuesto dar cabida a las preocupaciones expresadas por algunas delegaciones.
17. El representante de Chile expresó su apoyo a la propuesta presentada por el Japón. Según
entendía su delegación, las actividades de recopilación de información mejorarían las posiciones de
los Miembros para las negociaciones. En cuanto al modo de proceder, su delegación sugirió que enprimer lugar se solicitase a las organizaciones internacionales un informe escrito y que posteriormente
se las invitase a un debate con los Miembros. El representante de Australia estuvo de acuerdo.
Ciertas cuestiones de interés para su delegación en la esfera de la clasificación y en otras esferaspodrían beneficiarse de la información proporcionada por las organizaciones internacionales
competentes, siempre que las preguntas estuvieran orientadas para obtener la información pertinente.
Los representantes de Suiza, la Argentina
y Noruega apoyaron también la propuesta del Japón, junto
con la sugerencia de Chile.
18. La representante de los Estados Unidos reiteró su apoyo a la orientación general de la
propuesta del Japón. Su delegación también apoyaba las sugerencias operacionales hechas por Chile
en el sentido de que el trabajo se realizase en dos etapas y que el Comité dispusiese del tiempo
necesario para examinar la documentación y decidir respecto de un propósito más preciso para el
debate, antes de invitar a las correspondientes organizaciones internacionales a hacer exposiciones.El representante del Canadá estuvo de acuerdo y agregó que el Comité podría en primer lugar invitar a
que presentaran informes por escrito las principales organizaciones internacionales, tales como elComité de Basilea, la Organización Internacional de Comisiones de Valores (OICV) y la Asociación
Internacional de Supervisores de Seguros (IAIS), y, en función de los resultados, el Comité podría
entonces decidir solicitar presentaciones orales y/o por escrito a otras organizaciones que seconsiderasen apropiadas.
19. El representante de las Comunidades Europeas también manifestó su apoyo. Su delegación
comprendía la actividad como la búsqueda de información de carácter general y no como algo que las
delegaciones convertirían o intentarían convertir en algún tipo de consulta importante sobre la
reglamentación de un Miembro en particular. También había quedado bastante claro de los debatescelebrados en otros foros, en el contexto de servicios, que correspondía a los gobiernos nacionales el
examen de la reglamentación nacional; para su delegación sería causa de preocupación que los
debates del Comité elevaron a algún otro tipo de entendimiento al respecto. También estaba claro,
gracias a las intervenciones efectuadas hasta ese momento, que no había intención de evaluar la
situación de los distintos países en la aplicación de las normas fundamentales. La sugerencia del
Canadá de un primer grupo de organizaciones, que ofreciera informaciones específicas podía ser una
forma de ir adelante. El enfoque en dos etapas propuesto por Chile permitiría al Comité disponer demucho tiempo para asegurar que cada una de las distintas preocupaciones fuese examinada antes de
tomar una decisión sobre una segunda etapa.
20. El representante de la India dijo que la propuesta del Japón todavía estaba siendo examinada
en su capital. Consideró que las aclaraciones brindadas por el proponente eran de utilidad y también
se comunicarían.
21. El representante de Corea expresó su preocupación por el hecho de que la propuesta del Japón
de recabar información sobre criterios, normas y reglamentos financieros internacionales pudiera
extenderse a la definición de medidas cautelares financieras. Teniendo en cuenta que incluso las
organizaciones financieras internacionales como la OCDE, BIS, la OICV, la IAIS no habían limitado
la autonomía de los gobiernos en cuanto a las medidas cautelares, pues sus normas se adoptaban enforma voluntaria, no era apropiado que la OMC estableciera criterios restrictivos sobre reglamentos
financieros. Su delegación consideraba que la labor relativa a las medidas cautelares en el sector
financiero debía estar a cargo de las organizaciones mencionadas competentes en esa esfera.
Corea estaría de acuerdo con la propuesta del Japón siempre que hubiese un amplio consenso sobre laS/FIN/M/29
Página 5
propuesta entre los Miembros, y que la labor de reunión de información sobre las normas y criterios
internacionales estuviese destinada a ayudar a la refo rma de los sistemas reglamentarios en los países
en desarrollo, y no a definir medidas cautelares.
22. El representante de Malasia agradeció la aclaración del Japón en el sentido de que su
delegación no deseaba ver que las actividades de reunión de información se convirtiesen en un debate
sobre medidas cautelares. Malasia seguía abrigando dudas sobre el resultado de estas actividades.
En la reunión anterior, el Japón había dicho que la información que se obtuviera serviría como
información de carácter general para que los delegados preparasen las negociaciones en materia de
servicios financieros. El Comité tenía la función de examinar asuntos comerciales y negociaciones en
materia de servicios financieros, pero no era apropiado que examinase la reglamentación cautelar ya
que otros organismos independientes tenían esa comp etencia. En todo caso, su delegación no veía el
valor añadido de la realización de estas actividades si, como se sugería, el Comité solicitaríainformación y no haría nada con ella. Malasia no estaba convencida de que ese fuera el caso. Si las
actividades se realizaran tendrían lugar debates basados en la información reunida y esa información
trataría sobre las medidas cautelares. La información que se recabaría incluiría las medidas
determinadas por esas organizaciones internacionales y, como también podía suponerse, incluiría
asimismo las medidas adoptadas por los gobiernos nacionales. En ese caso, las delegacionescomenzarían sin duda a discutir sobre esas medidas cautelares, lo cual interferiría con lo que las otras
organizaciones internacionales estaban haciendo en ese sector concreto. Por último, la mayor
preocupación de Malasia era que en última instancia las actividades pudieran interferir con el derecho
de los gobiernos nacionales de adoptar medidas cautelares independientemente, como prevé el Anexo
sobre Servicios Financieros.
23. El representante de México agradeció las aclaraciones hechas y las remitiría a la capital a fin
de revisar la posición sobre el tema. En esa fase, sin embargo, compartía las opiniones expresadas por
Malasia y reiteró que era necesario que, en primer lugar, los propios Miembros debatieran plenamente
todos los temas que fueran de su interés. Por lo tanto, no era aceptable celebrar consultas con otras
organizaciones internacionales sobre temas que aún no habían sido debatido por los propiosMiembros. Los Miembros tenían derecho a recurrir a esas organizaciones internacionales para
consultarlas sobre los temas que fueran de su interés y, si lo considerasen apropiado, a presentar sus
resultados de esas consultas al Comité. Sin embargo, México no podía apoyar un enfoque multilateral
de tales consultas en esa fase.
24. Al igual que Malasia, el representante de Filipinas opinaba que las delegaciones debían
examinar esta cuestión de manera muy prudente. Si se tratara estrictamente de un proceso de reunión
de información con una finalidad educativa, quizás podría evitarse el peligro. Sin embargo, enla OMC incluso las actividades más inocuas de educación y de reunión de información se convertían
en otra cosa. Por consiguiente, la información podría utilizarse con propósitos relacionados con la
definición o la limitación de lo que se había denominado medidas cautelares en el Anexo sobre
Servicios Financieros. Las actividades propuestas podían en efecto hacer que el Comité de Comercio
y Servicios financieros cuestionara si las medidas que estaban en vigor, pero no estaban consignadas,eran realmente de naturaleza cautelar y debatiera sobre ello. Como había tenido la desgracia de
atravesar una crisis financiera en la región asiática desde 1997, su delegación era muy prudente
respecto de cualquier iniciativa que pudiera, incluso indirectamente, interferir en la capacidad de
recurrir a las medidas cautelares.
25. El Presidente observó que había un considerable apoyo a la propuesta japonesa y
agradecimiento por las aclaraciones y la franqueza de esa delegación para modificar su propuesta a fin
de responder a las preocupaciones de las delegaciones. Chile había ofrecido la posibilidad de
proceder a un enfoque en dos etapas, es decir, solicitar información por escrito en primer lugar y
después determinar si el Comité deseaba examinar esas presentaciones con las organizaciones que las
remitieran. Una delegación había sugerido que debía disponerse de más tiempo para examinar laS/FIN/M/29
Página 6
información y otra que se aplicara un enfoque orientado en términos del número de organizaciones
con que se establecería contacto. Al mismo tiempo, cierto número de delegaciones continuaban
mostrando algunas preocupaciones. Se había formulado una pregunta fundamental, a saber, cómo
utilizaría el Comité la información. Como regla práctica general para el trabajo del Comité, parecía
mejor disponer de más información que tenerla de menos. El control final de la evaluación de lapertinencia de la información estaría siempre en poder de los Miembros del Comité. Asimismo,
aunque algunos Miembros del Comité fueran también miembros de las organizaciones de las cuales se
había propuesto recabar la información, otros no lo eran. Las actividades propuestas podían mejorar
la transparencia de la información existente porque los Miembros que eran parte de esas
organizaciones eran, en todo caso, perfectamente capaces de obtenerla y utilizarla en las
negociaciones. Las actividades beneficiarían a aquellos miembros que no eran parte de esas
organizaciones y, por lo tanto, no tenían acceso a sus trabajos. El Comité necesitaba más tiempo paraque los Miembros reflexionasen y obtuviesen más aclaraciones de sus respectivas capitales.
Punto D: Evolución reciente del comercio de servicios financieros
26. El Presidente invitó a las delegaciones a que dieran al Comité información actualizada sobre
los acontecimientos reglamentarios o económicos que afectaran al comercio de servicios financieros.
27. El representante de la Argentina hizo la siguiente declaración: "El Gobierno de la Argentina
está decidido a profundizar las reformas en materia de servicios financieros. Esas reformas son
decisivas para promover el crecimiento económico mediante una intermediación más eficiente entre
los ahorros y las inversiones y una diversificación más amplia de los riesgos. Para alcanzar tales
objetivos se han establecido prioridades. Ocupa un lugar destacado en la lista de esas esferas de
cambio prioritarias la intención de la Argentina de continuar la aplicación de cierto número de normasbásicas para sistemas financieros sólidos acordadas en el ámbito del Foro de Estabilidad Financiera.
La Argentina ha participado en la primera ronda de estudios de casos experimentales sobre la
observancia de los códigos y normas. El primer informe sobre sus prácticas en materia de
transparencia, publicado en abril de 1999, indica que la transparencia es generalmente elevada en la
divulgación de datos, las políticas fiscales, monetarias y financieras, y los aspectos de supresión delcarácter reservado de la supervisión de los bancos. Para cumplir las demás normas básicas
importantes para sistemas financieros sólidos, la Argentina está realizando autoevaluaciones en las
esferas de los sistemas de pagos, valores y seguros, entre otras. Simultáneamente, el Banco Mundial
y el FMI llevarán a cabo en poco tiempo un Informe sobre la Observancia de los Códigos y Normas
en el sector bancario, que se basará en una autoevaluación ya completada y publicada, que efectuó el
Banco Central de la Argentina. En 2001 se lleva rá a cabo un Programa de Evaluación del Sector
Financiero plenamente desarrollado."
28. El Presidente dijo que el Comité tomaría nota de la declaración de la Argentina. Según lo
acostumbrado, el Comité mantendría este punto en el orden del día de su próxima reunión para recibir
otras actualizaciones similares.
Punto E: Fecha de la próxima reunión
29. El Presidente propuso que, para el próximo año, el Comité continuara programando sus
reuniones en relación con las del Consejo de Servicios y como el Consejo aún no había establecido
una fecha para la primera reunión, él seleccionaría una fecha basándose en el calendario del Consejo e
informaría al respecto a las delegaciones. No se formularon objeciones.
Punto F: Otros asuntos
30. El Presidente dijo que la Secretaría había recibido una comunicación que contenía una
declaración sobre la Liberalización del Comercio de Servicios de Seguros por la Comisión deS/FIN/M/29
Página 7
Servicios Financieros y Seguros de la Cámara de Comercio Internacional. La declaración parecía
contener información útil concerniente a los intereses de la CCI en las negociaciones sobre servicios
financieros. Sugirió que se pusiera a disposición de los Miembros del Comité. No se formularon
objeciones.
31. La representante de los Estados Unidos se disculpó por plantear un asunto en el ámbito de
este punto del orden del día relacionado con el informe del Comité al Consejo del Comercio de
Servicios, que figura en el documento S/FIN/5. Su delegación deseaba hacer algunos comentarios y
solicitar que se hicieran algunos cambios en ese documento. Respecto del párrafo 1, la primera frase
indicaba que el Comité había celebrado cuatro reuniones oficiales en el año 2000 pero esta reunión
debería también computarse como una quinta reunión. En el párrafo 2 del informe relativo a la
ratificación del Quinto Protocolo, debía indicarse que Kenya y Nigeria solicitarían la reapertura del
Protocolo para su aceptación. Ya que el anunci o se había efectuado en esa reunión, podría hacerse
referencia a ello en el informe, para que se pudiera contabilizar como un progreso correspondiente al
año 2000. Además en el párrafo 2, debía quedar reflejado que los Estados Unidos y otros países
habían dedicado mucho tiempo a instar a aquellos países que aún tenían la ratificación pendiente a
que hicieran lo que fuera necesario para asegurar una rápida ratificación de los compromisos, y a
solicitar informes sobre la situación de los procesos nacionales. Varios países habían estimado queera muy importante que esos países restantes asegurasen la rápida ratificación de sus compromisos.
Respecto del párrafo 3, que entre otros asuntos se ocupaba de la clasificación, en la mitad de ese
párrafo se hacía referencia a algunos países que afirmaban que era necesario que el Comité examinase
la clasificación existente en el Anexo sobre Servicios Financieros con miras a reflejar los cambios
experimentados en los mercados. Los Estados Unidos señalarían que, para contar con un informeequilibrado y completo de los debates celebrados durante el año pasado, el párrafo 3 debía indicar
también que algunas delegaciones habían indicado que las definiciones existentes en el Anexo sobre
Servicios Financieros proporcionaban suficiente flexibilidad para absorber esas novedades de los
mercados. En el párrafo 3 había también un tema relacionado con la clasificación, pero los Estados
Unidos consideraban que éste debía trasladarse al párrafo 4, que se refería a la labor futura del grupo.La última frase del párrafo 3, que comenzaba así: "Se había propuesto adicionalmente examinar a
fondo los diversos enfoques de las negociaciones que se han aplicado hasta el momento",
correspondía a un tema que se había planteado en relación con el trabajo futuro. Los Estados Unidos
habían hecho una declaración y la habían distribu ido posteriormente por escrito a los Miembros del
Comité.
32. El Presidente explicó que la fecha de cierre de los informes anuales para el Comité, así como
para otros Consejos y órganos subsidiarios de la OMC, había sido a finales de octubre, lo que
explicaba que se hubiera declarado ese número de reuniones. Las sugerencias hechas eran favorables
y útiles en el contexto, por ejemplo, de la aceptación del Protocolo. Propuso que esas observaciones
se reflejaran en el informe de la reunión, en lugar de tener que publicar una revisión de dicho
documento. El representante de Hong Kong, China expresó que sería útil indicar de alguna manera el
período abarcado por todos los informes de los órganos que se ocupaban de los servicios, para evitar
confusiones. Los representantes del Uruguay y el Brasil estuvieron de acuerdo. Un representante de
la Secretaría afirmó que sin duda sería posible encontrar diversas maneras de señalar el hecho de que
los informes anuales abarcaban hasta octubre, debido a la necesidad de publicarlos antes de la última
reunión del año del Consejo General. Podía hacerse en los propios informes anuales, aunque ello
entrañaría la publicación de revisiones de cada uno de ellos para hacer la aclaración, o en el informedel Presidente del Consejo del Comercio de Servicios al Consejo General.
33. El Presidente consideró que se había acepta do su sugerencia y que el punto planteado por
Hong Kong, China referente al modo de aclarar el período abarcado por los informes se trataría en el
informe del Presidente del Consejo de Servicios al Consejo General.
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WORLD TRADE ORGANIZATION
ORGANISATION MONDIALE DU COMMERCE
0RGANIZACION MUNDIAL DEL COMERCIO
Council for Trade-Related Aspects of
Intellectual Property Rights IP/N/1/DMA/P/1
18 June 2001
(01-3022)
Original: English/
anglais/
ingles
MAIN DEDICATED INTELLECTUAL PROPERTY
LAWS AND REGULATIONS NOTIFIED UNDER
ARTICLE 63.2 OF THE AGREEMENT
DOMINICA
The present document reproduces the text' of the Patents Act, Act No. 8 of 1999, as notified
by Dominica under Article 63.2 of the Agreement (see document IP/N/l/DMA/1).
Conseil des aspects des droits de propriete
intellectuelle qui touchent au commerce
PRINCIPALES LOIS ET REGLEMENTATIONS CONSACREES A LA
PROPRIETE INTELLECTUELLE NOTIFIEES AU TITRE
DE L'ARTICLE 63:2 DE L'ACCORD
DOMINIQUE
Le present document contient le texte1 de la Loi n° 8 de 1999 sur les brevets, notifiee par la
Dominique au titre de l'article 63:2 de l'Accord (voir le document IP/N/l/DMA/1).
Consejo de los Aspectos de los Derechos de Propiedad
Intelectual relacionados con el Comercio
PRINCIPALES LEYES Y REGLAMENTOS DEDICADOS A LA
PROPIEDAD INTELECTUAL NOTIFICADOS EN VIRTUD
DEL PARRAFO 2 DEL ARTICULO 63 DEL ACUERDO
DOMINICA
En el presente documento se reproduce el texto 1 de la Ley de Patentes, Ley N° 8 de 1999,
notificado por Dominica en virtud del parrafo 2 del articulo 63 del Acuerdo (vease el documento
IP/N/1/DMA/1 ).
1 In English only./En anglais seulement./En ingles solamente. IP/N/1/DMA/P/1
Page2
1999 PATENTS ACT 8
COMMONWEALTH OF DOMINICA
ARRANGEMENT OF SECTIONS
SECTION
PART!
PRELIMINARY
1. Short title.
2. Interpretation.
PART II
COMPANIES AND INTELLECTUAL PROPERTY OFFICE
3. Establishment of Companies and Intellectual Property
Office.
4. Registrar, Deputy Registrar and Assistant Registrars of
Companies and Intellectual Property.
5. Powers and functions of Registrar.
6. Seal.
7. Register.
PART III
PATENTS
8. Patentable inventions.
9. Novelty.
10. Inventive step.
11. Industrial application.
12. Matter excluded from patent protection.
PARTIV
RIGHT TO APPLY FORAND OBTAIN A PATENT
13. \Vho may apply for a patent.
14. Right to patent.
15. Invention by employee or person commissioned.
16. Judicial assignment of patent application or patent. PARTY
APPLICATIONS FOR PATENTS
SECTION
17. Application for a patent.
18. Unity of invention.
19. Amendment of applications.
20. Joint applicants.
21. Right of priority.
22. Conversion of patent application.
23. Information concerning corresponding foreign applications.
24. Disclosure of matter, etc., between earlier and later
applications.
25. Filing date.
26. Examination.
27. Refusal or grant of patent.
PART VI
PROVISIONS AS TO PATENTS AFTER GRANT
28. Duration and maintenance of patent
29. Surrender of patent or claim.
30. Effect of registration, etc., on rights in patents.
PART VII
PROPERTY IN PATENT APPLICATIONS AND PATENTS
RIGHT TO APPLY FOR AND OBTAIN A PATENT
31. Nature of, and transactions in patents.
32. Joint ownership of patent.
PART VIII
RIGHTS OF OWNER OF PATENT
33. Rights conferred by patent.
34. Right to continue use begun before date of filing or
priority.
35. Exploitation by Government or person authorised thereby.
36. Prevention of indirect use of invention. IP/N/1/DMA/P /1
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PART IX
VOLUNTARY Al"lD NON-VOLUNTARY LICENCES
SECTION
37. Voluntary licences.
38. Non-voluntary licences.
39. Exercise of powers on applications under section 38.
PARTX
INFRINGEMENT
40. Infringement.
41. Proceedings for infringement.
42. Restrictions on recovery of damages for infringement.
43. Relief for infringement of partially valid patent.
44. Certificate of contested validity of patent.
45. Proceedings for infringement by exclusive licensee.
46. Effect of non-registration on infringement proceedings.
PARTXI
INVALIDATION OF PATENT
47. Invalidation of patent.
48. Amendment of patent in infringement or invalidation
proceedings.
49.
50.
51.
-7 .) __
53. PART XII
UTILITY MODEL CERTIFICATES
Application of provisions relating to patents.
Qualification of invention for utility model certificate.
Duration of utility model certificate.
Invalidation of utility model certificate.
Conversion of application for utility model certificate. PART XIII
INTERNATIONAL ARRANGEMENTS
SECTION
54. Application of treaties.
55. implementation of Patent Cooperation Treaty.
56. Judicial notice of certain treaties.
PART XIV
GENERAL PROVISIONS
57. Changes in ownership.
58. Correction of errors.
59. Extension of time.
60. Exercise of discretionary powers.
61. Agents.
62. Jurisdiction of Court.
63. Offences.
64. Immunity regarding official acts.
65. Registrar's annual report.
66. Saving in respect of rights to sell forfeited articles.
67. Time limit for prosecution.
68. Regulations.
69. Administrative Instructions.
70. Act binding on State.
71. Repeal.
72. Transitional.
73. Commencement. IP /N/1/DMA/P /1
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COMMONWEALTH OF DOMINICA
ACT No. 8 of 1999
l assent
V.L. SHAW
President.
7th October, 1999
AN ACT TO PROVIDE FOR THE PROTECTION OF
PATENTS, AND FOR MATIERS CONNECTED
THERETO.
(Gazetted 14th October, 1999).
BE IT ENACTED by the Parliament of the Commonwealth of
Dominica as follows:
1. PARTI
PRELIMINARY
This Act may be cited as the -
PATENTS ACT 1999
2. In this Act, unless the context othelVlise requires -
"'Court" means the High Court;
"foreign application" means any application for a patent filed by an
applicant outside Dominica;
.. International Patent Classification" means the classification ac
cording to the Strasbourg Agreement of March 24, 1971; Short title.
Interpretation. Establishment of
Companies and
lntellectual Property
Office. IP /N/1/DMAIP /1
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"invention" means an idea of an inventor which pennits in practice
the solution to a specific problem in the field of technology;
"Journal" means the Journal of Intellectual Property referred to in
section 5(d);
"Minister" means the Minister responsible for patents;
"Paris Convention" means the Paris Convention for the Protection
of Industrial Property of March 20, 1883 as last revised;
"patent" means the title granted to protect an invention;
"patentee" means the person to whom a patent has been granted;
"'Patent Cooperation Treaty" means the Patent Cooperation Treaty
of June 19, 1970;
"priority date" means the date of the earlier application that serves
as the basis for the right of priority provided for in the Paris
Convention;
"Register" means the Register of Patents referred to in section 7;
"Registrar" means the Registrar of Companies and Intellectual
Property; and
'"utility model certificate" means a certificate granted for an inven
tion under Part XII.
PART II
COMPANIES AND INTELLECTUAL PROPERTY OFFICE
!J. There shall be established, at such place as the Minister
determines, a Companies and Intellectual Property Office.
Registrar, Deputy~ 4. (1) There shall be a Registrar of Companies and Intellec
!~~strar andf Assist~t tual Property who shall be a public officer, and who shall, subject
.-cgtstrars o Comparues
and In1ellectual Property. to the control of the Minister, be responsible for the administration IP/N/1/DMA/P/l
Page 8
of this Act, and who shall perform such functions, and exercise such
powers, as are conferred on him by this or any other enactment.
(2) There shall also be a Deputy Registrar of Companies and
Intellectual Property and such number of Assistant Registrars as are
considered necessary, who shall also be public officers.
(3) The Minister may give the Registrar written directions
which are not inconsistent with the provisions of this Act, concern
ing the exercise and performance of powers and functions in
relation to any matter which appears to the Minister to concern the
development of industrial property and other matters
connected therewith, and the Registrar shall carry out such direc
tions.
( 4) The Deputy Registrar and Assistant Registrars shall per
form such functions, and exercise such powers, as the Minister may,
by Order, delegate to them.
5. Without derogating from the generality of the provisions Powers and functioos of
of section 4, the Registrar shall have the following functions and Registrar.
powers, namely to -
( a) process all applications made under this Act;
(b) grant patents and register utility model certificates;
(c) administer granted patents and registered utility model
certificates;
( d) establish and maintain a Journal oflntellectual Property
in which he shall publish all matters that are required to
be published under this Act or any other enactment;
(e) carry out studies, programs or exchanges of items or
services regarding domestic and international patent
law; and
(f) provide patent information services such as making
available, for use by the public, in the prescribed
manner, and on payment of any prescribed fees, patent
literature. Seal.
Register. IP /N/l /DMA/P/1
Page9
6. (1) The Registrar shall have a seal approved by the Minis-
ter, which he shall affix to every document issued by him, and to any
copy of a document issued by him in lieu of the original document.
(2) Impressions of the Registrar's seai shall be judicially
noticed and admitted in evidence.
7. (1) The Registrar shall maintain a Register of Patents in
which he shall record all matters required by this Act or the
Regulations made thereunder, to be recorded, and shall also, in a
section of the Register created for that purpose, register utility
model certificates.
(2) Any person may, upon payment of the prescribed fee,
and in accordance with any prescribed conditions, consult, inspect
or make a copy of, or obtain an extract from the Register.
(3) The Register shall be prima facie evidence of anything
required or authorised by this Act to be registered, and shall be
admissible and sufficient evidence of any such thing.
( 4) A certificate signed by the Registrar and certifying that
any entry which he is authorised by this Act to make has or has not
been made, or that any other thing which he is authorised to do has
or has not been done, shall be prim a f acie evidence, and shall be
admissible and sufficient evidence, of the matters so certified.
(5) Each of the following, that is to say a copy of -
( a) -an entry in the Register or an extract from the
Register which is supplied under subsection (2);
and
(b) any document kept in the Companies and Intellec
tual Property Office, or an extract from any such
document, or any matter which has been published
in the Journal, which is to be a certified copy or a
certified extract shall be admitted in evidence with
out further proof and without production of the
original, and such evidence shall be sufficient evi
dence of the matter stated therein. IP/N/1/DMA/P/l
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(6) In this section, "certified copy" and "certified extract"
means a copy or extract certified by the Registrar and sealed with
his seal.
PART III
PATENTS
8. (1) Subject to section 12, a patent may be granted only for Patentable Inventions.
an invention which satisfies the following conditions:
( a) the invention is new;
(b) it involves an inventive step; and
(c) it is capable of industrial application.
(2) An invention may be, or may relate to, a product or a
process.
9. (1) An invention is considered to be new if it does not form NO\/Chy.
part of prior art.
(2) For the purpose of this Act, prior art in relation to an
invention means anything which has, at any time prior to the filing
date or, where priority is claimed, the priority date, of the applica
tion claiming the invention, been disclosed to the public
anywhere in the world by oral or written description, by use, or in
any other way.
(3) For the purposes of subsection (2), the disclosure to the
public of matter constituting an invention shall not be taken into
consideration if it occurred within twelve months immediately
preceding the filing date or, where priority is claimed, the priority
date of the application, and the disclosure was due to or in conse
quence of -
( a) acts committed by the applicant or his predecessor
in title; or
(b) an abuse committed by a third party with regard to
the applicant or his predecessor in title. Invcntive step.
Industrial application.
Matter excluded from
patent protection. IP/N/1/DMA/P/l
Page 11
( 4) In the case of an invention consisting of a substance or
composition for use in a methodoftreatmentofthehuman or animal
body by surgery or therapy, or of diagnosis practised on the human
or animal body, the fact that the substance or composition forms
part of prior art shall not prevent the invention from being taken to
be new if the use of the substance or composition in any such
method does not form part of prior art.
10. An invention sha1I be considered as involving an inventive
step if, having regard to the prior art relevant to the application
claiming the invention as defined in section 9(2), it is not obvious
to a person having ordinary skill in the art
11. An invention shall be considered as being capable of
industrial application if it can be made or used in any kind of
industry including agriculture, fishery, handicraft and services.
12. (1) The following, even if they are inventions within the
meaning of this Act, shall not be protected as patents -
(a) a discovery, scientific theory or mathematical
method;
(b) a scheme, rule or method for doing business, per
forming a mental act or playing a game; and
(c) methods for the treatment of the human or animal
body by surgery or therapy, as well as diagnostic
methods practised on the human or animal body.
(2) Subsection (1 )( c) shall not apply to products for use in
any of the methods specified therein.
(3) A patent shall not be granted for an invention the
commercial exploitation of which it is necessary to prevent in
Dominica in order -
(a) to protect public order or morality, including to
protect human, animal or plant life or health; or
(b) to avoid serious prejudice to the environment W/N/1/DMNP/l
Page 12
( 4) The refusal to grant a patent in respect of an invention
referred to in subsection (3) shall not be based solely on the ground
that the commercial exploitation is prohibited by a law in force in
Dominica.
PART IV
RIGHT TO APPLY FOR AND OBTAIN A PATENT
13. Any person may make an application for a patent either Who may apply for a
alone or jointly with another. patent.
14. (1) The right to a patent shall belong to the inventor.
(2) If two or more persons have made an invention jointly,
the right to the invention shall belong to them jointly.
(3) Where two or more persons have made the same inven
tion independently of each other, the person whose application
bears the earliest filing date or, if priority is claimed, the person
whose application bears the earliest validly claimed priority date
shall, unless that application is abandoned or withdrawn by the
applicant, or rejected by the Registrar, have the right to the patent
( 4) The inventor shall be named as such in the patent unless
in a special written declaration signed by him and addressed to the
Registrar, he indicates that he does not wish to be so named.
(5) Any promise or undertaking made by the inventor to
any person to the effect that he will make such a declaration shall be
void.
(6) The right to a patent may be assigned or transferred by
succession. Right to patent.
15. (1) Where an invention is made in execution of a contract Im1m1icobyemployec
of employment or for the execution of work, the right to the patent ~ commis
shall, in the absence of any agreement to the contrary, belong to the
employer or the person who commissioned the work as the case may
be. Judicial assignment of
patent applicatioo or
patent. IP/N/1/DMA/P/1
Page 13
(2) Where an invention referred to in subsection (1) ac
quires an economic value much greater than the parties could
reasonably have foreseen at the time of concluding the contract of
employment or for the execution of work, as the case may be, the
inventor shall be entitled to equitable remuneration which may be
fixed by the Court in the absence of agreement between the parties.
(3) Where an employee whose contract of employment
does not require him to engage in any inventive activity makes, in
the field of the activities of his employer, an invention using
information or means placed at his disposal by his employer, the
right to the patent for such invention shall be deemed to accrue to
the employer in the absence of any provision to the contrary in the
contract of employment, provided that the employee shall be
entitled to equitable remuneration which, in the absence of agree
ment between the parties, may be fixed by the Court taking into
account his emoluments, the economic value of the invention and
any benefit derived from it by the employer.
( 4) For the avoidance of doubt, it is hereby declared that
when an invention is made by an employee whose contract of
employment does not require him to engage in inventive activity, or
in a field of activity different from that of his employer, and without
using information or means put at his disposal by the employer, the
right to the patent for such invention shall accrue to the employee.
(5) The rights conferred on the inventor under subsections
(1), (2), (3) and (4) shall not be restricted by contract
(6) This section shall not apply to an invention made before
the coming into force of this Act.
16. (1) Where the essential elements of the invention claimed in
a patent or application for a patent have been unlawfully derived
from an invention for which the right to the patent belongs to
another person, such other person may apply to the Court for an
order that the said patent application or patent be assigned to him.
(2) The Court shall make such order as it sees fit upon
hearing such application. IP /N/1 /DMA/P /1
Page 14
(3) No application for the assignment of a patent under
subsection (1) shall be entertained by the Court after the expiry of
five years from the date of the grant of the patent unless it is shown
that any person registered as an owner of the patent knew, at the time
of the grant or, as the case maybe,ofthe transfer of the patent to him,
that he was not entitled to the patent.
PARTY
APPLICATIONS FOR PATENTS
17. (1) Every application for a patent shall be filed with the
Registrar in the prescribed form and shall contain - Application for a patent.
( a) a request;
(b) a description;
(c) one or more claims;
( d) one or more drawings where required; and
( e) an abstract.
(2) The request shall contain -
(a) a petition that a patent be granted;
(b) the name of and other prescribed information relat
ing to the applicant, the inventor, and agent, if any;
and
(c) the title of the invention.
(3) Where the applicant is not the inventor or a joint
inventor, the request shall be accompanied by a written statement
justifying the applicant's right to the patent.
( 4) The description shall disclose the invention in a manner
which is sufficiently clear and complete to permit a person having
ordinary skill in the art to carry out the invention, and shall, in
particular, indicate at least one mode known to the applicant in
which the invention can be carried out.
(5) The claim or claims shall -
( a) define the matter for which protection is sought; Unity of inventioo
Amendment of
application.
Joint applicants. (b) be clear and concise; and
(c) be supported by the description. IP /N/1/DMA/P I 1
Page 15
(6) The description and the drawings may be used to
interpret the claim or claims.
(7) The Registrar may require an applicant to file drawings
where these are necessary for the understanding of the invention.
(8) The purpose of the abstract is to provide technical
information and shaJI not be taken into account for the purpose of
interpreting the scope of the protection sought.
(9) An applicant may, at any time before the patent is
granted, withdraw his application.
(10) An application for a patent shall be accompanied by the
prescribed application fee.
18. (1) An application for a patent shall relate to one invention
only or to a group of inventions so linked as to form a single general
inventive concept. ·
(2) The applicant may, at any time before a patent is
granted, divide the application into two or more applications
(referred to in this section as "divisional applications"), provided
that each divisional application shall not include any matter which
was not disclosed in the initial application as filed.
(3) Each divisional application shall be accorded the filing
date and, where applicable, the priority date, of the initial applica
tion.
( 4) The fact that a patent has been granted on an application
thatdidnotcomplywith the requirement of unity of invention under
subsection (1) shall not be a ground for the invalidation of the
patent.
19. The applicant may, at any time before a patent is granted,
amend the application, but the amendment shall not include any
matter which was not disclosed in the initial application as filed.
20. (1) Where two or more persons apply jointly for a patent, IP /N/1 /DMA/P /1
Page 16
they shall, in the absence of an agreement to the contrary, have equal
undivided shares in the application and none of them shall deal with
the application in any way without the consent of the other.
(2) Notwithstanding the provisions of subsection (1 ), if any
step is required to be taken to save the application from being
abandoned, any applicant may, on his own behalf and on behalf of
any other joint applicant, take such step without recourse to the
other applicant or applicants.
21. (1) An application for a patent may contain a declaration Right of priority.
claiming the priority, as provided for in the Paris Convention, of one
or more earlier national, regional or international applications filed
by the applicant or his predecessor in title in or for any State party.
to the said Convention or any member of the World Trade
Organisation.
(2) Where the application contains a declaration under
subsection (1 ), the Registrar may require the applicant to furnish,
within the prescribed time, a copy of the earlier national, regional
or international application certified as correct by the Office with
which it was filed.
(3) Where the earlier application is not in English, the
Registrar may require a translation thereof in English verified by the
translator that the translation is, to the best of his knowledge,
complete and faithful.
( 4) The effect of the declaration ref erred to in subsection
(1) shall be as provided in the Paris Convention.
(5) Where any requirement of this section or the Regula
tions pertaining thereto is not fulfil] ed, the declaration referred to in
subsection (1) shall be considered as having not been made.
22. (1) At any time before the grant or refusal of a patent, an Coovetsiaiofpatcn1
applicant for a patent may, upon payment of the prescribed fee, appiicatiOll.
convert his application into an application for a utility model
certificate.
(2) No person may convert an application under subsection
(1) more than once. Informatioo concerning
cor=ponding forcig;,
applicatioos. IP/N/1/DMA/P/1
Page 17
23. (1) The applicant shall, if requested by the Registrar, fur
nish him with the date and number of any application for a patent
filed by him abroad relating to the same or essentially the same
invention as that claimed in the application filed with the Registrar.
(2) The applicant shall also, if requested by the Registrar,
furnish him with the following documents relating to any foreign
application referred to in subsection (1)-
(a) a copy of any communication received by the
applicant concerning the results of any search or
examination carried out in respect of the foreign
application;
(b) a copy of the patent granted on the basis of the
foreign application;
(c) a copy of any final decision rejecting the foreign
application or refusing the grant requested in the
foreign application; and
( d) a copy of any final decision invalidating the patent
granted on the basis of the foreign application
ref erred to in subsection (1 ).
(3) Subsection (2)(a) and (c) shall not apply where the
Office of the Registrar is an elected Office within the meaning of
section 55 and has received or will receive an international prelimi
nary examination report.
(4) Any document furnished pursuant to this section -
( a) shall, if not in English, be accompanied by a trans
lation thereof in English, verified by the translator
that the translation is, to the best of his knowledge,
complete and faithful; and
(b) may be used only for facilitating the evaluation of
the novelty and inventive step of the invention for
which the patent application is made.
Disclosure ofmaner, 24. Where an application is made for a patent under section 17 :~~==:1icrand and a declaration is made in accordance with section 21(1) in or in
connection with that application specifying an earlier application, IP/N/1/DMA/P/1
Page 18
the first-mentioned application and any patent granted in pursuance
thereof shall not be invalidated by reason only of the fact that any
subject matter disclosed in the earlier application was made avail
able to the public at any time after the date of filing of the said earlier
application.
25. (1) The Registrar shall accord as the filing date of an fiiiogdate.
application for a patent, the date of receipt of the application,
provided that at the time of its receipt, the following requirements
are satisfied -
( a) the documents filed contain an express or implied
indication that the granting of a patent is sought;
(b) the documents filed identify the applicant or appli
cants;
(c) the documents filed contain information which, on
the face of it, appears to be a description of the
invention.
(2) Where the application does not comply with the re
quirements of subsection (1), the Registrar shall so inform the
applicant in writing and shall invite him, subject to section 19, to file
the required amendment.
(3) The Registrar shall then accord, as the filing date, the
date of receipt of the amendment referred to in subsection (2).
(4) Where the applicant fails to make the required amend
ment, the application shall be treated as if it had not been filed.
(5) Where the application refers to drawings which are not
included in the application, the Registrar shall invite the applicant
to furnish the missing drawings and, if the applicant complies, the
Registrar shall accord as the filing date of the application, the date
of receipt of the missing drawings.
(6) Where the applicant fails to comply with subsection (5),
the Registrar shall accord as the filing date of the application, the
date of receipt of the application and shall treat any reference to the
said drawings as non-existent. fa:amination.
Refusal or grant of
patent. IP/N/1/DMA/P/l
Page 19
26. After according a filing date, and if the application is not
withdrawn, the Registrar shall examine the application to deter
mine whether -
(a) it complies with the requirements of section 17(1), (2),
(3) and (10) and the Regulations pertaining thereto;
(b) it complies with the requirements of this Act;
( c) it complies with the requirements of the Regulations as
have been designated by the Regulations to be formal
requirements; and
( d) information requested under section 23, if any, bas been
provided.
27. (1) Subject to section 25(2) to (4), where the Registrar is not
satisfied that the requirements of the Act and the Regulations have
been complied with, he shall refuse the application and so inform
the applicant in writing, stating the reasons for the refusal.
(2) Where two or more patent applications for the same
invention, having the same filing date or the same priority date, are
filed by the same applicant or his successor in title, the Registrar
may, on that ground, refuse to grant a patent in respect of more than
one of the applications.
(3) Where the Registrar refuses an application under sub
section (2) he shall so inform the applicant in v.rriting, stating the
reasons for his refusal.
( 4) Where the Registrar is satisfied that the application, as
originally filed or as amended complies with the requirements of
section 26, he shall grant the applicant a patent.
(5) Where the Registrar grants a patent, he shall -
( a) publish, in the Journal, a notice of the grant of the
patent;
(b) issue a certificate of the grant of the patent and a
copy of the patent to the applicant; and
(c) record the patent in the Register.
(6) The Registrar shall, on payment of the prescribed fee,
make a copy of any patent granted under this section available to any
person who requests such copy. IP /N/1 ID MA/P /1
Page 20
(7) The Registrar shall, upon the request oftheownerofthe
patent, amend the text or drawings of the patent in order to limit the
extent of the protection conferred thereby, provided that the amend
ment would not result in the disclosure contained in the patent going
beyond the disclosure contained in the initial application on the.
basis of which the patent was granted.
(8) The patent shall be deemed to be granted on the date on
which the Registrar publishes a notice of the grant of the patent.
PART VI
PROVISIONS AS TO PA TENTS AFrER GRM'T
28. (1) Subject to subsection (2), a patent shall expire 20 years Duration and
after the filing date of the application therefor. maintenanc:eofpatc-ot.
(2) In order to maintain a patent or patent application, the
owner of a patent or the applicant shall pay in advance to the
Registrar for each year starting one year after the filing date of the
application for the grant of the patent, the prescribed annual fee.
(3) ( a) Where the period prescribed for the payment of the
annual fee expires and payment of the said fee has not been made,
the Registrar shall give the owner of the patent or the applicant, as
the case may be, a period of grace not exceeding six months, within
which be must pay the annual fee.
,
(b) Theownerof tbe patentor the applicant, as the case
may be, shall, when paying the annual fee in accordance with
paragraph (a), also pay, to the Registrar, the surcharge prescribed
for late payment
( 4) A patent shall lapse or a patent application shall be
deemed to have been withdrawn if the annual fee is not paid in
accordance with the provisions of this section.
(5) If a patent ceases to have effect under this section, the
Registrar shall enter the lapse in the Register and publish it in the
Journal. Surrender of patent or
claim.
Effect of registration,
etc., OD riglits in
patents. IP IN/ 1/DMA/P /1
Page 21
29. (1) The owner of a patent may, at any time by notice given
to the Registrar in the prescribed manner, offer to surrender his
patent or one or more claims contained in his patent
(2) Where an offer is made under this section, the Registrar
shall advertise the offer in the prescribed manner and any interested
person may, within the prescribed period commencing on the date
of the publication of the advertisement, give notice to the Registrar
of his opposition to the proposed surrender.
(3) Where notice of opposition is duly given under this
section, the Registrar shal1 notify the owner of the patent in writing
and determine the question.
(4) Where the Registrar is satisfied that the patent or any
claim or claims contained in the patent may properly be surren
dered, he may accept the offer and record his acceptance in the
Register and shall, as soon as practicable, publish a notice of his
acceptance in the Journal.
(5) From the date of publication of the notice under subsec
tion ( 4), the patent or daim or claims shall cease to have effect, but
no action for infringement shall lie in respect of any act done before
that date, and no right to compensation shall accrue for any use of
the patented invention before that date for purposes of the State.
( 6) Where a patent has been granted to two or more persons,
a notice in accordance with subsection (1) shaJI be signed by each
of them.
30. (1) Any person who claims to have acquired the property in
a patent or application for a patent by virtue of any transaction to
which this section applies shall be entitled as against any other
person who claims to have acquired that property by virtue of an
earlier transaction to which this section applies if, at the time of the
later transaction -
( a) the earlier transaction was not registered; or
(b) in the case of any application, notice of the earlier
transaction had not been given to the Registrar; and IP/N/1/DMA/P/1
Page 22
(c) in any case, the person claiming under the later
transaction did not know of the earlier transaction.
(2) Subsection (1) shall apply equally to the case where any
person claims to have acquired any right in or under a patent or
application for a patent by virtue of a transaction to which this
section applies, and that right is incompatible with any such right
acquired by virtue of an earlier transaction to which this section
applies.
(3) This section applies to the following transactions:
( a) the assignment of a patent or application for a patent
or a right in it;
(b) the mortgage of a patent or application or the
granting of security over it;
(c) the grant, assignment of a licence or sub-licence, or
mortgage of a licence or sub-licence, under a patent
or application;
( d) the death of the owner or one of the owners of any
such patent or application or of any person having
a right in a patent or application and the vesting, of
any such right, by an assent of the personal repre
sentative of the applicant or owner of a patent; and
(e) any order or directions of a court or other competent
authority -
(i) transferring a patent or application or any right
in or under it to any person; or
(ii) that an application should proceed in the name
of any person, and in either case the event by
virtue of which the Court or authority had
power to make any such order or give any such
directions.
(4) Where an application for the registration of a transac
tion has been made, but the transaction has not been registere~
registration of the application shall, for the purposes of subsection
(l)(a), be treated as registration of the transaction. Nature ot and
transactiOllll in patCllls. IP /N/1/DMA/P /1
Page23
(5) For purposes of this section, "transaction" includes an
instrument and an event.
PART VII
PROPERTY IN PATENT APPLICATION AND PATENTS
31. (1) A patent or application for a patent is personal property
(without being a thing in action), and any patent or any such
application and rights in or under it may be transferred, created or
granted in accordance with subsections (2) to (6).
(2) Subject to section 32(2)(b), any patent or any such
application, or any right in it, may be assigned or mortgaged.
(3) Any patent or any such application or right shall vest by
operation oflaw in the same way as any other personal property and
may be vested by an assent of personal representatives.
(4) Subject to section 32(2)(b), a licence may be granted
under any patent or any such application for working the invention
which is the subject of the patent or the application, and -
( a) to the extent that the licence so provides, a sub
licence may be granted under any such licence and
any such licence or sub-licence may be assigned or
mortgaged; and
(b) any such licence or sub-licence shall vest by opera
tion of law in the same way as any other personal
property and may be vested by an assent of personal
representatives.
(5) Any of the following transactions, that is to say -
( a) any assignment or mortgage of a patent or any such
application, or any right in a patent or any applica
tion; or
(b) any assent relating to any patent or any such appli
cation or right, shall be void unless it is in writing
and is signed by or on behalf of the parties to the
transaction (or, in the case of an assent or other IP/N/1/DMA/P/1
Page24
transaction by a personal representative, by or on
behalf of the personal representative), or in the case
of a body corporate, is so signed or is under the seal
of that body.
(6) An assignment of a patent or any such application or a
share in it, and an exclusive licence granted under any patent or any
such application may confer, on the assignee or licensee, the right
of the assignor or licensor to bring proceedings by virtue of section
41 for a previous infringement.
32. (1) Where a patent is granted to two or more persons jointly, Joint ownership of
each of the patentees shall, in the absence of an agreement to the patent.
contrary, be entitled to an equal undivided share in the patent.
(2) Subject to the provisions of subsection (4), a joint
patentee shall not be entitled, in the absence of an agreement to the
contrary, and in the absence of the consent of the joint pateniee or
patentees, to -
(a) make, use, exercise, or dispose of the patented
invention;
(b) grant a licence or assign or mortgage the whole or
any part of his interest in the patent; or
( c) take any step or institute any proceedings relating to
the patent;
provided that he may without recourse to any othei joint patentee,
pay any annual fee which is payable.
(3) Where a patented article is disposed of by a joint
patentee, the person who acquires the patent, or any person making
a claim through him shall be entitled to deal with that article in the
same manner as though the article had been disposed of by the
patentees jointly.
(4) Any joint patentee may institute proceedings for in
fringement and shall give notice thereof to any other joint patentee,
and any such other joint patentee may intervene as co-plaintiff and
recover any damages in respect of any damage he may have suffered
as a result of the infringement. Rights conferred by
patent. PART VIII
RIGHTS OF OWNER OF PATENT IP/N/1/DMNP/l
Page 25
33. (1) The exploitation of a patented invention in Dominica by
any person other than the owner of the patent shall require the
latter's authorisation.
(2) For the purposes of this section, exploitation of a
patented invention means-
(a) where the patent has been granted in respect of a
product-
(i) making, importing into Dominica, offering
for sale, selling and using that product;
(ii) stocking such product for the purposes of
offering it for sale or selling or using it; and
(b) where the patent has been granted in respect of a
process-
(i) using that process; and
(ii) doing any act referred to in paragraph ( a) in
respect of a product obtained by means of
that process.
(3) Subject to subsection ( 4) and to sections 34, 35 and 38,
the owner of the patent shall have the right to bring an action against
any person who exploits the patented invention in Dominica with
out his authorisation.
( 4) The rights under the patent shall not extend to -
( a) acts in respect of articles which have been p~t on the
market in Dominica by the owner of the patent or
with his consent;
(b) the use of articles on aircraft, land vehicles_ or
vessels of other countries which temporarily or
accidentally enter the airspace, territory or waters
of Dominica;
( c) acts done only for experimental purposes relating to
a patented invention; IP/N/1/DMA/P/l
Page 26
( d) the extemporaneous preparation for individual cases,
in a pharmacy, of a medicine in accordance with a
medical prescription or acts concerning the medi
cine so prepared; or
(e) acts performed by any person who in good faith,
before the filing or, where priority is claimed, the
priority date of the application on which the patent
is granted, and in Dominica, was using the inven
tion or was making effective and serious prepara
tions for such use.
(5) The right of prior user referred to in subsection (4)(e)
may be transferred or devolve only together with the enterprise or
business, or with that part of the enterprise or business in which the
use or preparations for use have been made.
34. (1) Where a patent is granted for an invention, a person who Right to coorinuc use
before the date of filing of the patent application or, if priority was be61~ bcfo_re~reof • mg or pnonty.
claimed, before the date of priority, does in good faith in Dominica,
an act which wouldconstitutean infringementoftbepatent ifitwere
then in force, or makes effective and serious preparations in good
faith to do such an act, shall have the rights specified in subsection
(2).
(2) The rights referred to in subsection (1) shall be the
following, namely -
(a) to continue to do or, as the case may be, to do that
act himself; and
(b) if the act was done or preparations had been made
to do it in the course of a business -
(i) to assign the right under paragraph ( a);
(ii) to transmit the right under paragraph ( a) to
his heirs on bis death or, in the case of a
body corporate, on its dissolution, to any
person who acquires that part of the busi
ness in the course of which the act was done
or preparations had been made to do it; or Exploitatioo by
Govemincntorpeison
authorised thereby. IP /N/1 /DMA/P I 1
Page 27
(iii) to authorise the act to be done by any
partners of his for the time being in that
business, and the doing of that act by virtue
of this subsection shall not amount to an
infringement of the patent concerned.
(3) The rights specified in subsection (2) shall not include
the right to grant a licence to any person to do an act referred to in
subsection (1).
(4) Where a product which is the subject of a patent is
disposed of by any person to another in exercise of a right conferred
by subsection (2), that other and any person claiming through him
shall be entitled to deal with the product in the same way as if it had
been disposed of by a sole owner of the patent.
35. (1) Where-
( a) the public interest, in particular, national security,
nutrition, health, or the development of other v~tal
sectors of the national economy so requires; or
(b) the Minister has determined that the manner of
exploitation, by the owner of the patent or his
licensee, is anti-competitive, and he is satisfied that
the exploitation of the invention in accordance with
this subsection would remedy such practice,
the Minister may decide that, even without the agreement of the
owner of the patent, a Government agency or a third person
designated by the Minister may exploit the invention.
(2) The exploitation of the patented invention shall be
limited to the purpose for which it was authorised and shall be
subject to the payment to the said owner of an adequate remunera
tion therefor, taking into account the economic value of the Minis
ter's authorisation, as determined in the said decision, and, where a
decision bas been taken under subsection 1(b), the need to correct
anti-competitive practices.
(3) The Minister shall make his decision after hearing the
owner of the patent and any interested person. IP/N/ 1/DMA/P /1
Page 28
(4) A request for the Minister's authorisation to exploit a
patented invention shall be accompanied by evidence that the
owner of the patent has received, from the person seeking the
authorisation, a request for a contractual licence, but that that person
has been unable to obtain such a licence on reasonable commercial
terms and conditions and within a reasonable time.
(5) Subsection ( 4) shall not apply in cases of -
(a) national emergency or other circumstances of ex
treme urgency provided, however, that in such
cases the owner of the patent shall be notified of the
Minister's decision as soon as reasonably practica
ble;
(b) public non-commercial use; and
(c) anti-competitive practices determined as such by
the Minister in accordance with subsection (l)(b).
(6) The exploitation of a patented invention in the field of
semi-conductor technology shall only be authorised for public non
commercial use or where a judicial or administrative body bas
determined that the manner of exploitation of the patented inven
tion, by the owner of the patent or his licensee, is anti-competitive,
and if the Minister is satisfied that the issuanceofthe non-voluntary
licence would remedy such practice.
(7) The authorisation shall not exclude -
(i) the conclusion of license contracts by the owner of
the patent; or
(ii) the continued exercise, by the owner of the patent,
of his rights under section 33(2); or
(iii) the grant of a non-voluntary licence under section
38.
(8) Where a third person has been designated by the Min
ister, the authorisation may only be transferred with the enterprise
or business of that person or with the part of the enterprise or
business within which the patented invention is being exploited. Prevent ion of indirect
use of invention. IP/N/1/DMA!P/l
Page 29
(9) The exploitation of the patented invention by the Gov
ernment agency or third person designated by the Minister shall be
predominantly for the supply of the market in Dominica.
(10) Upon the request of the owner of the patent, of the
Government agency or of the third person authorised to exploit the
patented invention, the Minister may, after hearing the parties, vary
the terms of the decision authorising the exploitation of the patented
invention to the extent that changed circums•~nces justify such
variation.
(11) Upon therequestoftheownerofthe patent, the Minister
shall terminate the authorisation if he is satisfied, after hearing the
parties, that the circumstances which led to his decision have ceased
to exist and are unlikely to recur, or that the Government agency or
third person designated by him has failed to comply with the terms
of the decision.
(12) Notwithstanding subsection (11), theMinistershall not
terminate the authorisation if he is satisfied that the need for
adequate protection of the legitimate interests of the Government
agency or third person designated by him justifies the maintenance
of the decision.
36. (1) While in force, a patent shall confer, on its owner, the
right to prevent all persons not having his authorisation, from
supplying or offering to supply in Dominica, a person (other than a
person entitled to engage in commercial working of the patented
invention) with means relating to an essential element of that
invention, for putting it into effect therein, provided that the person
knows, or it is obvious to a reasonable person in the circumstances
that those means are suitable for putting, and are intended to put, that
invention into effect.
(2) Subsection (1) shall not apply where the means referred
to therein are staple commercial products, except where the person
induces the person supplied to commit acts which the owner of the
patent is entitled to prevent by virtue of section 33.
(3) Any person who commits an act ref erred to in paragraph
(c) or (d) of section 33(4) shall not be considered to be a person IP /N/1 /DMA/P /1
Page 30
entitled to engage in commercial working of the invention for the
purposes of subsection (1).
PART IX
VOLUNTARY AND NON-VOLUNTARY LICENCES
37. (1) Subject to section 32 the owner of a patent application or Voluntary licences.
patent may grant a licence in respect of the relevant invention.
(2) Any licence contract concerning a patent or an applica
tion therefor shall be filed with the Registrar who shall keep its
contents confidential but shall, upon payment of the prescribed fee,
record it in the Register and publish a reference thereto in the
Journal in the manner prescribed.
(3) Until such contract has been so recorded, the licence
shall have no effect against third parties, unless otherwise decided
by the Court.
( 4) In the absence of any provision to the contrary in the
terms of a licence contract, a licensee may not extend, to another
person, the authorisation conferred O!l him by the owner in accord
ance with subsection (1 ), nor may he assign or mortgage his licence.
(5) In the absence of any provision to the contrary in the
terms of a licence contract, the owner of a patent may continue to
enjoy the rights conferred on him by sections 33 and 36.
(6) To the extent that the licence has been granted as an
exclusive licence, the owner may not grant a licence in respect of the
invention to a third person and may not himself do any of the acts
ref erred to in sections 33 and 36.
(7) If, before the expiration of the licence contract, any of
the following events occur with respect to any patent application or
patent, the subject of that contract -
( a) the patent application is withdrawn or is deemed to
be withdrawn;
(b) the patent application is treated as if it had not been
filed; (c) the grant of the patent is refused; or
(d) the patent is invalidated, IP /N/1/DMA/P /1
Page 31
the licensee shall, from the date of the event, no longer be bound to
make any payment directly relating to that patent application or
patent.
(8) In any case referred to in subsection (7), the licensee
shall have the right to repayment of the payments already made and
directly relating to the patent application or patent in question,
provided that he has not benefited from the licence.
r-ico-vol\llltary licences. 38. (1 )( a) At any time after the expiration of four years from
the date of filing of a patent application or three years from the date
of the grant of a patent, whichever happens later, any interested
person may apply to the Court for the grant of a non -voluntary
licence under the patent on the grounds that the patented invention
is not being exploited or is being insufficiently exploited by
working the invention in Dominica, or by importation into Domi
nica.
(b) Notwithstanding paragraph (a), a non-voluntary li
cence shall not be issued if the owner of the patent satisfies the Court
that circumstances exist whkb justify the non-exploitation or
insufficient exploitation of the patented invention in Dominica.
(2) The Court shall, where it grants a non-voluntarv li
cence, fix-
( a) the scope and function of the licence;
(b) the time limit within which the licensee must begin
to exploit the patentt!d invention; and
(c) the amount of the remuneration to be paid to the
owner of the patent, and the conditions of the
payment thereof.
(3) The beneficiary of the non-voluntary licence shall -
( a) have the right to exploit the patented invention in
Dominica in accordance with the Court's order, IP/N/1/DMNP/l
Page 32
fa:ercise of powers on
applications under
section 38.
Infringement.
Proc~e<li ngs for
infringement. 39. The powers of the Courton an application under section 38
shall be exercised with a view to ensuring that the inventor or other
person beneficially entitled to a patent receives adequate remunera
tion having regard to the economic value of the licence.
PARTX
INFRINGEMENT
40. Subject to the provisions of sections 33(4), 35 and 38, the
performance, in relation to a patent, of any act referred to in sections
33 and 36 without the authorisation of the owner of the patent shall,
while it is in force, constitutes an infringement.
41. (1) The owner of the patent shall, in addition to any other
right, remedy or action available to him, have the right, subject to
sections 33( 4), 35, 38 and 42, to institute court proceedings against
any person who infringes the patent by performing, without his
authorisation, any of the acts referred to in section 33(2) or who
performs acts which make it likely that infringement will occur.
(2) A plaintiff in proceedings for infringement shall be
entitled to relief by way of -
( a) an injunction;
(b) the seizure, forfeiture or destruction of -
(i) any infringing product or article, or of any
product or article of which the infringing
product or article forms an inseparable
part; and
(ii) any article, instrument or thing by means of
which any infringing product or article was
produced;
(c) damages;
( d) an account of the profits derived from the infringe
ment; or
(e) any other relief provided for in the general law. Restrictions cm re.:overy
of damages for
infringemt'O!.
Rdief for infringement
of partially valid
patent. IP IN/ 1/DMA/P /1
Page 33
reasonable royalty which would have been payable by a licensee or
sub-licensee in respect of the patent concerned.
42. (1) In proceedings for infringement of a patent, damages
shall not be awarded, and no order shall he made for an account of
profits, against a defendant who proves that at the date of the
infringement he was not aware, and had no reasonable grounds for
supposing that the patent existed; and a person shall not be taken to
have been aware or to have had reasonable grounds for so supposing
by reason only ofthe application to a product of the word ""patent"
or '"patented", or any word or words expressing or implying that a
patent has been obtained for the product, unless the number of the
patent accompanied the word or words in question.
(2) \Vhere an amendment of the description of a patent has been
allowed under the provisions of this Act, no damages shall be
awarded in proceedings for an infringement of the patent commit
ted before the decision to allow the amendment unless the Court is
satisfied that the description as published was framed in good faith
and with reasonable skill and knowledge.
43. (1) If the validity of a patent is put in issue in proceedings
for infringement of the patent and it is found that the patent is only
partially valid, the Court may, subject to subsection (2), grant relief
in respect of that part of the patent which is found to be valid and
infringed.
(2) Where in any such proceedings it is found that a patent
is only partially valid, the Court shall not grant relief by way of
damages, costs or expenses, except where the plaintiff proves that
the description was framed in good faith and with reasonable skill
and knowledge and, in that event, the Court may grant relief in
respect of that part of the patent which is valid and infringed, subject
to the discretion of the Court as to costs or expenses and as to the date
from which damages should be reckoned.
(31 As a condition of relief under this section, the Court
' I
may direct that the description be amended to its satisfaction upon
an application made for that purpose under section 48 and an IP/N/1/DMA/P/1
Page 34
application may be so made accordingly, whether or not all other
issues in the proceedings have been determined.
44. (l) \Vhcre in any proceedings before the Court the validity Cerrifi.:ate ofoooteste<l
of a patent to any extent is contested and that patent is found by the validi:yofpa:ent.
Court to be wholly or partially valid, the C-0urt may certify the
finding and the fact that the validity of the patent was so contested.
(2) Where a certificate is granted under this section and in
any subsequent proceedings before the Court for infringement of
the patent concerned or for invalidation, a final order or judgment
is made or given in favour of the party relying on the validity of the
patent as found in the earlier proceedings, that party shall, unless the
Court otherwise directs, be entitled to his costs or expenses as
between attorney-at-law and client ( other than the costs or expenses
of any appeal in the subsequent proceedings).
45. (1) Subject to the provisions of this sec~ion, the holder of an Proceedings for
exclusive licence under a patent shall have the same right as the infrin~emen
1_ t by exclusive 1ceosee.
owner of the patent to bring any proceedings in respect of any
infringement of the patent committed after the date of the licence;
and references to the owner of the patent in this Act relating to
infringement shall be construed according! y.
(2) In awarding damages or granting any other relief in any
such proceedings, the Court shall take into account any loss suffered
or likely to be suffered by the exclusive licensee as such as a result
of the infringement, or, as the case may be, the profits derived from
the infringement, so far as it constitutes an infringement of the rights
of the exclusive licensee as such.
46. \Vhere by virtue of a transaction, instrument or event to EtTcc1 ofooo-
h · b · "O 1 · b h f h registration oo w IC section-' app 1es, a person ecomes t e owner or one o t e infringement
owners or an exclusive licensee of a patent and the patent is proceedings.
subsequently infringed, the Court shall not award him damages or
order that be be given an account of the profits in respect of such
subsequent infringement occurring before the transaction, instru-
ment or event is registered unless -
( a) the transaction, instrument or event is registered within
the period of six months beginning with its date; or IP/N/1/DMA/P/l
Page 35
(h) the Court is satisfied that it was not practicable to
register the transaction, instrument or event before the
end of that period and that it was registered as soon as
was practicable thereafter.
PARTXI
INVALIDATION OF PATENT
Invalictatioaofpateat. 47. (1) Subject to the provisions of this Act, the Court may, on
the application of any interested party, invalidate a patent on any of
the following grounds:
(a) that the invention is not an invention as defined in
this Act;
(b) that the patent concerned is not patentable under
section 8 or does not satisfy the requirements of
sections 9 (1), (2) and (3), and sections 10 and 11;
(c) that the invention is a matter which should, in
acc.:ordancc with section 12, have been excluded
from patent protection~
( d) that the patent was granted to a person who was not
entitled thereto under section 14 or 15 as the case
may be;
(e) that the patentee's application did not satisfy the
requirements of section 17( 4) to (7);
(f) that the subject matter of the patent extends beyond
the content of the patent application as filed or, if
the patent was granted on a divisional application,
it extends beyond the content of the relevant earlier
application as filed; or
(g) that the protection conferred by the patent has been
extended by an amendment which should not have
been allowed.
(2) Any invalidated patent, claim or part of a claim shall be
regarded as being null and void from the date of the grant of the
patent. IP/N/1/DMA/P/1
Page 36
(3) An application for the invalidation of a patent shall be
served on the patentee and filed with the Court in the manner and
within the time prescribed.
( 4) The Registrar of the High Court shall notify the Regis
trar of the final decision of the Court and the Registrar shall
forthwith record it and publish a reference thereto in the Journal.
48. (1) Subject to subsection (5), in any proceedings before the Ame::c:neoi of patent
Court in which the validity of a patent is put in issue, the Court mav ~ UU:r~?me:ir or • · ., mvahc:iticn
allow the owner of the patent to amend the patent in such manner, proce..-c:ngs.
and subject to such terms as to advertising the proposed amendment
and as to costs, expenses or otherwise, as the Court thinks fit.
(2) Any interested person may give notice to the Court of
his opposition to an amendment proposed by tbeownerofthe patent
under this section, and if he does so the Court shall notify the owner
and consider the opposition in deciding whether the amendment
should be allowed.
(3) An amendment of a description under this section shall
have effect and shall always be deemed to have effect from the grant
of the patent.
( 4) \Vhcre an application for an order under this section is
made to the Court, the applicant shall notify the Registrar who shall
be entitled to appear and be heard, and shall appear if so directed by
the Court.
(5) No amendment shall be allowed under this section if it
discloses matter which extends beyond that disclosed in the de
scription of the granted patent or extends the scope of the protection
conferred by the patent.
PART XII
UTILITY MODEL CERTIFICATES
49. (1) Except as otherwise provided under this Part, the provi- AppI:c:irion of
sions of this Act relating to patenl5 and applications shall apply to ::~:xsrelaiiogto
~ A 4 .t,. ., f''<l~C::U~.
utility model certificates and applications therefor. Qualification of
inventioo for utility
model certificate.
Duration of utility model
certificate.
Invalidation of utility
model certificate. IP /N/1/DMA/P /1
Page 37
(2) Sections 8, 10, 28 and 47(1) shall not apply to utility
model certificates and to applications therefor.
50. (1) An invention shall qualify for a utility model certificate
if it is new and industrially applicable.
(2) An invention for which a utility model certificate is
applied for shall not be considered new if it differs from earlier
inventions only in minor respects or in details which are immaterial
to the function or application of the invention.
51. A utility model certificate shall expire seven years after the
filing date of its application and shall not be renewed.
52. (1) Subject to the provisions of this Act, the Court may, on
the application of any interested person, invalidate a utility model
certificate on any of the following grounds:
( a) that the invention relating to the certificate is -
(i) not new or industrially applicable; or
(ii) contrary to public order or morality;
(b) that the description and claim or claims do not
disclose the invention in a manner which is suffi
ciently clear and complete to permit a person hav
ing ordinary skill in the art to carry out the inven
tion, and do not indicate at least one mode known to
the applicant for carrying out the invention;
( c) that the claim or claims do not define the matter for
which protection is sought;
( d) that the claim or claims are not clear or concise and
are not fully supported by the description;
(e) that the drawings necessary for the understanding
of the invention have not been filed as required
under this Act; and
(f) that the person to whom the utility model certificate
has been granted is not the inventoror his successor
in title. IP/N/1/DMA/P/l
Page 38
(2) An application for the invalidation of a utility model
certificate shall be served on the person to whom the certificate has
been issued and filed with the Court in the manner and time
prescribed.
(3) The Registrar of the High Court shall notify the Regis
trar of the decision of the Court to invalidate a utility model
certificate and the Registrar shall forthwith record it and publish a
reference thereto in the Journal.
53. (1) At any time before the grant or refusal ofa utility model Coavcrsico or
certificate an applicant may upon payment of the prescribed fee applicari~ for utility ' ' ' model cert16ca1e.
convert his application for a utility model certificate into an appli-
cation for a patent, and the latter application shall be accorded the
filing date of the initial application.
(2) No person may convert an application under subsection
(1) more than once.
PART XIII
INTERNATIONAL ARRANGEMENTS
54. The provisions of any international treaty in respect of Applica1ioo of1rca1ies.
industrial property to which Dominica is party shall apply to matters
dealt with by this Act and, in case of conflict with the provisions of
this Act, shall prevail over the latter.
SS. (1) (a) The Patent Cooperation Treaty (referred to in this huptcmen1:11ionof
section as "the Treaty"), the Regulations made thereunder, and the TPatent Co-opcratioo rcaty.
Administrative Instructions made under those Regulations shall be
given full effect
(b) Where reference is made in this section to the
Treaty, such reference shall include the Regulations and Adminis
trative Instructions referred to in paragraph ( a).
(2) The Companies and Intellectual Property Office shall
process international applications in accordance with the provi
sionsoftheTreaty,andinaccordancewith theprovisionsofthisAct
and the Regulations made thereunder. (3) Where the provisions of this Act and the Regulations
made thereunder conflict with those of the Treaty, the provisions of
the Treaty shall prevail.
( 4) An international application designating Dominica shall,
subject to this section, be treated as an application for a patent or a
utility model certificate filed under this Act having, as its filing date,
the international filing date accorded under the Treaty.
(5) The Companies and Intellectual Property Office shall
act as a receiving Office in respect of any international application
filed with it by a resident or national of Dominica.
(6) An international application filed with the Companies
and Intellectual Property Office as receiving Office shall be filed in
a prescribed language and the prescribed transmittal fee shall be
paid to the Registrar within one month of the date of receipt of the
international application.
(7) The Companies and Intellectual Property Office shall
act as a designated office in respect of an international application
in which Dominica is designated for the purposes of obtaining a
national patent or a utility model certificate under this Act.
(8) The Companies and Intellectual Property Office shall
act as an elected Office in respect of an international application in
which Dominica is designated as referred to in subsection (7) if the
applicant elects Dominica for the purposes of an international
preliminary examination under Chapter II of the Treaty.
(9) The Companies and Intellectual Property Office, as
designated Office or elected Office, shall not commence the process
ing of an international application before the expiration of the time
limit referred to in subsection (10) except if the applicant complies
with the requirements of that subsection and files, with the Compa
nies and Intellectual Property Office, an express request for the
early commencement of such processing.
(10) The applicant in respect of an international application
designating Dominica shall, before the expiration of the time limit
applicable under Article 22 or 39 of the Treaty, or of such later time
limit as may be prescribed in the Regulations -IP/N/1/DMA/P/l
Page 39 IP /N/1/DMA/P /l
Page40
(a) pay the prescribed fee to the Companies and Intel
lectual Property Office; and
(b) if the international application was not filed in, and
has not been published under the Treaty as a trans
lation into, a prescribed language, file, with the
Companies and Intellectual Property Office, a trans
lation of the international application, containing
the prescribed contents, into such language.
(11) \Vhere the applicant does not comply with the require
ments of subsection (10) within the time limit referred to in that
subsection, the international application shall be considered as
having been withdrawn for the purposes of this Act.
(12) In this section, the terms "'designate", "designated Of
fice", "'elect", "elected Office", "'international application", "inter
national filing date .. , "international preliminary examination" and
"receiving Office" have the same meanings as in the Treaty.
56. (1) Judicial notice shall be taken of the Paris Convention, Judicial noticeo£certain
the Patent Cooperation Treaty, or any other industrial property treaties.
Convention or Treaty to which Dominica may become party~ and of
any bulletin, journal or gazette published under such Convention or
Treaty.
(2) Any document referred to in any such bulletin, journal
or gazette shall be admissible as evidence of any instrument or other
act thereby communicated, or of any institution established by or
having functions under any Convention or Treaty referred to in
subsection (1).
PART XIV
GENERAL PROVISIONS
57. (1) Any change in the ownership of a patent or utility model Otangcsinowuership.
certificate or in the ownership of the application there for shall be in
writing and shall, upon the request of any interested party to the
Registrar, be recorded and, except in the case of an application, be
published in the Journal. IP IN/ l /D MA/P /1
Page 41
(2) A change under subsection (1) shall be of no effect
against third parties until it has been recorded.
Correction of errors. 58. (1) The Registrar may, of his own volition or upon the
E.~ensioa of time.
E.i:ercise of discrctioo
ary powers.
Agents.
Jurisdictico of Court. written request of any interested person, correct any clerical error or
error in translation or transcription in any application filed under
this Act, or in any document filed in pursuance of such application,
and the Registrar may also correct any clerical error in the Register.
(2) Subsection (1) shall not be construed as giving the
Registrar any power to correct in the Register, any application or
document in a material way.
59. (1) Where the Registrar is satisfied that the circumstances
justify it, he may, upon the written request of any interested person,
and upon such terms as he may direct, extend the time for doing any
act or taking any proceeding under this Act and the Regulations.
(2) The extension may be granted even though the time for
doing the act or taking the proceeding has expired.
(3) The Registrar shall give written notice of any extension
to the parties concerned.
60. The Registrar shall, before exercising any discretionary
power vested in him by this Act or the Regulations made thereun
der, give any party to a proceeding before him the opportunity of
being heard if his decision might adversely affect that party.
61. Every applicant whose ordinary residenceorprincipal place
of business is outside Dominica shall be represented by a legal
practitioner who is resident in Dominica and practising in Dominica
in accordance with the relevant law.
62. (1) The Court shall have jurisdiction in cases of disputes
relating to the application of this Act and the Regulations, and in
matters which, under this Act, may be brought before it.
(2) Any person who has been aggrieved by a decision of the
Minister or the Registrar under this Act may, within two months of
that decision, appeal to the Court. IP /NI 1/DMA/P / 1
Page 42
63. (1) Any person who intentionally or wilfully performs an Offences
act which constitutes an infringement as defined under section 40
commits an offence and is liable to a fine of not less than fifteen
thousand dollars but not more than forty thousand dollars, or to
imprisonment for a term of not less lhan five years but not more than
twelve years, or to both such fine and such imprisonment.
(2) Any person who, knowing the same to be false -
( a) makes or causes to be made a false entry in the
Register,
(b) makes or causes to be made any document falsely
purporting to be a copy of an entry in the Register;
or
(c) produces, tenders or causes to be produced or ten-
dered as evidence any such entry or copy thereof,
commits an offence and is liable to a fine of not less than ten
thousand dollars, but not more than thirty thousand dollars, or to
imprisonment for not less than three years, but not more than ten
years, or to both such fine and such imprisonment.
(3) Any person who, knowing the same to be false, makes
a false statement or representation that -
( a) a_patent or utility model certificate has been granted
to him or to any other person in respect of any
invention; or
(b) he has been granted an exclusive or non-voluntary
licence to use any patentor utility model certificate,
which statement or representation induces another person to act
thereon, commits an offence and is liable to a fine of not less than
five thousand dollars, but not more than twenty thousand dollars, or
to imprisonment for a term of not less than two years, but not more
than five years, or to both such fine and such imprisonment.
( 4) Any person who falsely represents that anything dis
posed of by him for value is a patented product or process he shall,
subject to subsections (5) to (7), be liable to a fine of not less than
four thousand dollars, but not more than ten thousand dollars. (5) For the purposes of subsection ( 4), a person who for
value disposes of an article having stamped, engraved or impressed
on it or otherwise applied to it the word "patent" or "'patented .. or
anything expressing or implying that the article is a patented
product, shall be taken to represent that the article is a patented
product.
(6) Subsection ( 4) shall not apply where the representation
is made in respect of a product after the patent for that product or,
as the case may be, the process in question has expired or been
invalidated and before the end of a period which is reasonably
sufficient to enable the accused to take steps to ensure that the
representation is not made ( or does not continue to be made).
(7) In proceedings for an offence under this section it shall
be a defence for the accused to prove that he used due diligence to
prevent the commission of the offence.
(8) Any person who represents that a patent has been
applied for in respect of any article disposed of for value by
him, and-
( a) no such application has been made; or
(b) any such application has been refused or with
drawn,
commits an offence and is liable to a fine of not less than four
thousand dollars, but not more than ten thousand dollars.
(9) Subsection (B)(b) shall not apply where the representa
tion is made in respect of a product after the patent for that product
or, as the case may be, the process in question has expired or been
invalidated, and before the end of a period which is reasonably
sufficient to enable the accused to take steps to ensure that the
representation is not made (or does not continue to be made).
(10) For the purposes of subsection (8) a person who for
value disposes of an article having stampe~ engraved or impressed
upon it or otherwise applied to it the words "patent applied for" or
"patent pending" or anything expressing or implying that a patent IP /N/1/D MA/P /1
Page 43 IP/N/1/DMA/P/1
Page44
has been applied for in respect of the article, shall be taken to
represent that a patent has been applied for in respect of the article.
(11) Where an offence under this Act which has been com
mitted by a body corporate is proved to have been committed with
the consent or connivance of, or to be attributable to, any neglect on
the part of, a director, manager, secretary or other similar officer of
the body corporate, or any person who was purporting to act in any
such capacity, he, as well as the body corporate commit an offence
and is liable to be proceeded against and punished accordingly.
(12) Where the affairs of a body corporate are managed by
its members, subsection (11) shall apply in relation to the acts and
defaults of a member in connection with his functions of manage
ment as if he were a director of the body corporate.
64. Neither the Minister nor any person employed by the State lm.mUDityrcg13rding ~ll- ~~~
(a) be taken to warrant the validity of any patent granted
under this Act; or
(b) incur any liability by reason ofor in connection with any
examination or investigation required or authorised by
this Act or any report or other proceedings consequent
upon any such examination or investigation.
65. The Registrar shall, before 1st June every year, make an Registrar's annual n:port.
annual report to the Minister with respect to the operation of this Act
and the discharge of his functions thereunder.
66. Nothing in this Act shall affect the right of the State or any Saving in respect of
1 d b . . . , f • d d rights to sell forfeited person emp oyc y 1t to dispose of or use articles 1or e1te un er articles.
the laws relating to customs and excise.
67. A prosecution for an offence under this Act shall not be Tune limi1 for
commenced after the expiration of five years after the commission J'TO'CCU!ioo.
of the offence or one year after the discovery thereof, whichever
occurs last. Regulations.
Administrative
Instru.ctioos.
Act binding oo State.
Repeal.
Oi. 78:40.
Oi. 78:45.
Transitiocal. IP /N/1 /DMA/P /1
Page45
68. (1) The Minister may make Regulations providing for any
matter which is to be prescribed under this Act, or for giving effect
to the purooses of this Act.
(2) Without derogating form the generality of subsection
(1), the Minister may make Regulations providing further details
for the processing of international applications by, and other func
tions of, the Registrar in connection with the Patent Cooperation
Treaty, including fees payable, time limits, prescribed languages
and other requirements relating to international applications.
69. The Registrar may issue actmmistrative instructions relating
to the procedures under this Act, the Regulations made thereunder,
and any other enactment relating to industrial property, as well as
relating to the general functions of the Companies and Intellectual
Property Office.
70. This Act binds the State.
71. (1) The Patents Act and the Registration of United Kingdom
Patents Act (referred to in this section as ""the former Acts") are
hereby repealed, save that all Orders, Rules or Regulations made
thereunder shall, in so far as they are not inconsistent with this Act,
continue in force until revoked by Regulations made under this Act.
72. (1) Notwithstanding the repeal of the former Acts, patents
granted thereunder shall remain in force but shall, subject to subsec
tions (2) and (3), be deemed to have been granted under this Act.
(2) Patents thus granted shall remain in force for the unex
pired portion of the period of protection provided under this Act
subject to the payment of annual maintenance fees or renewal fees
provided for in this Act.
(3) A person who on the date of entry into force of this Act
is the owner of a patent granted in the United Kingdom or a
European patent designating the United Kingdom or has filed an
application in the United Kingdom for the grant of a patent or an
application for the grant of an European patent designating the IP /Nil ID MAIP /1
Page 46
United Kingdom may, within 12 months of the entry into force of
this Act, file an application for the grant of a patent for the same
invention under this Act, and such application shall be accorded the
filing date or priority date accorded to the application or grant by the
United Kingdom Patent Office or by the European Patent Office, as
the case may be.
( 4) Where, upon the entry into force of this Act, an appli-ai. 78:40.
cation made under the Patents Act is pending, such application
shall, notwithstanding the provisions of subsection (1), be dealt
with under the said Patents Act but the grant shall thereafter be
subject to this Act.
(5) Notwithstanding subsection (1), the Patents Act shall 0i. 78:40
continue to apply so far as it is necessary to enable any person
applying for a patent before this Act comes into force to do so, but
any patent thus granted shall be deemed to have been granted under
this Act.
(6) The Minister may by Order published in the Gazette
make any further transitional or saving provisions which appear to
him to be necessary or desirable.
73. (1) This Act shall come into force on such day as the Cocmcno:mcnt.
Minister may, by Order published in the Gazette, appoint.
(2) Different days may be appointed for bringing different
provisions into force, or for bringing different purposes of the same
provision into force. ,
Passed in the House of Assembly this 9th day of September, 1999.
RUTH SIMON (MRS.)
Clerk of the House of Assembly (Ag.)
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. /. ORGANIZACIÓN MUNDIAL
DEL COMERCIO G/SPS/N/USA/977
8 de septiembre de 2004
(04-3738)
Comité de Medidas Sanitarias y Fitosanitarias Original: inglés
NOTIFICACIÓN
1. Miembro que notifica: ESTADOS UNIDOS
Si procede, nombre del gobierno local de que se trate:
2. Organismo responsable: Agencia de Protección del Medio Ambiente (EPA)
3. Productos abarcados (número de la(s) partid a(s) arancelaria(s) según se especifica en
las listas nacionales depositadas en la OMC; deberá indicarse además, cuando
proceda, el número de partida de la ICS): Productos a los que se aplica el plaguicida
yodo, yoduro de potasio (plátano (banana), uva y melón)
4. Regiones o países que podrían verse afectados, en la medida en que sea pertinente o
factible: Interlocutores comerciales de los Estados Unidos
5. Título, idioma y número de páginas del documento notificado: Notice; Iodin-potassium
iodide; Notice of Filing a Pesticide Petition to Establish a Tolerance for a Certain Pesticide Chemical in or on Food (Aviso: Yodo, yoduro de potasio – Aviso de la
presentación de la solicitud de establecimiento de niveles de tolerancia de los residuos de
una determinada sustancia química plaguicida en el interior o en la superficie de los alimentos) – Disponible en inglés, 6 páginas.
6. Descripción del contenido: El aviso notificado anuncia la recepción de una solicitud
inicial de establecimiento de una exención del cumplimiento de los niveles de tolerancia de
residuos de yodo, yoduro de potasio en el interior o en la superficie de plátano (banana),
uva y melón (productos agrícolas sin elaborar).
7. Objetivo y razón de ser: [ X ] inocuidad de los alimentos, [ ] sanidad animal,
[ ] preservación de los vegetales, [ X ] protección de la salud humana contra las
enfermedades o plagas animales o vegetales, [ ] protección del te rritorio contra otros
daños causados por plagas
8. Norma, directriz o recomendación internacional:
[ ] de la Comisión del Codex Alimentarius, [ ] de la Organización Mundial de
Sanidad Animal (OIE), [ ] de la Convención Internacional de Protección Fitosanitaria,
[ X ] Ninguna
Si existe una norma, directriz o recomendación internacional, facilítese la referencia
adecuada de la misma y señálense br evemente las diferencias con ella: n.d.
9. Documentos pertinentes e idioma(s) en que están disponibles:
Código DOCID : fr-; Federal Register de 27 de agosto de 2004, (Volumen 69, Nº 166),
páginas 52679 a 52684
http://www.epa.gov/fedrgstr/EPA- PEST/2004/August/Day-27/p19620.htm
Disponible en inglés G/SPS/N/USA/977
Página 2
10. Fecha propuesta de adopción: No disponible
11. Fecha propuesta de entrada en vigor: No disponible
12. Fecha límite para la presentación de observaciones: 27 de septiembre de 2004
Organismo o autoridad encargado de tramitar las observaciones: [ X ] Organismo
nacional encargado de la notificación, [ ] Servicio nacional de información, o dirección,
número de telefax y dirección de correo elec trónico (si la hay) de otra institución:
Registration Division (7505C), Offi ce of Pesticide Programs (OPP),
Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460. [email protected]
Nota: Sírvanse indicar la referenc ia del expediente de consulta ( docket ) "OPP-2004-0271"
en el espacio destinado al tema de la respuesta.
13. Textos disponibles en: [ ] Organismo nacional encargado de la notificación,
[ X ] Servicio nacional de información, o dirección, número de telefax y dirección de
correo electrónico (si la h ay) de otra institución:
Ms. Julie Morin, United States SPS Enquiry Point Officer,
USDA Foreign Agricultural Service, Food Safety & Technical Services Division,
Stop 1027, Washington D.C. 20250.
Teléfono: 202-720-4051; telefax: 202-690-0677; correo electrónico: [email protected]
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. /.ORGANISATION MONDIALE
DU COMMERCEG/SPS/N/PER/19
7 juillet 2000
(00-2787)
Comité des mesures sanitaires et phytosanitaires Original: espagnol
NOTIFICATION DE MESURES D'URGENCE
1. Membre de l’Accord adressant la notification: PÉROU
Le cas échéant, pouvoirs publics locaux concernés:
2. Organisme responsable: Service national des affaires zoosanitaires et phytosanitaires
(SENASA)
3. Produits visés (prière d'indiquer le(s) numéro(s) du tarif figurant dans les listes
nationales déposées à l'OMC, les numéros de l’ICS peuvent aussi être indiqués, le caséchéant). Régions ou pays susceptibles d'être concernés, si cela est pertinent ou
faisable: Pesticides chimiques pour l'agriculture
4. Intitulé et nombre de pages du texte notifié: Règlement relatif à l'enregistrement et au
contrôle des pesticides chimiques pour l'agriculture (40 pages)
5. Teneur: Approbation du Règlement relatif à l'enregistrement et au contrôle des pesticides
chimiques pour l'agriculture, qui se retrouve harmonisé avec la Décision n° 436 de la
Communauté andine. Ce système harmonisé d'enregistrement et de contrôle des pesticides
contribue à améliorer les conditions de production et de manipulation desdits pesticides
ainsi que l'élimination de leurs déchets, d'où une élévation des niveaux de qualité sanitaireet d'efficacité de ces intrants. Il permet aussi de prévenir les atteintes à la santé des
personnes et à l'environnement, facilitant ainsi le commerce intérieur ou extérieur de ces
produits.
6. Objectif et raison d'être: [ X ] innocuité des produits alimentaires, [ ] santé des
animaux, [ ] préservation des végétaux, [ X ] protection des personnes contre les
maladies ou les parasites des animaux/des plantes, [ X ] protection du territoire contre
d'autres dommages attribuables à des parasites
7. Nature du (des) problème(s) urgent(s): Amélioration d'un instrument juridique afin de
permettre une évaluation correcte de l'enregistrement et des actions suivant l'enregistrement,et harmonisation des normes nationales avec la Décision n° 436 de la Communauté andine.
8. Il n'existe pas de norme, directive ou recommandation internationale [ ] .
S'il existe une norme, directive ou recommandation internationale, en donner la
référence correcte et indiquer brièvement en quoi le texte notifié est différent:
Décision n° 436 publiée au Journal officiel du 17 juin 1998 (approbation de la Norme
andine relative à l'enregistrement et au contrôle des pesticides chimiques pour l'agriculture,
texte à caractère supranational et d'application obligatoire pour le commerce intra-régional
et sous-régional ainsi qu'avec les pays tiers)
9. Documents pertinents et langue(s) dans laquelle (lesquelles) ils sont disponibles:
Décret Suprême N° 016-2000-AG (disponible en espagnol)G/SPS/N/PER/19
Page 2
10. Date d'entrée en vigueur/période d'application (le cas échéant): 9 mai 2000
11. Entité auprès de laquelle le texte peut être obtenu et organisme ou autorité désigné
pour traiter les observations: [ ] autorités nationales responsables des notifications,
[ X ] point national d'information [ ] ou adresse, numéro de téléfax et adresse
électronique (s'il y a lieu) d'un autre organisme:
Servicio Nacional de Sanidad Agraria – SENASA
Ministerio de AgriculturaPasaje Zela s/n, Piso 10
Lima – 11
Pérou
Téléfax: (+511) 433 8048
Courrier électronique: [email protected]
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ORGANIZACIÓN MUNDIAL
DEL COMERCIOG/SG/N/8/IND/1
18 de septiembre de 1998
(98-3596)
Comité de Salvaguardias Original: inglés
NOTIFICACIÓN EN VIRTUD DEL APARTADO b) DEL PÁRRAFO 1 DEL
ARTÍCULO 12 DEL ACUERDO SOBRE SALVAGUARDIAS RELATIVA
A LA CONSTATACIÓN DE DAÑO GRAVE O AMENAZA DE DAÑO
GRAVE A CAUSA DEL AUMENTO DE LAS IMPORTACIONES
INDIA
Se ha recibido de la Misión Permanente de la India la siguiente comunicación, de fecha 26 de
agosto de 1998.
_______________
Tengo instrucciones de referirme a la comunicación de la India de fecha 18 de diciembre
de 1997, distribuida como documento de la OMC G/SG/N/6/IND/1, de fecha 7 de enero de 1998,relativa a un aviso de iniciación de una investigación en materia de salvaguardias con respecto a lasimportaciones de "negro de humo de acetileno" en la India, y de transmitir adjunta una copia de lanotificación Nº SG/INV/1/1997, de fecha 16 de junio de 1998, con arreglo al apartado b) delpárrafo 1 del artículo 12 del Acuerdo sobre Salvaguardias, que contiene las constataciones finales delDirector General (Salvaguardias) relativas a la investigación objeto de referencia.
Cabe destacar que el Gobierno de la India no ha adoptado aún, sobre la base de esas
constataciones, la decisión de imponer derechos de salvaguardia a las importaciones de negro de humode acetileno en la India. Se solicita que es ta notificación en virtud del ap artado b) del párrafo 1 del
artículo 12 del mencionado Acuerdo se señale a la atención de los Miembros.
ÍNDICE
Página
A) PROCEDIMIENTO .................................................................................. 3
B) OPINIONES DE LA RAMA DE PRODUCCIÓN NACIONAL ............................ 4
C) OPINIONES DE LOS USUARIOS/IMPORTADORES ...................................... 8
D) OPINIONES DE LOS EXPORTADORES/PAÍSES EXPORTADORES ................10
E) CONSTATACIONES DEL DIRECTOR GENERAL ........................................13
Producto objeto de investig ación ....................................................................13
Rama de producci ón naciona l ........................................................................14
Aumento de las importaci ones .......................................................................14
Daño grav e .............................................................................................15
Relación de cau salidad ................................................................................16G/SG/N/8/IND/1
Página 2
Página
OTRAS CUESTIONES .........................................................................................21
Ineficiencia de los pr oductores n acionales ...........................................................21
Interés de los co nsumidor es ............................................................................21
Comparabilidad del precio del negro de humo de acetile no producido mediante
distintos métodos .......................................................................................22
Plan de r eajuste ..........................................................................................22
Cuota de los dis tintos países ...........................................................................23
CONCLUSIÓN Y RECOMENDACIONES DEL DIRECTOR GENERAL ........................23G/SG/N/8/IND/1
Página 3
DIRECTOR GENERAL (SALVAGUARDIAS)
5TH FLOOR, DRUM SHAPE BUILDING
I.P. BHAWAN, I.P. ESTATE
NUEVA DELHI
NOTIFICACIÓN
SG/INV/1/1997
16 de junio de 1998
Asunto: Investigación en materia de salvaguardias con respecto a las importaciones de negro
de humo de acetileno - Constataciones Finales
Habida cuenta de la Ley del Arancel de Aduanas de 1975 y del Reglamento del Arancel de
Aduanas (Establecimiento y percepción de derechos de salvaguardia), de 1997.
A) PROCEDIMIENTO1. El Director General (Salvaguardias), en adelante denominado DG, notificó las constataciones
preliminares de la Investigación en Materia de Salvaguardias con respecto a las importaciones denegro de humo de acetile no (en adelante denominado NHA); vé ase la notificación Nº SG/INV/1/97,
de fecha 27 de enero de 1998, publicada en la Gaceta Oficial el 4 de febrero de 1998.
2. Se envió copia de la citada Notificación a todas las partes interesadas conocidas para que a
más tardar el 9 de marzo de 1998 comunicaran sus opiniones sobre esas constataciones preliminares.También se envió copia del aviso a los gobiernos de los países exportadores, por conducto de susembajadas en Nueva Delhi.
3. Las siguientes partes solicitaron que se prorrogara el plazo para presentar sus respuestas:
i) Panyam Cements and Mineral Industries Ltd.
ii) Senka Carbon Pvt. Ltd.iii) Tecil & Hydro Power Ltd.iv) Consejero Económico y Comercial, Embajada de la República Popular de China.
En atención a esa solicitud, el plazo se prorrogó hasta el 24 de marzo de 1998.
4. Se recibieron respuestas al aviso de fecha 27 de enero de 1998 de las siguientes partes:
a) Todos los productores internos, por conducto de sus representantes legales;b) Todos los importadores, por conducto de sus representantes legales;c) Exportadores/gobiernos de países exportadores:
i) Alto Comisionado de la República de Singapur.
ii) Embajada de la República Popular de China.
iii) MCCI Corporation, Filipinas.G/SG/N/8/IND/1
Página 4
iv) Alto Comisionado de Sudáfrica, en nombre de seis países interesados, a
saber, Bélgica, República Popular de China, Japón, Filipinas, Singapur y
Sudáfrica.
v) Denki Kagaku Kogyo Kabushiki Kaisha (DENKA).vi) Denka Singapore Private Ltd. (DSPL).vii) Embajada de Francia.viii) Embajada del Japón.
5. La verificación de la información que se estimó necesaria para la investigación fue realizada
por un equipo de funcionarios que a esos efectos visitó en marzo de 1998 las instalaciones de losproductores nacionales y de algunos de los importadores/fabricantes de pilas. El resultado de laverificación se comunicó a las partes interesadas.
6. Una Audiencia Pública que se preveía celebrar el 12 de mayo de 1998 se aplazó hasta el 26 de
mayo de 1998, fecha en la que se celebró. Asistieron a la audiencia pública las siguientes partes:
i) Todos los productores nacionales, por medio de sus representantes legales.
ii) Todos los importadores, por medio de sus representantes legales.iii) Denki Kagaku Kogyo Kabushiki Kaisha (DENKA), por medio de su representante
legal.
iv) Denka Singapore Pvt. Ltd. (DSPL), por medio de su representante legal.v) Karbochem, Sudáfrica, por medio de su agente local.vi) Alta Comisión de Sudáfrica.vii) Embajada del Japón.viii) República de Singapur.
Se solicitó que las pruebas presentadas oralmente con ocasión de la Audiencia Pública se
comunicaran por escrito de forma que llegaran a la oficina del DG el 3 de junio de 1998. Se pidió alas partes que recogieran copias de las comunicaciones escritas de otras partes en la oficina del DGel 4 de junio de 1998 y que presentaran sus réplicas, si deseaban replicar, a más tardar el 10 de juniode 1998.
B) OPINIONES DE LA RAMA DE PRODUCCIÓN NACIONAL7. Los productores nacionales han hecho las siguientes observaciones principales:
i) No tienen conocimiento de la existencia de la Asociación de Fabricantes de Pilas
Secas (ADCBM), y no les consta que sea un órgano facultado para hacer comunicaciones. LaADCBM no figuraba en la solicitud presentada por los productores nacionales de negro dehumo de acetileno, ni se incluyó a sí misma como parte intere sada. A pesar de ello, el DG ha
tenido en cuenta las cuestiones planteadas por la ADCBM.
ii) El análisis del daño para 1996-1997 y 1997-1998 realizado por la ADCBM no refleja
con exactitud la situación que prevalece en la rama de producción de NHA. La disminucióndel nivel de ventas y de producción, especialmente en 1997-1998, se debe únicamente a lasimportaciones indiscriminadas de NHA, a la reducción artificial y desleal de los precios porlos países exportadores y a la reiterada voluntad de los fabricantes nacionales de pilas secas decrear una guerra de precios entre las importaciones y las fuentes autóctonas, revisar los
calendarios y reducir el consumo bajo amenaza de seguir importando si los fabricantes
nacionales no reducían sus precios hasta niveles de explotación no rentables.G/SG/N/8/IND/1
Página 5
iii) La oferta de fuentes nacionales no fue deficitaria, a pesar de los problemas en el
suministro de energía eléctrica en Kerala y del bajo rendimiento del sector en 1996-1997. Larama de producción nacional se vio más gravemente afectada en 1997-1998 por laimportación de grandes cantidades de NHA a precios poco realistas e inferiores a los delmercado local fijados por los proveedores extranjeros.
iv) Las grandes importaciones de NHA, que comenzaron en 1996-1997 y no se han
interrumpido, han afectado a los resultados de los fabricantes de NHA, especialmente en1997-1998 (segunda mitad), fechas en que las fábricas funcionaron intermitentemente,reduciendo su producción por debajo del nivel de explotación rentable. La disminución de laproducción y venta de NHA y la reducción drástica de los precios de adquisición ofrecidospor los fabricantes de pilas secas de la India (IDCBM) está afectando gravemente a losresultados financieros del sector.
v) En el trimestre octubre-diciembre de 1997, la producción de NHA de Panyam se
redujo a 296 toneladas métricas (tm), en comparación con 937 tm en el período abril-septiembre de 1997. En septiembre de 1997, Panyam tenía grandes existencias sin venderdebido a la falta de pedidos confirmados/instrucciones de envío.
vi) A pesar de los problemas en el suministro de energía eléctrica en Karnataka y Kerala,
Panyam, cuya capacidad instalada era 1.800 TPA y que conforme a lo previsto debía producircon una eficiencia del 80 por ciento, de hecho produjo nada menos que 1.949 tm en1996-1997, pero sólo pudo vender 1.786 tm como consecuencia de la disminución delconsumo.
vii) El cierre de la fábrica de Panyam durante un mes en septiembre de 1996 fue para
trabajos de mantenimiento anual, que son habituales en todas las fábricas.
viii) Senka sólo vendió 404 tm, 407 tm y 630 tm de NHA (incluidos tr abajos específicos)
en los años 1994-1995, 1995-1996 y 1996-1997, respectivamente, con una capacidad instaladade 600 TPA, 600 TPA y 900 TPA, respectivamente. En 1996-1997 Senka aprovechó más sucapacidad, pero sólo porque Indo-National Ltd. (INL) estimó prudente comprar más NHA aSenka en lugar de importarlo, e incluso organizó el suministro de carburo cálcico a Senkapara que esta empresa pudiera producir NHA por el método de conversión. EvereadyIndustries y Lakhanpal también podían haber u tilizado la cap acidad aún disponi ble de Senka,
especialmente cuando Tecil pasó por momentos difíciles debido a razones ajenas a la empresa.En 1997-1998, también INL dejó de hacer pedidos específicos a Senka y recurrió a laimportación.
ix) Geep se ha abstenido reiteradamente de recoger el material que había encargado en
las fechas previstas. También insistió en obtener crédito a 30 días, y Senka, que se lo habíaofrecido, tuvo que hacer continuas gestiones para conseguir el pago. De esas circunstancias,Senka dedujo que sólo se le hacían pedidos para contrarrestar la irregularidad en el suministroo la llegada de NHA importado.
x) Tecil sólo tuvo problemas laborales y de suministro de energía eléctrica durante un
corto período en 1996. La insuficiencia en el suministro y el alto porcentaje de cortes deenergía eléctrica en la rama de producción de carburo sólo sucedieron durante un corto
período en 1996-1997, y la situación volvió a normalizarse en noviembre de 1996.G/SG/N/8/IND/1
Página 6
xi) La alegación de que los Fabricantes de Negro de Humo de Acetileno de la India
(IABM) no pudieron satisfacer las peticiones de los IDCBM, lo que dio lugar a la importaciónde NHA, no es cierta, ya que los IDCBM no hicieron ningún pedido a Senka ni a Panyam, yno se produjo un solo caso de rechazo o negativa a satisfacer un pedido. Lo cierto es que losIABM, con su NHA producido mediante el método tradicional, no pudieron competir con elprecio del NHA fijado por los proveedores extranjeros. La reducción de las compras de losIDCBM en el mercado nacional ha hecho que los niveles de explotación de los IABM no seanya rentables.
xii) En 1990, Geep rechazó inicialmente el primer suministro de NHA proporcionado por
Senka, que satisfacía plenamente las especificaciones normalizadas de la India. Geep tardómucho tiempo en devolver el material, que resultó ser perfectamente adecuado y se vendió aotros clientes. Se les comunicó que el acabado final del material de Senka se basaba en quesu principal cliente, INL, requería baja densidad. Geep tenía dos fábricas, una en Allahabady la otra en Mysore. Mientras que la fábrica de Allahabad no planteó ningún problema decalidad, hacia fines de 1996 la fábrica de Mysore alegó que la calidad del NHA de Senka noestaba a la altura de sus especificaciones. Esto parece sugerir que en el marco de una mismaempresa dos instalaciones fabrican productos idénticos, pero con un nivel distinto deaceptación de insumos, lo cual es improbable. Lo más probable es que Geep se hubieracometido a importar y buscara excusas para no comprar a los fabricantes nacionales. Suconsumo se redujo como consecuencia de la acumulación de existencias de NHA importado.
xiii) También Tec il había estabilizado la ca lidad de su producto, como cabe deducir de una
referencia al libro titulado "Technology in India Acetylene Black Industry - a report preparedunder the National Register for Foreign Collaborations - Government of India - Department ofScientific and Industrial Research - August 1988", página 22, página 26, párrafo 3.5, ypágina 68, párrafo 6.6.
xiv) Tecil redujo el costo de producción del NHA de 127.576 Rs en 1996-1997 a
110.146 Rs, reduciendo el consumo de energía eléctrica para la manufactura de carburocálcico.
xv) Tanto Panyam como Tecil han observado que la manufactura de carburo cálcico es
rentable aunque el consumo de energía eléctrica sea marginalmente más elevado. Senkatambién compra carburo cálcico, a un precio razonable, a una empresa de renombre del surde la India.
xvi) Tecil está desarrollando proyectos hidroeléctricos. Panyam y Senka se proponen
obtener acetile no gaseoso de los complejos petroquími cos que utili zan gas natural para la
manufactura de etile no, en la que se liber a acetile no gaseoso como producto secundario. El
argumento según el cual el ajuste a la competencia no es viable carece de fundamento.
xvii) El costo desembarcado ponderado (tras despacho portuario) del NHA siempre fue
más alto en 1994-1995, 1995-1996 y 1996-1997, pe ro no en el año 1997-1998, al haberse
reducido los precios de los proveedores extranjeros. El precio ha bajado durante ese períodode 2.400 dólares EE.UU. por tm a 1.700 dólares EE.UU. por tm.
xviii) La pretensi ón de INL de que los precios se reduzcan a 95.000 Rs por tm debido al
aumento del precio del zinc no tiene fundamento, ya que los precios del zinc han caído
espectacularmente, y se espera que sus efectos se manifiesten en 1998-1999.G/SG/N/8/IND/1
Página 7
xix) Panyam ha dejado de producir desde fines de enero de 1998.
xx) Las importaciones han aumentado cerca del 1.100 por ciento en 1996-1997, y la
tendencia a importar NHA continúa en 1997-1998, ya que las importaciones en ese períodoaumentaron hasta alcanzar las 1.640 tm. En los primeros seis meses de 1997-1998 (abril-septiembre) se importaron 625,38 tm.
xxi) Las ventas de NHA producido en el país han disminuido, totalizando 2.001 tm en
1997-1998, y los productores nacionales ya no obtienen beneficios.
xxii) La rama de producción nacional se está reestructurando. Senka y Panyam están
estudiando la posibilidad de fabricar NHA utilizando hidr ocarburos en lugar de carburo
cálcico, y Tecil está tratando de autoproducir energía hidroeléctrica, reduciendo así el costode producción.
xxiii) Los productores nacionales han pedido que no se excluya el producto exportado de
Bélgica por el mero hecho de que se denomine "carbón conductivo", ya que tanto comercialcomo técnicamente sustituye al NHA.
xxiv) Los problemas laborales y de suministro de energía eléctrica se superpusieron en
Tecil. Una vez reiniciada la producción normal, en 1996, se acumularon enormesexistencias, ya que las ofertas que la empres a formuló por escrito no fueron aceptadas por los
fabricantes de pilas secas.
xxv) En la solicitud sobre salvaguardias, la expresión "dumpi ng" se utiliza genéricamente,
y no en el sentido técnico del término.
xxvi) El informe del Departamento de Investigación Científica e Industrial sobre fabricación
de NHA en la India es un informe de 1988, y no es enteramente fiable en el contexto actual,ya que muchos parámetros han cambiado con posterioridad a esa fecha.
xxvii) Tecil autoproduce carburo cálcico, por lo que seguirá fabricando NHA mediante ese
método.
xxviii) El carburo cálcico y el NHA son dos productos diferentes, am bos fabricados en el
país, y las cuestiones relacionadas con el carburo cálcico no deben mezclarse con lasrelacionadas con el NHA.
xxix) Los productores nacionales de NHA no están en condiciones de generar recursos
adecuados para fac ilitar su r eestructuración a no ser que se impongan derechos de
salvaguardia a las importaciones de NHA.
xxx) Los precios c.i.f. fijados por los exportadores son los mismos, con independencia del
proceso de fabricación, es decir, por métodos petroquímicos o mediante carburo cálcico. Porconsiguiente, no es necesario hacer distinciones basadas en los métodos de fabricación.
xxxi) La principal razón del aumento de las importaciones fue la reducción del precio del
NHA importado.
xxxii) La rama de producción nacional tiene intención de ajustar sus instalaciones. Tecil está
instalando una central hidroeléctrica en Ullunkal de la que ya se ha completado más deG/SG/N/8/IND/1
Página 8
un 80 por ciento. También está colaborando con Kedab Engineering, de Australia, para
agrandar y modernizar las instalaciones de producción, con objeto de aumentar la capacidadinstalada hasta 3.600 TPA. Senka y Panyam han presentado conjuntamente al Ministerio deProductos Químicos y Fer tilizantes un plan para obtener acetile no de sus refinerías. También
han presentado un plan con carácter confidencial.
C) OPINIONES DE LOS USUARIOS/IMPORTADORES8. Los usuarios/importadores de NHA han formulado las siguientes observaciones principales:
i) En 1997-1998 no se ha importado NHA en la India en tales "cantidades superiores" si
se compara con 1996-1997 en términos absolutos. En los primeros cuatro meses de 1997-1998 se importaron 250,57 tm, cifra proporcionalmente menor que las importacionescorrespondientes en 1996-1997, que totalizaron 280 tm.
ii) El porcentaje que las importaciones representan en la producción nacional aumentó
del 25,68 por ciento en 1996-1997 al 29,54 por ciento en 1997-1998, es decir, sólo un 4 porciento, por lo que no puede considerarse que las importaciones del artículo hayan aumentadotanto. Dichas importaciones no han aumentado en términos absolutos ni en términos relativosa la producción nacional, por lo que no se satisface la condición fundamental para invocar lasección 8B. La determinación del aumento de las importaciones por referencia a 1994-1995 y1995-1996 ha llevado a esta conclusión errónea.
iii) También el aná lisis de los daños a la producción, la utilización de capacidad, etc. está
viciado, porque éstas se han considerado en relación con los años 1994-1995 y 1995-1996.Como 1996-1997 fue el primer año en que se importó NHA, debido a los problemas queafrontaban los fabricantes nacionales de NHA, la disminución de la producción, las ventas, lacuota de mercado, etc., en 1997-1998 debe estudiarse únicamente en relación con 1996-1997.
iv) Aunque la producción nacional de negr o de humo de acetile no ha disminuido de
3.570 tm en 1995-1996 a 3.275 tm en 1996-1997, la producción de Panyam aumentó de1.922 tm a 1.949 tm de 1995-1996 a 1996-1997, pese a que Panyam estuvo cerrada un mes aefectos de mantenimiento. La producción de Senka también aumentó de 440 tm a 630 tm en1996-1997, y la producción de Oswal aumentó de 206,25 tm en 1995-1996 a 221,65 tm en1996-1997. Por consiguiente, tres de los cuatro productores nacionales de NHA aumentaronsu producción en 1996-1997. Sólo el cuarto productor, Tecil, redujo su producción de1.031,8 tm a 473,93 tm. La disminución de la producción de Tecil fue consecuencia deprolongados cortes de energía eléctrica y de una huelga de sus trabajadores. Por tanto, ladisminución de la producción de Tecil no se debió al aumento de las importaciones, como seha alegado.
v) La menor utili zación de la capacidad debe atribuirse prin cipalmente a la disminución
en un 14 por ciento de la demanda aparente en la primera mitad de 1997-1998, al aumento decerca del 6 por ciento de la capacidad instalada y a los problemas laborales y de suministro deenergía eléctrica que afrontó Tecil, pero en ningún caso al aumento de las importaciones. Lamayor participación de las importaciones en la cuota de mercado (del 21,8 por ciento en1996-1997 al 22,81 por ciento en 1997-1998, es decir, un 1 por ciento) no puede considerarsecomo un daño grave que constituya un menoscabo general significativo de la situación de la
rama de producción nacional.G/SG/N/8/IND/1
Página 9
vi) El daño a la rama de producción nacional es un daño autoinfligido por haberse
aumentado la capacidad instalad a de 5.300 tm a 5.600 tm a pesa r de la baja utilización de la
capacidad. Brilla por su ausencia la relación de causalidad entre el aumento de lasimportaciones y un daño grave a la rama de producción nacional.
vii) El certificado de calidad que Senka obtuvo de INL fue muy anterior al período actual
de investigación de 1997-1998. En sus Constataciones Preliminares, el DG pasó totalmentepor alto el problema de calidad señalado por Geep a la atención de Senka en 1997. La ramade producción nacional no ha tomado ninguna medida para pasar del método del carburocálcico al método petroquímico en la fabricación de NHA, tal como recomendó en su informeel Departamento de Investigación Científica e Industrial. Los productores nacionales mismosafirman que Senka no podrá ser rentable si utiliza el método del carburo cálcico. Tambiéncabe preguntarse si Senka y Pa nyam tenían posibilid ad de obtener acetileno eficie ntemente de
alguna industria petroquímica.
viii) Oswal, el único productor que utiliza el método petroquímico, está trabajando como
mucho al 25 por ciento de su capacidad instalada. Su costo de producción de NHA es inferioren cerca de 20.000 Rs al de otros productores nacionales. El actual precio desembarcado delNHA importado, una vez aplicados los derechos de aduana vigentes, resiste favorablemente lacomparación con el precio de venta de Oswal. Por consiguiente, la importación de NHA noinfluyó en el precio de los fabricantes nacionales distintos de Oswal.
ix) Los productores nacionales de NHA se quejan del dumping de carburo cálcico y de la
escasez y el alto precio de la energía eléctrica, y su capacidad instalada es tan excedentariaque no pueden u tilizarla al máximo. No está justificado imponer de rechos de salvaguardia
cuando la rama de producción nacional no es capaz de adaptarse a la competencia.
x) Los precios a los que se está importando el producto no deben tomarse en
consideración para la adopción de medidas de salvaguardia.
xi) El derecho de salvaguardia provisional recomendado es de unos 500 dólares EE.UU.
por tm, alrededor del 28 por ciento del precio de importación (1.800 dólares EE.UU.). Estose suma al derecho de aduana existente del 35 por ciento, lo que arroja un gravamen total del63 por ciento, que echa por tierra todo el proceso de reestructuración económica. El preciode venta justo debe establecerse sobre la base del costo de producción de una instalacióneficiente.
xii) El producto exportado por Bélgica no es NHA. Es carbón conductivo, clasificado en
la subpartida 28030003 de la Clasificación Comercial de la India, que no se produce medianteel método del acetileno y que por consiguiente debe exclui rse del ámbito de la presente
investigación.
xiii) El aumento del consumo interno de 3.645 tm en 1995-1996 a 3.858 tm en 1996-1997,
es decir, un aumento de 213 tm, y la reducción en 558 tm de la producción de Tecil, tomadosconjuntamente, arrojan un total de 771 tm, lo que explica el aumento del volumen importadoen 1996-1997 con respecto a 1995-1996.
xiv) De los cuatro productores de NHA del país, tres aumentaron su producción en
1996-1997, y sólo uno, Tecil, sufrió pérdidas de producción, ventas, etc. por razones
independientes del aumento de las importaciones, concretamente problemas laborales y desuministro de energía eléctrica. No puede considerarse que ese único productor nacionalG/SG/N/8/IND/1
Página 10
constituya por sí mismo rama de producción nacional con arreglo a la definición de esa
expresión en la Ley de Salvaguardias, por lo que no es necesario tomar medidas para imponer
derechos de salvaguardia.
xv) Es dudoso que pueda disponerse de acetile no obtenido por mét odos petroquímicos.
En el contexto de la petición antidumpig relativa al carburo cálcico, dos de los productoresnacionales han señalado que no hay fabricantes de acetileno en la industria petroquímica de la
India. Por consiguiente, cabe poner en entredicho el plan de reajuste presentado por algunosproductores nacionales.
D) OPINIONES DE LOS EXPORTADORES/PAÍSES EXPORTADORES9. Los exportadores/gobiernos de países exportadores de NHA han formulado las siguientes
observaciones principales:
a) Karbochem:
i) Los productores de NHA de la India no pueden competir con los proveedores
extranjeros debido al mayor precio de la electricidad.
ii) El actual nivel de protección de que disfrutan los productores nacionales
frente a las importaciones es suficiente, ya que los derechos se han reducidodel 85 por ciento en 1993-1994 al actual nivel del 35 por ciento sobre el valorc.i.f., y los productores nacionales que hasta 1996 disfrutaban de una cuotaen el mercado de NHA superior al 97 por ciento aún tienen una cuota del85 por ciento en 1997.
iii) Las exportaciones de NHA de Karbochem a la India comenzaron en la última
parte de 1996, cuando el flete de un contenedor de 40 pies a Mumbai bajó de3.600 dólares EE.UU. al precio actual de 1.050 dólares EE.UU. La relaciónrand/dólar EE.UU., por su parte, pasó de 3,63 rand por dólar EE.UU. a5,10 rand por dólar, una depreciación del 40 por ciento.
iv) Desde 1992, Karbochem ha reducido también sus costos de producción, lo
que le ha permitido aumentar su cuota en el mercado interno. Karbochem noha fijado precios preferenciales para el mercado de la India.
v) El costo de las materias primas locales, por ejemplo la electricidad y la cal,
ha arrinconado a los productores de NHA de la India en una posición en laque no pueden competir con los productores de rango mundial.
vi) La imposición de derechos de salvaguardia sobre el NHA inducirá a los
productores de pilas de la India a aumentar el precio de venta de las pilas enel mercado local, fomentando el aumento de las importaciones de pilas debaja calidad procedentes de China.
vii) Denka, que había aumentado la capacidad de la fábrica de Singapur a
12.000 tm y que seguía produciendo en la fábrica del Japón, redujo el precio
del NHA.G/SG/N/8/IND/1
Página 11
viii) El precio del NHA en 1996 era 1.900 dólares EE.UU. PTM @ 1 dólar
EE.UU. = 32,25 Rs, y el precio actual es 1.800 dólares EE.UU. PTM @1 dólar EE.UU. = Rs 41,75. El precio se ha reducido como consecuenciade la espectacular reducción del flete marítimo.
ix) El NHA procede normalmente de nafta o de carburo cálcico, y el producido
mediante carburo cálcico es de mejor calidad.
x) Para reducir el costo de producción del NHA es de vital importancia que la
producción de carburo cálcico sea eficiente en función del costo.
b) MCCI Corporation:
i) La disminución de la producción de NHA en la India no se debe al aumento
de las importaciones. La actual crisis en el suministro de energía eléctrica,sumada al aumento de las tarifas eléctricas, encareció el carburo cálcico alcontraer su oferta, con la consiguiente reducción de la producción einsuficiencia de la oferta de NHA de producción nacional en el mercadolocal; de ahí el aumento de las importaciones.
ii) No hay una intención deliberada de reducir los precios del NHA importado
en la India, que se basan únicamente en los precios de mercado. Como losprecios internacionales del NHA han bajado, MCCI Corporation también hareducido el precio del NHA, pero sus precios son justos y razonables.
iii) La imposición de derechos de salvaguardia sobre el NHA perjudicará a los
fabricantes de pilas secas al aumentar sus costos.
c) DENKA y DSPL:
i) El incremento neto de las importaciones sólo debe calcularse tras deducirse el
aumento del consumo total en la India. El incremento neto de lasimportaciones de NHA puede atribuirse al aumento de la demanda de NHApor los usuarios de ese producto, especialmente cuando los productoresnacionales no pueden satisfacer la demanda de los fabricantes de pilas secas.
ii) Los problemas de infraestructura, como el suministro de energía eléctrica y
los conflictos laborales, así como la ineficiencia de los productoresnacionales, causan graves daños o amenazan con causarlos a la rama deproducción nacional.
iii) El tipo de derecho provisional es injusto y carece de fundamento.iv) La reducción marginal del precio del NHA importado de 2.280 dólares
EE.UU. en 1996 a 1.970 dólares EE.UU. en 1997 (c.i.f.) se debió a ladisminución de los precios internacionales.
d) La Embajada de la República Popular de China no hizo comunicaciones específicas, y
se limitó a pedir una lista de exportadores chinos de NHA a la India, así como una
lista de importadores indios de NHA procedente de China. La información relativa atodos los importadores/exportadores conocidos ya figura en la solicitud.G/SG/N/8/IND/1
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e) La República de Singapur solicitó información sobre la evolución y el progreso de la
investigación y opinó que la imposición de un derecho de salvaguardia provisional noestaba justificada.
f) La Oficina Económica de Sudáfrica formuló las siguientes observaciones en
representación de seis países exportadores de NHA a la India:
i) El aumento de las importaciones se debe a que los productores locales de
NHA no pudieron satisfacer totalmente la demanda, debido a los problemasque afrontaron como consecuencia de los cortes del suministro de energíaeléctrica, los conflictos laborales y los métodos anticuados de producción deNHA mediante carburo cálcico, que requiere un uso intensivo de energía.
ii) El aumento de las importaciones no causó daños graves a la producción local,
ya que todos los fabricantes, salvo Tecil, aumentaron su producción en el año1996-1997. La disminución de la producción de Tecil se debió a problemaslaborales y de suministro de energía eléctrica y no guarda relación alguna conlas importaciones.
iii) Si se impusiera un derecho de salvagua rdia, la rama de producción de la India
no podría competir en el mercado internacional.
g) Embajada de Francia en la India:
i) No parece que se haya establecido la gravedad del daño, ya que la cuota de
mercado de la rama de producción de la India sigue siendo muy alta (cercadel 80 por ciento), y la producción local permanece estable durante unperíodo de tiempo considerable.
ii) La disminución significativa del precio del NHA importado no se produjo
hasta después de abril de 1997, mientras que el aumento de las importacionesempezó un año antes.
iii) La rama de producción de la India tiene problemas debidos a capacidad
excedentaria y deficiencias tecnológicas.
h) Embajada del Japón en la India:
i) Sólo uno de los cuatro productores de la India que solicitaron la adopción de
medidas de salvaguardia registró una disminución de su producción durante elperíodo objeto de examen. En esas circunstancias, cabe poner en duda lacompatibilidad de la medida de salvaguardia de la India con el párrafo 1 delartículo 4 del Acuerdo sobre Salvaguardias.
ii) Para determinarse la existencia de daños graves o amenaza de daños graves a
la rama de producción nacional deben tenerse en cuenta no sólo la proporciónque representan los productos importados en el mercado nacional y losniveles de venta y de producción, sino también todos los factores pertinentes,
con inclusión de "la productividad, la utilización de la capacidad, las
ganancias y pérdidas y el empleo". Tres de los cuatro productores nacionalesG/SG/N/8/IND/1
Página 13
han aumentado su producción. Por consiguiente, cabe dudar que se haya
producido daño grave o amenaza de daño a la rama de producción nacional.
iii) La relación de causalidad entre el aumento de las importaciones del producto
y el daño grave o amenaza de daño grave debe demostrarse mediante pruebasmateriales. El reciente aumento de las importaciones de NHA se debeprincipalmente a problemas internos de la India, entre ellos la interrupcióndel suministro de energía eléctrica, los conflictos laborales y la pérdida decompetitividad re sultante del retraso en la adopc ión de medidas para aumentar
la eficiencia.
iv) Cabe preguntarse si como consecuencia de la imposición de un derecho de
salvaguardia provisional de 19.500 Rs por tm los derechos totales aplicablesal NHA superarían el nivel establecido en la Lista de concesiones. La Indiadebe cumplir las obligaciones de investigación, notificación y consultaestablecidas en virtud del Acuerdo sobre Salvaguardias.
E) CONSTATACIONES DEL DIRECTOR GENERAL10. He estudiado los expedientes relativos al caso y las comunicaciones de las partes interesadas.
Las cuestiones planteadas por las diversas partes se tratan en las secciones pertinentes de lasconstataciones que figuran más abajo.
11. Producto objeto de investigación
El producto objeto de i nvestigación es el negro de humo de acetileno (NHA). El NHA es una
variedad superior de negro de carbón. Es esponjoso y tiene una densidad aparente de 19 kg por m3.
Es la forma más pura de negro de carbón. Es el más cristalino de los negros comerciales, y secaracteriza por su baja actividad superficial, baja absorción de humedad, alta absorción de líquidos(acetona, HCL) y alta conductividad eléctrica y térmica. El NHA se usa sobre todo para mejorar laconductividad del dióxido de mangane so utilizado en las pilas secas. En otros países también se
utiliza en la manufactura de almohadillas de goma para calentadores, cintas de calentadores, correasde transmisión antiestáticas y suelas de zapato. También se usa en la manufactura de neumáticos paraaeronaves. El proceso de manufactura conlleva principalmente la generación de acetileno, supurificación y su descomposición térm ica en negro de humo de acetile no. El NHA está clasificado en
la partida 2803.00 de la primera lista de la Ley del Arancel de Aduanas, de 1975, que engloba elcarbón (negros de carbón y otras formas de carbón no expresadas ni comprendidas en otras partidas).La Clasificación Comercial de la India, basada en la Designación Armonizada de Mercancías, dividela partida en tres subpartidas, a saber, 28 030001 -negro de humo de ac etileno-, 28030002 -negro de
carbón para la industria del caucho- y 28030009 -negro de carbón no expresado en otras partidas. Lapresente investigación se centra en el negro de humo de acetileno clasifi cado en la partida 2803.00 de
la primera lista de la Ley del Arancel de Aduanas de 1975. Cabe señalar, sin embargo, que laclasificación arriba indicada es sólo a efectos de designación y en ningún caso limita la cobertura delproducto objeto de la presente investigación.
12. El NHA se fabrica en la India con carburo cálcico y mediante métodos petroquímicos, es
decir, sobre la base de hidrocarburos. En el método del carburo cálcico, el NHA se produce porreacción del carburo cálcico en el agua. En la India, el NHA producido mediante el método del
carburo cálcico es más costoso que el producido mediante métodos petroquímicos. El NHA
producido en el país se usa para lo mismo que el producto importado y es un artículo igual al NHAimportado en el sentido de las normas sobre salvaguardias.G/SG/N/8/IND/1
Página 14
13. Los usuarios/importadores alegan que el producto importado de Bélgica no es NHA, sino
carbón conductivo. Se ha comunicado que la empresa belga MMMSA ha desarrollado este nuevoproducto, que se está ensayando en el mercado como producto sustitutivo de bajo costo del NHA. No
se fabrica con acetileno, y por tanto debe excluirse del ámbito de la presente investigación. Sinembargo, no se dan otros detalles sobre su proceso de fabricación o sus diferencias con el NHA.
14. Cabe observar que el producto importado de Bélgica, es decir, el carbón conductivo, es
importado por los fabricantes de pilas secas, y se describe en los documentos como "negro de carbónSuper P", que se usa para los mismos fines, es decir, para fabricar pilas secas. Funcional y
comercialmente sustituye al NHA. Las personas que trabajan con NHA no distinguen entre el NHA yel carbón conductivo, como se refleja en la respuesta a los cuestionarios (reproducidos más abajo)presentados por Indo National Ltd., la empresa importadora del material procedente de Bélgica.
a) Nombre del producto importa do: Negro de hum o de acetileno
b) Descripción del producto, incluidos a) Negro de humo de acetileno (Denka)
diversos grados, tamaños, modelos comprimido al 50 por cientoo tipos, etc. b) Negro de carbón - Super "P"
c) Negro de humo de acetileno (China)
Lo anterior evidencia que los mismos usuarios de negro de carbón Super P, el denominado carbón
conductivo, han designado este producto como ne gro de humo de acetile no. Comercialmente,
funcionalmente y en opinión de los consumidores, el negro de carbón Super P, denominado carbónconductivo, es lo mismo que el NHA objeto de la presente investigación.
15. También cabe observar que en la compilación de las estadísticas de importación, el Director
General de Información y Estadísticas Comerciales de Calcuta ha registrado las importaciones denegro de carbón de Bélgica en la subpartida 28030009, que corresponde al negro de carbón n.e.c. Sin
embargo, mientras que los precios por tm del negr o de carbón bajo en esa subpartida oscilan alrededor
de las 137 Rs por kg, los precios registrados para el material procedente de Bélgica oscilan alrededorde las 66 Rs por kg. De las copias de los documentos de importación presentados por losusuarios/importadores de NHA se desprende también que los precios del "carbón conductivo", esdecir, el negro de carbón Super P, oscilan alrededor de los 1.800 dólares EE.UU. PTM c.i.f. Elprecio del negro de carbón para la industria del caucho oscila alrededor de las 20 Rs por kg, y el denegro de humo de acetileno alrededor de las 69 Rs por kg. El precio de aproximadamente 66 Rs porkg del carbón conductivo supera ampliamente los preci os del negro de humo u tilizado para la industria
del caucho o para otros fines, y es perfectamente comparable con el precio del NHA utilizado en lamanufactura de pilas secas.
16. Habida cuenta de lo anterior, no procede excluir el carbón conductivo de la cobertura del
producto objeto de investig ación, que abarca todos los negros de humo de ace tileno, incluido el negro
de carbón Super P procedente de Bélgica, denominado carbón conductivo.
Rama de producción nacional
17. Se confirman las constataciones que figuran en el apartado iv) del párrafo 5 de las
Constataciones Preliminares con respecto a la rama de producción nacional.
Aumento de las importaciones
18. El NHA se importaba en la India a finales del decenio de 1970 y principios del decenio
de 1980. Sin embargo, desde mediados del decenio de 1980 hasta principios de 1996, prácticamenteG/SG/N/8/IND/1
Página 15
todas las importaciones eran de pequeñas cantidades. Durante el período objeto de investigación, las
importaciones han aumentado de 8,3 tm en 1994-1995 a 71 tm en 1995-1996 y 1.169,42 tm en1996-1997 (al verificar los datos f acilita dos por los importadores de NHA se observa que las
importaciones en 1996-1997 totalizaron 1.169,42 tm en lugar de 841,04 tm). En el año 1997-1998 sehan importado 625,38 tm en los primeros seis meses (abril-septiembre). Durante el períodocorrespondiente, la producción nacional ha totalizado 3.355,43 tm, 3.570,075 tm, 3.274,62 tm y1.272,25 tm, respectivamente. Comparadas con la producción nacional, las importacionesrepresentaron un 0,24 por ciento en 1994-1995, un 1,98 por ciento en 1995-1996, un 35,7 por cientoen 1996-1997 y un 49,16 por ciento en 1997-1998 (abril-septiembre). Por consiguiente, durante elperíodo objeto de investigación las importaciones han aumentado tanto en términos absolutos como encomparación con la producción nacional.
19. Los usuarios/importadores alegan que en 1994-1995 y 1995-1996 se importaron cantidades
muy reducidas, y que el primer año de importaciones reales fue 1996-1997, si bien éste fue un añoanormal porque uno de los cuatro productores nacionales, a saber, la empresa Tecil, no trabajódurante bastante tiempo debido a problemas laborales y de suministro de energía eléctrica. Porconsiguiente, las importaciones se realizaron para cubrir el déficit de la producción nacional y parasatisfacer el aumento de la demanda interior.
20. A ese respecto cabe observar que el aumento de las importaciones debe considerarse con
respecto a un período que en virtud del Aviso Comercial SG/TN/1/97 de fecha 26 de septiembrede 1997 publicado por el DG se espe cifica como el transcurso de los tres (o más) últimos años
inmediatamente anteriores al comienzo de la investigación sobre los que se disponga de datos. Porconsiguiente, en la presente investigación el período de investigación se ha circunscrito con buencriterio a los años 1994-1995, 1995-1996, 1996-1997 y los primeros seis meses de 1997-1998, con
respecto a los cuales los solicitantes presentaron datos que fueron verificados por el equipo defuncionarios. El que se produjeran o no importaciones en alguno de esos años carece de importancia,especialmente porque la evaluación de las importaciones ha de hacerse comparativamente para todo elperíodo. No puede pasarse por alto un año por el mero hecho de que en él no se produjeranimportaciones o éstas fueran muy reducidas. Para decidir si las importaciones han aumentado duranteel período hay que tener en cuenta el aumento de las importaciones en la totalidad del período. En elpresente caso, la respuesta es claramente afirmativa.
Daño grave
21. Un análisis de varios factores relacionados con el daño grave revela que la producción
nacional ha disminuido de 3.570,075 tm en 1995-1996 a 3.274,62 tm en 1996-1997 y a 1.272,25 tmen los primeros seis meses (abril-septiembre) de 1997-1998. Por consiguiente, la producción nacionalse ha reducido un 8,28 por ciento en el año 1996-1997 con respecto a 1995-1996, y disminuyóproporcionalmente de nuevo un 22,3 por ciento en abril-septiembre de 1997-1998 con respecto a1996-1997 y un 28,86 por ciento con respecto a 1995-1996. De manera análoga, la utilización de lacapacidad de los productores nacionales disminuyó del 63,75 por ciento en 1995-1996 al 58,46 porciento en 1996-1997 y al 45,42 por ciento en los primeros seis meses de 1997-1998. Las ventas de larama de producción nacional también descendieron de un máximo de 3.574 tm en 1995-1996 a3.017 tm en 1996-1997, y a 1.291 tm en los primeros meses de 1997-1998. En porcentaje, las ventasde la rama de producción nacional disminuyeron un 15,58 por ciento en 1996-1997 con respecto a1995-1996, y proporcionalmente en un 14,42 por ciento en los primeros seis meses de 1997-1998 conrespecto a 1996-1997, y un 27,76 por ciento con respecto a 1995-1996. La cuota de mercado de la
rama de producción nacional en el consumo aparente, es decir, ventas de productos nacionales más
importaciones, que fue del 98,05 por ciento en 1995-1996, se redujo al 71,8 por ciento en 1996-1997y al 67,38 por ciento en los primeros seis meses de 1997-1998. Las importaciones cubrieron unaG/SG/N/8/IND/1
Página 16
cuota de mercado que aumentó progresivamente del 1,95 por ciento en 1995-1996 al 28,2 por ciento
en 1996-1997 y al 32,62 por ciento en los primeros seis meses de 1997-1998. Al mismo tiempo, lasexistencias de la rama de producción nacional aumentaron de 50,71 tm en 1995-1996 a 308,12 tm en1996-1997 y 226 tm al final de los primeros seis meses del año 1997-1998. La productividad (esdecir, la producción por empleado) de la rama de producción nacional disminuyó proporcionalmenteal descenso de la producción, ya que las empresas siguieron trabajando sin reducir la mano de obra.
22. De conformidad con la sección 8B de la Ley del Arancel de Aduanas de 1975, por daño grave
se entiende un menoscabo general significativo de la situación de una rama de producción nacional.Es resultado de cambios en el ni vel de ventas, produ cción, utilización de la capacidad, em pleo, etc.
Si una evaluación objetiva de todos los factores, tomados en su conjunto, muestra claramente que sehan producido efectos perjudiciales para la rama de producción nacional, puede constatarse laexistencia de daño grave. En el caso objeto de investigación, se observa que la producción nacional,que llegó a un máximo de 3.570,075 tm en 1995-1 996, superando las 3.355,43 tm producidas en
1994-1995, se redujo drásticamente en 1996-1997, y después también en 1997-1998. La mismatendencia muestran la u tilización de la capacidad, la s ventas de productos nacionales y la cuota de la
producción nacional en el consumo aparente. La rama de producción nacional también ha tenido quehacer frente a aumentos en el costo de producción que, combinados con la disminución de las ventas,han dado lugar a pérdidas de explotación, paralización de la producción por algunos productoresnacionales y pérdida de días-hombre para otros. Panyam tuvo que cerrar su fábrica del 10 de abrilal 2 de junio de 1997 debido a la escasez de pedidos. Senka, por su parte, no produjo NHA enseptiembre de 1997 por haberse reducido el consumo de sus clientes. Todos esos factores, tomadosen su conjunto, parecen demostrar claramente que los productores nacionales se han visto afectadospor disminución de la producción, disminución de las ventas, acumulación de existencias, menorutilización de la capacidad, y pérdida de empleo y de beneficios, lo que pone de manifiesto que larama de producción nacional ha sufrido un daño grave durante el período objeto de investigación.
Relación de causalidad
23. Como se ha observado más arriba, la rama de producción nacional ha sufrido un daño grave.
Sin embargo, lo crucial es determinar si ese daño es consecuencia del aumento de las importaciones oes un daño autoinfligido, como aducen algunas partes interesadas. A esos efectos, una de lasprincipales cuestiones que deben abordarse es el efecto de los problemas laborales y de suministro deenergía eléctrica a que tuvo que hacer frente la empresa Tecil en el año 1996-1997. Se ha alegadoque en 1996-1997 Tecil no dispuso de suministro eléctrico durante 76 días, y sufrió interrupciones delsuministro que oscilaron entre un 30 por ciento y un 70 por ciento durante los últimos cinco meses.También se vio afectada por problemas laborales durante unos 48 días. Se ha aducido que el efectocumulativo de esos factores ha sido la paralización de las actividades de Tecil durante 124 días y unadisminución del 46 por ciento de su producción. Por otro lado, los productores nacionales hanalegado que no se ha demostrado que Tecil estuviera cerrada 124 días, ya que los problemas laboralesy de suministro eléctrico se superpusieron, por lo que el cálculo del número de días efectuado por losfabricantes de pilas secas no es correcto. A ese respecto, cabe observar que es cierto que Tecil tuvoproblemas laborales y de suministro eléctrico durante el año 1996-1997. La producción de Tecil en1996-1997, con una capacidad instalada de 2.000 tm, no pasó de 474 tm. Se ha aducido que ladisminución del total de producción nacional en 1996-1997 se debe a esa reducción de la producciónde Tecil. Integran la rama de producción nacional cuatro empresas fabricantes, a saber, Senka, Tecil,Panyam y Oswal. Tres de ellos aumentaron su producción en 1996-1997, y únicamente Tecil se vioobligada a reducir su producción, como consecuencia de lo cual la producción nacional total cayó por
debajo del nivel de 1995-1996. Por rama de producción nacional se entiende la integrada por los
productores nacionales tomados en su conjunto, o por aquellos que representan una proporciónimportante de la producción nacional. Tecil tenía una capacidad instalada de 2.000 tm frente a unaG/SG/N/8/IND/1
Página 17
capacidad total de 5.600 tm, y produjo 474 tm en 1996-1997 frente a una producción total de
3.274,62 tm. En relación con ambos aspectos, no puede considerarse que Tecil, única empresa cuyaproducción disminuyó, constit uya toda la rama de producción naci onal, y por consiguiente, los daños
sufridos únicamente por Tecil debido a la disminución de su producción, etc., no pueden entendersecomo daños a la rama de producción nacional en su conjunto.
24. Es importante analizar en primer lugar esta cuestión, crucial para determinar si el daño
causado a la rama de producción nacional se debe al aumento de las importaciones o a otros factores.En el presente caso, la rama de producción nacional está integrada por cuatro fabricantes. Conarreglo a la definición de rama de producción nacional, hay que tener en cuenta a los cuatrofabricantes en su conjunto o a los que representen una proporción importante de la producciónnacional. La solicitud se ha presentado en nombre de los cuatro fabricantes nacionales, querepresentan toda la producción nacional, y en el análisis del daño grave que figura en los párrafos 21y 22 supra se tienen también en cuenta datos referentes a los cuatro productores nacionales tomados
en su conjunto.
25. El núcleo del argumento de los usuarios/importadores de NHA es que tres de los cuatro
productores, que representan una proporción importante de la producción nacional, aumentaron suproducción en 1996-1997, y que la disminución de la producción global, que se debiófundamentalmente a la incapacidad del cuarto productor como consecuencia de problemas laborales yde suministro de energía eléctrica, no puede justificar una constatación de pérdida de producción y porconsiguiente la constatación de que la industria nacional en su conjunto ha sufrido un daño grave.
26. En mi opinión, este argumento es engañoso. En primer lugar, para determinar si han
aumentado las importaciones o se ha producido daño grave, la ley no requiere que haya disminuido laproducción nacional. El aumento de las importaciones se constata tanto considerando lasimportaciones en términos absolutos como comparándolas con la producción nacional. Cuando laproducción nacional aumenta pero las importaciones aumentan aún más, puede constatarseperfectamente un aumento de las importaciones ya que éstas aumentan tanto en términos absolutoscomo comparadas con la producción nacional. En una situación así, la rama de producción nacionalpuede recurrir a la protección de salvaguardia si puede demostrarse que ha sufrido daño grave oamenaza de daño grave como consecuencia del aumento de las importaciones. En otras palabras, ladisminución de la producción nacional no es un requisito sine qua non para constatar que existe daño
grave. En segundo lugar, es natural que si uno de los cuatro fabricantes nacionales no es capaz deproducir y contribuir a su cuota de mercado, los demás intenten ocupar la cuota de mercado por élliberada, para lo cual tendrían que aumentar su producción a fin de satisfacer el aumento de lademanda interna derivado de la disminución de la producción y las ventas de uno de los productoresdel sector.
27. No debe olvidarse que los productores nacionales compiten entre sí y desearían aprovechar al
máximo cualquier oportunidad de capturar una mayor cuota de mercado. Los datos y cifras sobreproducción nacional de los otros tres productores nacionales deben considerarse a la luz de estaobservación. Si exceptuamos a Tecil, los otros tres productores nacionales representabancolectivamente una capacidad de producción de 3.600 tm. En el año 1996-1997 aportaron cerca de2.800 tm a un total de 3.274,62 tm al que Tecil contribuyó con 474 tm. Por consiguiente, los tresproductores nacionales aportaron cerca de 2.800 tm para una capacidad de 3.600 tm, lo querepresentaba el 77,78 por ciento de la utilización de la capacidad. Si se tienen en cuenta lascapacidades individuales, se observa que Panyam tenía una capacidad instalada de 1.800 tm y produjo
1.949 tm. Senka tenía una capacidad instalada de 900 tm y produjo 630 tm en 1996-1997. Tenían,
por tanto, posibilidades de producir más para satisfacer la demanda interna. Me apresuro a añadir que
la disponibilidad de car buro cálcico no constituyó un problema, ya que podía importarse libremente yG/SG/N/8/IND/1
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tal vez a precios más baratos, como pone de manifiesto la presentación ante la autoridad designada de
una solicitud de adopción de medidas antidumpig con respecto al carburo cálcico importado de laRepública Popular de China y Rumania. Oswal, por su parte, produjo unas 220 tm en 1996-1997. Se
observa, por consiguiente, que aunque tenía una capacidad instalada de 900 tm no produjo más deunas 220 tm de negro de humo de acetile no. También se observa que en el año 1996-1997 Tecil tuvo
que hacer frente a problemas laborales y de suministro de energía eléctrica hasta noviembre de 1996,y que en ese mismo mes comunicó a los fabricantes de pilas secas que reanudaba sus operaciones aplena capacidad y que estaba en condiciones de suministrar negro de humo de acetileno. Losproductores nacionales mantuvieron en su conjunto unas existencias mensuales medias de unas20,99 tm desde abril de 1996 a octubre de 1996, cifra que aumentó en promedio hasta 159,88 tm en elperíodo noviembre-marzo. Tecil tenía existencias de 4,88 tm en noviembre de 1996, y ese mesprodujo 27,33 tm. Sin embargo, sólo pudo vender 9,7 tm, de las que 7,5 tm se suministraron a Geep.Las existencias de Tecil aumentaron hasta 22,91 tm a principios de diciembre de 1996, mes en que laempresa produjo 59,88 tm pero sólo pudo vender 25 tm, ya que sólo Lakhanpal compró esa cantidady ningún otro fabricante de pilas secas compró material a Tecil. De manera análoga, a principios deenero de 1997 las existencias ascendieron a 57,8 tm, en febrero de 1997 a 61,4 tm y a principios demarzo de 1997 a 92,4 tm. A finales de marzo de 1997 las existencias llegaron a 89,46 tm.Evidentemente, ello fue consecuencia de que los fabricantes de pilas secas no compraron a Tecil negrode humo de ace tileno, disponible en el país. También se observa que en su conjunto los productores
nacionales tenían a finales de 1996-1997 existencias de 308,12 tm, comparadas con 50,71 tm a finalesde 1995-1996. Por consiguiente, no es correcto afirmar que los productores nacionales no pudieronsatisfacer o no estaban en condiciones de satisfacer la demanda interior.
28. En esta etapa también es importante analizar la situación de la oferta y la demanda nacional.
Se observa que en 1996-1997 la empresa Geep hizo a Panyam un pedido de 193 tm y recogió 175 tm.Hizo un pedido de 50 tm a Tecil y recibió 25 tm. Compró 37,5 tm a Senka. La empresa IndoNational Ltd. recibió de Panyam 282 tm de un pedido de 330 tm, y de Senka 515 tm en relación conun pedido de 480 tm. Lakhampal Ltd. recibió 127 tm de Panyam, la totalidad de su pedido, y 220 tmde Tecil de un pedido de 281 tm. Eveready India Ltd. recibió de Panyam 1.165 tm de un pedido de1.203 tm, de Tecil 127,5 tm de pedidos por un total de 180 tm, y de Senka, que satisfizo plenamentelos pedidos que se le hicieron, un total de 15 tm. Globalmente, los cuatro compradores recibieron2.689 tm de negro de humo de ace tileno contra pe didos de 2.896,5 tm, por lo que la oferta de los
productores nacionales fue deficitaria en 207,5 tm. Al mismo tiempo, los fabricantes de pilas secasestaban reprogramando sus pedidos y reduciendo la cantidad recogida tras hacer pedidos a losproductores nacionales, mientras insistían en solicitar a los productores nacionales que redujeran susprecios para ponerlos en consonancia con los precios del negro de humo de acetileno importado.A pesar de este déficit de 207,5 tm en la oferta, los productores nacionales acumularon existenciasde 308,12 tm, comparadas con 50,17 tm en 1995-1996. Los productores nacionales podían inclusohaber suministrado esas 207,5 tm de no haber sido por razones distintas a la disponibilidad de NHAde producción nacional. La razón fue que los productores nacionales no pudieron acceder a laexigencia de rebajar sus precios hasta el nivel de los precios de los productos importados.
29. Los fabricantes de pilas secas importaron 1.169,42 tm de NHA en 1996-1997. Han
comunicado que el consumo aumentó 213 tm, de 3.645 tm en 1995-1996 a 3.858 tm en 1996-1997, locual, unido al déficit de 558 tm de la producción de Tecil, arroja 771 tm, cantidad que fue la causa delaumento de las importaciones de NHA en unas 770 tm en 1996-1997. Este argumento está muysesgado en favor de las importaciones, ya que equivale a decir que todo el aumento del consumo y eldéficit de la producción de Tecil debió cubrirse con importaciones, por lo que es totalmente
inaceptable. Como se ha señalado más arriba, las importaciones efectivas en 1996-1997 totalizaron
1.169,42 tm, es decir, 1.098,42 tm más que en 1995-1996. El consumo interno aparente (ventasinternas + importaciones), aumentó cerca del 14,84 por ciento en 1996-1997, hasta 4.186 tm, enG/SG/N/8/IND/1
Página 19
comparación con 3.645 tm en 1995-1996, y disminuyó proporcionalmente un 8,46 por ciento, hasta
1.916 tm, en los primeros seis meses de 1997-1998, en comparación con 4.186 tm en 1996-1997. Laproporción que representó el negro de humo de acetileno importa do en este consumo aparente
aumentó del 0,24 por ciento en 1994-1995 al 1,95 por ciento en 1995-1996, al 28,2 por ciento en1996-1997 y al 32,62 por ciento en los primeros seis meses de 1997-1998, y la cuota de mercado deproducción nacional se redujo del 99,76 por ciento al 98,05 por ciento, al 71,8 por ciento y al 67,38por ciento, respectivamente, en los períodos correspondientes. Los productores nacionales vendieron3.574 tm en 1995-1996 para un consumo aparente total de 3.645 tm, que aumentó a 4.186 tm en1996-1997, pero las ventas de producto nacional cayeron hasta 3.017 tm. La cuota de Tecil en lasventas de producto nacional fue 389,66 tm. Por consiguiente, los otros tres productores nacionalesaportaron 2.627,34 tm frente a su cuota de 2.531 tm en 1995-1996, que debía haber aumentado hasta2.906,75 tm habida cuenta del crecimiento del consumo aparente, aunque los otros tres productores nohubieran capturado ninguna proporción de las ventas perdidas por Tecil. La producción nacional, queaumentó cerca del 6 por ciento en 1995-1996, disminuyó un 8,28 por ciento en 1996-1997 y cerca del22,3 por ciento en los primeros seis meses de 1997-1998. Los productores nacionales produjeron en1996-1997 unas 295 tm menos que en 1995-1996. Si se tiene en cuenta el aumento aproximado del14,84 por ciento del consumo aparente, la producción de los fabricantes nacionales se redujo en unas825 tm. Como se ha señalado anteriormente, las importaciones efectivas en 1996-1997 totalizaron1.169,42 tm. Tras hacer ajustes por el déficit de 207,5 tm en la oferta y el aumento del 14,84 porciento sobre las 71 tm de NHA importadas en 1995-1996, el exceso de importaciones en 1996-1997 secifra en unas 880 tm. Este aumento de las importaciones equivale aproximadamente a la disminuciónde cerca de 825 tm de la producción nacional.
30. El daño grave a la industria nacional que empezó a manifestarse en 1996-1997 se hizo más
evidente en los primeros seis meses de 1997-1998. En ese período, la producción nacional descendióhasta 1.272 tm, es decir, cerca del 22,3 por ciento, en comparación con 1996-1997, yproporcionalmente un 28,86 por ciento con respecto a 1995-1996. Las ventas de los productoresnacionales se redujeron a 1.291 tm en los primeros seis meses de 1997-1998, es decir, en un14,42 por ciento con respecto a 1996-1997 y proporcionalmente en un 27,76 por ciento con respecto a1995-1996. Además, los productores nacionales sólo pudieron llegar a ese nivel reducido de ventasbajando sus precios. Senka bajó el precio del NHA de 122.000 Rs PTM a 95.000 Rs PTM enseptiembre de 1997, Panyam bajó los precios de 104.500 Rs PTM a 95.000 Rs PTM, y Tecil de
105.000 Rs PTM a 94.000 Rs PTM en el mismo perí odo. En la primera mitad de 1997-1998, Tecil
tuvo durante cierto tiempo problemas de suministro de energía eléctrica, y permaneció cerrada del14 al 23 de abril y del 6 de mayo al 10 de agosto de 1997. Sin embargo, en ese período produjo121,52 tm de negro de humo de acetileno, y los otro s tres fabricantes nacionales produjeron
1.150,48 tm durante el mismo período. La producción de esos tres fabricantes nacionales, que en1996-1997 totalizó 2.800 tm, disminuyó proporcionalmente alrededor del 17,82 por ciento. Lasimportaciones en los primeros seis meses de 1997-1998 representaron el 49,16 por ciento de laproducción nacional. Esto no ocurrió porque los productores nacionales no pudieran satisfacer lademanda interna, ya que disponían de existencias de 308,12 tm a principios del año y de 226 tm alfinal de los primeros seis meses de 1997-1998, además de tener capacidad excedentaria para atender ala demanda interior, incluida Tecil, que no tenía pedidos suficientes a pesar de haber reducido suproducción. Se ha hecho mención de la calidad del NHA de Senka en 1997. Se observa que Senkafabricó NHA con arreglo a la especificación ISO Nº 12170/1987, y que durante el mismo períodorecibió un galardón de su principal cliente, a saber, Indo National Ltd., una empresa conjuntaindojaponesa, y vendió casi toda su producción. Aunque la fábrica de la empresa Geep en Allahabadno puso ninguna objeción a la calidad del NHA suministrado por Senka, su fábrica de Mysore, que
producía mercancías similares, no aceptó la calidad del NHA suministrado por Senka. La explicación
dada al respecto por Senka parece ser razonable, ya que es improbable que las dos fábricas de Geeptuvieran distintas normas para la aceptación de insumos. Es más probable que la calidad del NHA deG/SG/N/8/IND/1
Página 20
Senka se utili zara únicamente como excusa para satisfacer la demanda de la empresa recurriendo a
fuentes extranjeras más baratas. Los fabricantes de pilas secas insistían en que los productoresnacionales de NHA redujeran su precio de venta en consonancia con los precios del productoimportado, e incluso amenazaron a los productores nacionales con reducir su consumo si los preciosno bajaban. Al ser el precio el elemento más importante en la adopción de una decisión de compra,esta actitud afectó a los productores nacionales. El precio c.i.f. medio del ne gro de humo de acetileno
importado bajó de 2.654 dólares EE.UU. en julio de 1996 a unos 2.500 dólares EE.UU. en agostode 1996, y permaneció a ese nivel hasta enero de 1997, para caer después espectacularmente a2.125 dólares, 2.000 dólares y 1.900 dólares EE.UU. en febrero, abril y julio de 1997,respectivamente. La disminución de los precios del NHA importado es un hecho por todosreconocido, que los exportadores han atribuido a la reducción del flete del producto importado.
31. También se ha aducido que el precio del NHA es perfectamente comparable con el precio de
venta de la empresa Oswal y no influyó en los precios fijados por fabricantes nacionales distintos deOswal. El NHA producido por Oswal mediante el método petroquímico era más barato que elproducido mediante carburo cálcico por los otros tres productores nacionales. Esa diferencia deprecio dentro de la rama de producción nacional tenía que provocar necesariamente una reducción delos precios de los otros tres fabricantes. En ese sentido cabe observar que Oswal produjo alrededor de200-225 tm de NHA, lo que representa aproximadamente el 5 por ciento del consumo interno.A pesar de ofrecer precios más bajos, su cuota en el mercado interno no cambió. Sin embargo, lacuota de mercado del NHA importado ha aumentado varias veces, con precios decrecientes, como seha indicado más arriba. Por consiguiente, es obvio que lo que causó la reducción de precios e influyóen la decisión sobre el origen del suministro fue el precio de importación c.i.f. del NHA.
32. Se ha aducido que el precio no es un factor que deba tenerse en cuenta en la investigación
sobre salvaguardias. En ese sentido cabe observar que en contraste con las investigacionesantidumping, donde las prácticas de fijación de precios discriminatorios adoptadas por losexportadores son el fundamento básico de la adopción de medidas antidumping, en las investigacionesen materia de salvaguardias el requisito fundamental para la adopción de una medida es el aumento de
las importaciones. El precio de los productos que se importan no es el factor determinante, porque elobjetivo de las medidas de salvaguardia no es evitar la competencia desleal, sino regular lacompetencia per se con los productores nacionales derivada del aumento de las importaciones, aunque
los precios sean razonables. Sólo en este contexto no son determinantes los precios de importación.Sin embargo, cuando se trata de determinar la existencia de daño grave o de amenaza de daño, la leyrequiere que se examinen los cambios en el nivel de ventas, los beneficios, etc. de los productoresnacionales. Esos factores dependen indudablemente de los precios de los productos competidores, yen ese contexto los precios de importación son pertinentes y han de examinarse, especialmente paraevaluar sus efectos en la situación interna.
33. En conclusión, se observa que las importaciones han crecido espectacularmente durante el
período objeto de investigación. En porcentaje, las importaciones han aumentado un 885,42 porciento en 1995-1996 con respecto a 1994-1995, un 1.646,5 por ciento en 1996-1997 con respecto a1995-1996, y proporcionalmente un 106,95 por ciento en los primeros seis meses de 1997-1998 conrespecto a 1996-1997. Los productos importados en cantidad creciente han satisfechoprogresivamente una proporción significativa del consumo aparente, que aumentó del 0,24 por cientoen 1994-1995 al 1,95 por ciento en 1995-1996, al 28,2 por ciento en 1996-1997 y proporcionalmenteal 32,62 por ciento en la primera mitad de 1997-1998. El daño grave a la rama de producciónnacional es consecuencia de ese aumento de las importaciones. Por lo que respecta al objeto de la
presente investigación, no parece que factores distintos del aumento de las importaciones hayan tenido
efectos significativos en la situación de la rama de producción.G/SG/N/8/IND/1
Página 21
OTRAS CUESTIONES
Ineficiencia de los productores nacionales
34. Se ha alegado que los productores nacionales de negro de humo de acetileno no trabajan
eficientemente, y que su consumo de energía eléct rica por tonelada métrica de NHA es muy superior
al internacional. En ese sentido cabe observar que la razón misma de la imposición de un derecho desalvaguardia es dar a la rama de producción naciona l la posibilidad de hacerse competitiv a. El hecho
de que la rama de producción nacional no sea competitiva indica por sí mismo que esa rama deproducción adolece de falta de eficiencia, circunstancia que ha de corregirse mediante sureestructuración. Si la rama de producción nacional fuera totalmente eficiente tal vez habría sidocompetitiv a, y no se hubiera planteado la necesidad de imponer derechos de salvaguardia. Se observa
que la rama de producción nacional ha identificado las razones de su ineficiencia y ha pedido laimposición de un derecho de salvaguardia para poder tomar las medidas necesarias para mejorar sueficiencia mientras se encuentra protegida del daño grave causado por el aumento de lasimportaciones.
Interés de los consumidores
35. Se ha alegado que la imposición de un derecho de salvaguardia a las importaciones de negro
de humo de ace tileno encarecería la s pilas secas, en menoscabo del interés de los consumidores.
A ese respecto se observa que no es probable que la imposición de un derecho de salvaguardia tengaefectos significativos para la rama de producción usuaria y los consumidores de sus productos, tantomás cuanto que sólo se propone que el derecho de salvaguardia se imponga en la medida necesariapara proteger a los productores nacionales de NHA. Por lo demás, el derecho de salvaguardia debeliberalizarse periódicamente, lo que reducirá aún más su repercusión en la rama de producciónusuaria. Como la finalidad del derecho de salvaguardia es dar a la rama de producción nacional laposibilidad de r eestructurarse y efectuar ajuste s positivos para hacer frente a la nueva competencia
derivada del aumento de las importaciones, la imposición del derecho de salvaguardia es una medidade interés general porque la rama de producción usuaria podrá entonces satisfacer sus necesidadesrecurriendo a distintas fuentes competidoras. Se estima, por consiguiente, que en el presente caso laimposición de un derecho de salvaguardia, lejos de menoscabar el interés de los consumidores,serviría a los intereses del público en general.
Comparabilidad del precio del ne gro de humo de acetile no producido mediante distintos métodos
36. Se ha alegado que el negro de humo de acetileno producido mediante métodos basados en
hidrocarburos es más barato que el negro de hu mo de acetile no producido con carburo cálcico. Se ha
comunicado que los precios de Oswal son unas 20.000 Rs por tm más bajos que los precios de losotros tres productores nacionales, que manufacturan el negro de humo de acetileno uti lizando carburo
cálcico, y que la cuantía del derecho de salvaguardia provisional recomendada, es decir, 19.500 RsPTM, es aproximadamente igual a la diferencia del precio del negro de humo de acetilenomanufacturado mediante uno u otro método. Se ha aducido que no debe compararse el precio delnegro de humo de ace tileno producido mediante mét odos distintos. En ese sentido se observa que es
un hecho que Oswal produce el NHA por métodos petroquímicos y que sus precios son por lo generalmás bajos que los de los otros tres productores nacionales. Sin embargo, en el mercado internacional,como reflejan las importaciones de NHA en la India, se observa que los precios del NHA exportadopor distintos exportadores que utilizan el método petroquímico o el método del carburo cálcico son
similares. Los solicitantes afirman que el NHA producido mediante métodos petroquímicos por
DENKA (Singapur) se vendía a cerca de 2.400 dólares EE.UU. en septiembre de 1996 y se abaratóhasta cerca de 1.800 dólares EE.UU. en octubre de 1997. Al mismo tiempo, en un períodoG/SG/N/8/IND/1
Página 22
aproximadamente igual, Sudáfrica y Filipinas, que fabrican negro de humo de acetileno utilizando
carburo cálcico, también ajustaron sus precios de aproximadamente 2.400 dólares EE.UU. a cerca de1.800 dólares EE.UU. Se observa, por consiguiente, que en el mercado internacional no se hacendistinciones en los precios del negro de humo de acetileno que dependan de la materia prima utilizada.Por tanto, no sería razonable que en el caso de los productores de la India se compararan los preciosdel NHA importado por separado con el NHA producido mediante métodos distintos. Como elderecho de salvaguardia se impone sobre el "producto" de que se trata, y al ser iguales los NHAproducidos mediante los dos métodos, parece razonable comparar los precios del NHA producido enel país sobre la base del promedio en la rama de producción con los precios medios del NHAimportado, con independencia del método utilizado para la fabricación de NHA.
Plan de reajuste
37. La rama de producción nacional ha presentado en su solicitud un plan de reajuste. Se
comunica que Tecil, que fabrica NHA mediante carburo cálcico, ha decidido autoproducir energíahidroeléctrica en Kerala, muy cerca de la fábrica. La empresa tiene intención de instalar dosgeneradores hidroeléctricos con una capacidad de 7,5 MW y 15 MW, y comunica que los proyectosya están en curso. Como la manufactura de carburo cálcico, la principal materia prima, requiere ungran aporte de energía eléctrica, todo ahorro en el coste de dicha energía repercutiríaextraordinariamente en el costo de producción del NHA, reduciéndolo al recortar el costo medio de laproducción. Tecil ha presentado detalles de sus proyectos hidroeléctricos con carácter confidencial.Se observa que Tecil ha tomado las primeras medidas necesarias para reestructurar sus instalaciones,y que está realizando ajustes positivos que mejorarían su compe titividad.
38. Por su parte, Senka, que produce negro de humo de acetileno mediante carburo cálcico, no
tiene instalaciones autoproductoras de carburo cálcico. Por consiguiente, tiene que comprar suprincipal materia prima a fuentes externas. Senka comunica que está negociando con el sectorpetroquímico para obtener acetile no gaseoso para su conversión en NHA mediante craqueo del gas.
Panyam observa que también está tomando medidas parecidas a las propuestas por Senka. En esesentido se ha aducido que dos de los productores nacionales han presentado conjuntamente a laautoridad designada del Ministerio de Comercio una solicitud antidumpig relativa a las importacionesde carburo cálcico. En esa solicitud se indica que "en la India, la fábrica de etileno de Union Carbideen Chambur Bombay ha estado recuperando ace tileno por extr acción de solventes de los gases
craqueados en el craqueador de nafta. (Pero actualmente no se conocen manufacturas de acetileno enla industria petroquímica de la India)". Habida cuenta de esa declaración en la solicitud antidumpig,se ha aducido que el plan de reajuste de Senka y Panyam no es viable, ya que cabe dudar de laposibilidad de obtener acetileno mediante mét odos petroquímicos. En ese sentido se observa que la
declaración hecha en la solicitud antidumpig en la que dos de los productores nacionales de negro dehumo de acetileno son peticionarios es una declaración poco precisa en el sentido de que se afirma quelos peticionarios no conocen fabri cantes de acetile no en el sector petroquími co de la India. Debe
tenerse en cuenta que esa declaración ha sido formulada por los peticionarios que solicitan laimposición de derechos antidumpig para proteger su propia producción de carburo cálcico, y que enese contexto han hecho su declaración para poner de relieve la necesidad de proteger el carburocálcico como única fuente de produc ción de acetile no. Por otro lado, se observa que Senka ha hecho
referencia específica a sus esfuerzos por obtener acetile no gaseoso del sector petroquímico para
craqueo y producción de NHA. Desde marzo de 1996 se ocupan de esta cuestión, que actualmente seha sometido a la consideración del Ministerio de Productos Químicos y Fertilizantes. Senka hapresentado también copia de una carta de fecha 9 de marzo de 1996 dirigida a la Indian Petrochemical
Corporation Ltd. de Baroda en relación con el suministro de acetileno gaseoso como materia prima
para la manufactura de negro de humo de acetileno. También se observa que en la misma solicitudantidumpig relativa al carburo cálcico se menciona que durante el proceso de manufactura de etilenoG/SG/N/8/IND/1
Página 23
en craqueadores de nafta/gas/petróleo se forma también una pequeña cantidad de acetileno, y que la
cantidad de acetile no producido varía en proporción a la materi a prima utilizada y a la temperatura de
craqueo. El documento presentado por los fabrican tes de pilas secas pone claramente de manifiesto
que se está generando ace tileno en la manufactura de etileno, y que la cantidad de ace tileno producido
puede variar en razón de la materia prima utilizada y la temperatura de craqueo. Por consiguiente, laposibilidad de que los producto res nacionales de NHA obtenga n acetile no de las centrales
petroquímicas de la India no puede desecharse, ya que se han establecido en el país grandes centralespetroquímicas que producen etileno. La cuestión se ha someti do a la consideración del ministerio
competente, por lo que el argumento aducido por los fabricantes de pilas secas no se sostiene.También se observa que para que la rama de producción nacional sea comp etitiva no es necesario que
produzca negro de humo de ac etileno exclusivamente mediante métodos petroquímicos. Algunos
fabricantes internacionales de S udáfrica y Filipinas están produc iendo negro de hu mo de acetileno
mediante carburo cálcico, y ese NHA entra en los mercados indios a precios competitivos, lo queindica claramente que puede producirse negro de humo de ace tileno a precios competiti vos utilizando
el método del carburo cálcico.
39. Habida cuenta de lo anterior, se observa que el plan de reajuste presentado por la rama de
producción nacional no es hipotético ni meramente teórico. Se están haciendo verdaderos esfuerzospara competir con las importaciones. Se estima que la imposición de un derecho de salvaguardiaayudará a la rama de producción nacional a reestr ucturarse y a hacerse co mpetitiva. Se observa
asimismo que algunos productores nacionales ya han tomado medidas en ese sentido, y que la rama de
producción nacional necesitaría un período aproximado de dos años para completar en lo fundamentalsus planes.
Cuota de los distintos países
40. Se confirman las constataciones que a esos efectos figuran en el apartado ix) del párrafo 5 de
las constataciones preliminares.
CONCLUSION Y RECOMENDACIONES DEL DIRECTOR GENERAL41. Habida cuenta de las constataciones arriba expuestas, se concluye que el aumento de las
importaciones de NHA ha causado un daño grave a los productores nacionales de NHA, y que laimposición de un derecho de salvaguardia por un período de dos años obra en interés del público engeneral.
42. Para calcular la cuantía del derecho de salvaguardia adecuado para proteger a la rama de
producción nacional, el costo de producción (confidencial) del NHA producido en el país se hacalculado sobre la base del promedio ponderado para la rama de producción nacional en su totalidad.De manera análoga, los precios de importación c.i.f. del NHA se han calculado sobre la base de unpromedio ponderado. Se han hecho ajustes para integrar en el cálculo los derechos, impuestos ygastos de manipulación aplicables tanto al NHA producido en el país como al NHA importado. Sinembargo, no se ha hecho ningún ajuste para integrar en el cálculo el impuesto sobre las ventas u otrosimpuestos locales aplicables al NHA producido en el país, habida cuenta de la disposición delpresupuesto para 1998-1999 en virtud de la cual las importaciones (no destinadas a la venta) se gravancon un derecho adicional especial del 4 por ciento que tiene en cuenta el impuesto sobre las ventas yotros impuestos locales, etc. generalmente aplicables a los productos de fabricación nacional. Seestima igualmente que no es probable que la imposición de un derecho adicional especial del 4 por
ciento tenga efectos significativos en el costo medio ponderado de la producción de NHA en el país
durante el período objeto de investigación. Tecil y Panyam autoprodujeron la principal materiaprima, es decir, el carburo cálcico, y sólo Senka importó parte de sus necesidades de carburo cálcico.G/SG/N/8/IND/1
Página 24
Oswal, por su parte, utilizó acetile no autoproducido para pr oducir NHA. No es, por tanto, probable
que el costo medio ponderado de la producción para la rama de producción nacional se vea afectadosignificativamente, por lo que en ese sentido no se tiene intención de efectuar ajustes en el costo medioponderado de la producción de NHA en el país. Los productores nacionales solicitan un margen debeneficio del 5 por ciento, que se considera razonable.
43. Por consiguiente, se recomienda que se imponga al negro de hum o de ace tileno importado en
la India, por un período de dos años desde la fecha de la primera imposición, el siguiente derecho desalvaguardia:
Primer año = 12.950 Rs PTM
Segundo año = 8.830 Rs PTM
(firmado)
(R.K. Gupta)
DG-Salvaguardias
__________
| 12,519 | 80,306 |
WTO_99
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WTO
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WTO_99/Q_G_TBTNOT96_96-260.pdf
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Q_G_TBTNOT96_96-260
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WORLD TRADE G/TBT/Notif.96.260
5August 1996
ORGANIZATION
(96-3115)
Committee onTechnical Barriers toTrade
NOTIFICATION
Thefollowing notification isbeing circulated inaccordance withArticle 10.6.
1. Member toAgreement notifying: UNITED STATES
Ifapplicable, name oflocalgovernment involved (Articles 3.2and7.2):
2. Agency responsible: Federal Highway Administration (59)
Agency orauthority designated tohandle comments regarding thenotification canbe
indicated ifdifferent from above:
3. Notified under Article 2.9.2 [X],2.10.1 [],5.6.2 [],5.7.1 [],other:
4. Products covered (HSorCCCN where applicable, otherwise national tariff heading.
ICSnumbers may beprovided inaddition, where applicable): Motor vehicles
(HSChapter 8703)
5. Title, number ofpages andlanguage(s) ofthenotified document: Parts andAccessories
Necessary forSafeOperation; Antilock Brake Systems (8pages)
6. Description ofcontent: TheAdministration isproposing toamend theFederal Motor
Carrier Safety Regulations (FMCSRs) torequire that air-braked truck tractors
manufactured onorafter 1March 1997, andair-braked single-unit trucks, buses,
trailers, andconverter dollies manufactured onorafter1March 1998, beequipped with
antilock brake systems (ABSs) thatmeet therequirements ofFederal Motor Vehicle
Safety Standard (FMVSS) No.121. TheAdministration isalsoproposing thathydraulic
braked trucks andbuses manufactured onorafter1March 1999, beequipped withABSs
thatmeet therequirements ofFMVSS No.105. With regard tocommercial motor
vehicles manufactured prior tothedates previously mentioned, theAdministration isnot
proposing thatmotor carriers berequired toretrofit suchvehicles withABSs.
7. Objective andrationale: Toensure thatthein-service brake standards oftheFederal
Motor Carrier Safety Regulations areconsistent withtheFederal Motor Vehicle Safety
Standards andtoimprove thesafety operation ofcommercial motor vehicles byreducing
theincidence ofaccidents caused byjackknifing andother losses ofdirectional stability
andcontrol during braking.
./.G/TBT/Notif.96.260
Page2
8. Relevant documents: 61FR36691, 12July1996; 49CFR Part393. Willappear in
theFederal Register when adopted.
9. Proposed dateofadoption:
Proposed dateofentry intoforce:Tobedetermined
10. Final dateforcomments: 10September 1996
11. Texts available from: National enquiry point [X]oraddress andtelefax number ofother
body:
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ORGANISATION MONDIALE
DU COMMERCE WT/WGTDF/W/23
25 mars 2004
(04-1374)
Groupe de travail du commerce,
de la dette et des finances
AMÉLIORATION DE L'ACCÈS AU FINANCEMENT DU COMMERCE:
RAPPORT SUR LES TRAVAUX PRÉLIMINAIRES
Note du Secrétariat
Le présent document a été établi par le Secrétariat sous sa propre
responsabilité et sans préjudice des positions des Membres ni de
leurs droits et obligations dans le cadre de l'OMC.
I. INTRODUCTION
1. Dans les périodes de crise financière ai guë, comme celles qu'ont connues les marchés
émergents dans les années 90, la pénurie générale de crédits peut limiter l'accès au financement du
commerce, en particulier aux crédits à court terme, et peut donc perturber les échanges qui devraient
normalement être le principal vecteur de la repr ise économique et du redressement de la balance des
paiements. Les exportations, comme le s importations, peuvent être affectées.
2. Pour faire face à cette situation, le FMI, la Banque mondiale, les banques régionales de
développement ainsi que certains organismes de crédit à l'exportation et certaines banques privées ont
pris diverses initiatives, chacun jouant un rôle distinct dans la recherche de solutions.
3. Le Groupe de travail du commerce, de la dette et des finances a estimé que la question du
financement du commerce était l'une de celles qui méritaient un examen pl us approfondi après la
cinquième Conférence ministérielle. Dans son rappor t au Conseil général (WT/WGTDF/2), il est dit:
"Sur la base essentiellement de l'expérience acqui se en Asie et ailleurs, il existe un besoin
d'améliorer la stabilité et la sécurité des sources de financement du commerce, notamment
pour faire face aux périodes de crise financière. Les pays, les organisations
intergouvernementales et tous les partenaires intéressés du secteur privé doivent s'efforcer
davantage de rechercher les moyens d'assurer des sources appropriées et prévisibles de financement du commerce, en particulier da ns les situations exceptionnelles de crise
financière."
4. La question de l'insuffisance du financement du commerce en période de crise économique a
été soulevée à la réunion du Conseil général sur la cohérence, tenue en mai 2003. Le Directeur
général du FMI a proposé d'organiser une réunion d'experts avec la par ticipation d'institutions privées
et publiques afin d'améliorer la coordination et, da ns la mesure du possible, de définir un cadre WT/WGTDF/W/23
Page 2
d'action pour parer à l'éventualité de nouvelles crises financières.
1 Le Directeur général de l'OMC a
ensuite convoqué une réunion de suivi du groupe d'experts pour examiner comment l'OMC pourrait
au mieux contribuer à l'amélioration de l'accès des pays en développement à des sources plus
abondantes et plus sûres de financement du commerce, en particulier en période de crise financière.
Le rapport du Secrétariat sur cette réunion a été distribué sous la cote WT/GC/W/527-
WT/WGTDF/W/22, et le Directeur général présente un rapport oral succinct à la réunion du Conseil
général du 11 février 2004 (WT/GC /M/85, paragraphes 90 à 92).
5. La présente note est destinée à compléter le document WT/WGTDF/W/22.2 Elle indique
l'état d'avancement des travaux sur la question et examine les possibilités d'intervention publique à
l'échelle mondiale en ce qui concerne d'une part l'as pect financier, qui est du ressort des institutions
financières internationales (IFI), d'autre part l'a ccès aux marchés et l'élaboration de règles, qui
relèvent de l'OMC, de l'OCDE et des autorités fina ncières de réglementation. La Section II décrit les
perturbations du commerce résultant du tarissement d es sources de financement en période de crise,
sur la base de l'expérience récente de certains pays, et analyse l'action des banques centrales, des
banques régionales de développement et des organi smes de crédit à l'exportation face à l'absence de
financement privé du commerce. La Section III indique où l'action des Membres de l'OMC peut
contribuer au règlement du problème.
6. La présente note porte exclusivement sur la qu estion de l'accès à un financement commercial
d'urgence en période de crise financière. Le Groupe de travail a également abordé la question plus
générale de l'amélioration de l'accès des pays en développement à des sources de financement
commercial suffisantes et sûres, en particulier dans le cas des petits pays et des pays à faible revenu,
et dans l'intérêt du développement du commerce sud-sud. Comme il est dit dans le document de
travail n° 2 de l'OMC, "la diminution de l'offre de crédits à court terme semble avoir une raison plus
structurelle, liée au mouvement de concentrati on observé ces dernières années sur les marchés
bancaires internationaux" et à la désaffection progressive des banques internationales à l'égard
d'instruments comme les crédits commerciaux, qu i sont de plus en plus considérés comme des
produits à faible valeur ajoutée et peu rentables. La question mériterait peut-être d'être examinée plus
avant par le Groupe de travail.
II. LE MARCHÉ DU FINANCEMENT DU COMMERCE ET LES DIFFICULTÉS
RENCONTRÉES EN PÉRIODE DE CRISE FINANCIÈRE
A. LES PROBLÈMES DE RISQUE , DE LIQUIDITÉ ET DE SOLVABILITÉ , ET LE COMMERCE
7. L'expansion du commerce dé pend de l'existence de sources de financement sûres, suffisantes
et rentables, tant à long terme (pour réaliser les investissements en cap ital nécessaires pour produire
des biens et des services échangeables) qu'à court terme, en particulier pour le financement du
1 Le rapport du FMI sur cette réunion peut être consulté sur le site Web du FMI, il s'intitule: "IMF,
Trade Finance in Financial Crisis – Assessment of Key Issues" (23 janvier 2004). L'une des solutions présentées dans ce rapport consiste à mieux harmoniser les programmes d'urgence mis en place par les
institutions publiques, comme les organismes de cr édit à l'exportation et les banques régionales de
développement, et à mieux coordonner les activités des institutions financières publiques et privées par le biais d'opérations de cofinancement. Les experts ont recon nu en outre le rôle positif que les banques centrales
pouvaient jouer dans certains cas.
2 Voir également Auboin M. et Meier-Ewert M. ( 2003), "Improving the Availability of Trade Finance
During Financial Crisis", document de travail de l'OMC n° 2, Genève, sur lequel s'appuie le présent document.
WT/WGTDF/W/23
Page 3
commerce.3 C'est sur cette dernière forme de fi nancement que repose l'essentiel du commerce
mondial, car il y a généralement un intervalle entre le moment où les marchandises sont produites et expédiées et le moment où le paiement est ef fectué. Le financement du commerce consiste
généralement en crédits, d'une durée de 180 jours au plus, consentis aux entreprises pour leur
permettre de faire la soudure. Des transactions en espèces sont également possibles, mais elles sont
plus rares dans de nombreux pays en développement et pays moins avancés.
8. L'octroi de crédits à court terme pour le fina ncement du commerce est gé néralement considéré
comme une opération courante. Les instruments de fi nancement sont relativement bien définis sur le
marché; ce sont les lettres de crédit, les comptes d'ac hat, les découverts bancaires et le paiement à la
commande, dans le cas des crédits à court terme, et le s lettres de change et les billets à ordre dans le
cas des crédits à plus long terme ou des opérations ponctuelles.
4 Les crédits commerciaux sont
accordés principalement par les banques mais ils pe uvent aussi être consentis directement par les
entreprises (crédit fournisseur, et effets de comme rce), sans passer par l'intermédiaire d'une banque.
(Encadré 1)
9. Même s'il s'agit d'une opération courante, le financement du commerce comporte un élément
de risque comme les autres formes de crédit. Le risque commercial est lié essentiellement à
l'incapacité de l'une des parties d'exécuter sa part du contrat: il se peut, par exemple, que l'exportateur
ne puisse pas obtenir le paiement des marchandi ses qu'il a fournies si elles sont refusées par
l'importateur ou si celui-ci fait faillite ou est insolvable . L'importateur quant à lui supporte le risque
d'un retard dans la livraison des marchandises. Le s négociants sont confrontés aussi au risque de
fluctuation des taux de change, au risque de transport et au risque politique.5 Une variation imprévue
des taux de change peut compromettre la rentabilité de la transaction et l' imposition d'une conversion
monétaire ou la restriction des transferts peuvent être encore plus dommageables.
10. Les instruments de financement du commerce pe uvent atténuer dans une certaine mesure le
risque commercial en donnant à l'exportateur l'assura nce d'être payé par l'im portateur au moyen d'une
lettre de crédit émise par la banque de l'importateur et confirmée pa r la banque de l' exportateur, ou en
permettant à l'exportateur d'obten ir le paiement anticipé du montant dû aux termes du contrat, ce qui
limite en partie le risque de change. Mais ces in struments n'offrent pas une sécurité totale aux parties
à la transaction. Pour protéger l'exportateur contre le risque de non-paiement par l'importateur lorsque
la transaction se fait sur un compte ouvert, ou pour pr otéger la banque qui a confirmé la lettre de
crédit, les organismes officiels de crédit à l'e xportation ou les compagnies d'assurances privées ont
mis en place des systèmes d'assu rance du crédit à l'exportation ou du crédit commercial pour répondre
à ce besoin, dans les pays développés et dans cer tains pays en développement. L'assurance-crédit à
l'exportation ou l'assurance du crédit commerc ial peut couvrir le risque commercial
, qui est
généralement évalué sur une base co mmerciale, et le risque politique , qui comprend la
non-convertibilité de la monnaie et la restriction des transferts, la confiscation ou l'expropriation,
3 Le marché du financement du commerce comporte plusieurs segments qui sont fonction de la durée
des crédits: crédits à court terme (de zéro à 180 jours, mais pouvant aller jusqu'à 360 jours), et crédits à moyen terme et à long terme. On considère généralement que les crédits à moyen et long termes ont une durée de plus
de deux ans et sont régis par l'Arrangement de l'OCDE relatif à des lignes directrices pour les crédits à
l'exportation bénéficiant d'un soutien public ("l'Arrangement") lorsqu'ils sont assurés ou garantis par un participant à l'Arrangement.
4 Stephens (1998).
5 Dans les pays développés et dans certains pays en développement, il est possible de se prémunir
contre le risque de change au moyen de produits dérivé s en devises, et il est possible de s'assurer contre les
risques politiques (y compris le blocage des conversions et des transferts monétaires, la confiscation et
l'expropriation, les violences politiques et la rupture du contrat par un gouvernement acheteur).
WT/WGTDF/W/23
Page 4
l'annulation des licences d'importa tion, la rupture du contrat par le gouvernement acheteur et la
violence politique entraînant le non-paie ment par l'importateur. (Encadré 2)
11. Les systèmes d'assurance-crédit à l'exportation s ont assujettis à un certain nombre de règles et
de disciplines énoncées dans l'Accord de l'OMC sur les subventions et les mesures compensatoires et
sont régis par les lignes directrices définies dans le cadre de l'Arrangement de l'OCDE et de l'Union
de Berne. La restructuration de la dette s ouveraine bilatérale, comme les crédits commerciaux
garantis par l'État au titre de l'aide publique au développement, se fait selon la méthode et sous l'égide
du Club de Paris.
B. C
RISES FINANCIÈRES ET FINANCEM ENT DU COMMERCE EN PÉRIODE D 'INSTABILITÉ
1. Déréglementation financière et commerce
12. L'expansion du commerce intern ational dépend du bon fonctionn ement du système financier
international sous plusieurs rapports dont les plus importants sont les liens entre le commerce et les
taux de change, les flux financiers et l'ajustement de la balance des paiements. Dans les années 80 et
90, la déréglementation des marc hés financiers nationaux, la li béralisation des flux de capitaux
internationaux et l'innovation technol ogique et financière ont entraî né une intégration financière à
l'échelle mondiale. Celle-ci se caractérise notamme nt par un fort accroissement des flux de capitaux
privés des pays développés à destination des pays en développement.
13. Les créances des banques du G-7 sur les pays en développement s'élevaient à environ
1 000 milliards de dollars EU au m ilieu de 1998, au moment de la cri se financière en Asie. Cela a
fragilisé ces pays face aux retournements d'attitude des investisseurs internationaux et des banques,
étant donné que les attentes du marc hé jouent un rôle essentiel dans la fixation du prix des actifs
financiers et l'orientation des flux financiers. Les périodes de plus grande instabilité financière sont
associées, dans une certaine mesure, à la déréglementa tion et à la libéralisation du secteur financier.
Pour un grand nombre de pays émergents, le fact eur déterminant de l'instabilité des années 90 trouvait
son origine dans l'environnement financier plus protégé et contrô lé qui existait auparavant. La
concurrence a révélé le caractère excessif et trop rigide des coûts dans les secteurs financier et
industriel, la mauvaise gestion des risques, et la mauvaise conception ou l'inexistence des règles
prudentielles. Dans certains cas, elle a montré auss i que les politiques monétaires n'étaient pas viables
et que l'endettement public, intérieur et extérieur, était insupportable.
14. La recrudescence des crises financières internati onales à la fin des années 90, avec leurs effets
négatifs sur le PIB, la pauvreté et le développement social dans les pays concernés, a fait renaître les
craintes de voir se rejouer le scénario des années 30 – la crise du secteur financier se propageant à
l'économie réelle. Heureusement, cela n'est pas arrivé , et l'OMC a joué un rôle important à cet égard
en faisant en sorte que ses Membres ne recouren t pas à des mesures commerciales restrictives pour
tenter de protéger leurs producteurs des effets négatif s de l'instabilité financiè re internationale (OMC,
1998). Il subsiste néanmoins un sentiment de vulnéra bilité face à l'instabilité des marchés financiers
internationaux et aux brusques retournements des investisseurs qui peuvent provoquer des problèmes
systémiques dans le commerce et le système commercial, notamment dans les pays émergents.
2. Incidences des crises financières récentes
15. Les années 90 ont été marquées par une succession de crises financières internationales, qui
ont frappé surtout les pays émergents. Chaque crise a ses causes et ses caractéristiques propres, mais celles de 1997-1998 ont toutes entraîné une fuite géné rale des capitaux hors des pays émergents. La
menace d'une contagion parmi les emprunteurs a posé également de graves problèmes aux prêteurs internationaux offrant diverses formes de crédit à court, à moyen et à long terme, et ces deux
phénomènes conjugués ont pris les proportions d'une crise systémique internationale à la fin des WT/WGTDF/W/23
Page 5
années 90. On admet généralement que l'instabilité du compte de capital a joué un rôle beaucoup plus
important que dans les crises plus classiques de balance des opérations courantes/balance des
paiements des années 70 et 80, qui étaient liées au dé rapage des dépenses, à une inflation élevée et à
une dette publique excessive.
16. La fragilité du secteur financier et l'insuffisance du contrôle bancaire da ns les pays touchés
par la crise, conjuguées au rôle des établissements financiers très e ndettés, des fonds spéculatifs et des
opérations hors-bilan de certains i nvestisseurs institutionnels et à l' absence de contrôle prudentiel de
leurs activités, sont les principaux facteurs en cause. De nombreux analystes pensent que le
comportement grégaire des investisseurs étrangers e xplique pourquoi la retra ite a tourné en déroute
dans certains pays frappés par la crise, où le ma nque d'informations, notamment sur le niveau des
réserves en devises, rendait plus difficile une évaluati on objective de la situation. Pour de nombreux
observateurs, les faiblesses internes, en dehors du sect eur financier, ont rendu les pays touchés par la
crise plus vulnérables aux chocs exogènes. Il ne semble pas que les déséquilibres macro-économiques
aient été la principale cause de la crise en Asie du Sud-Est (FMI (1998), OMC (1999)).
17. Les incidences sur le plan macro-économique et sur le commerce international sont plus
importantes. Le Groupe de travail du commerce, de la dette et des finances en a relevé deux en
particulier: - premièrement, les fortes fluctuations des taux de change ont accentué les faiblesses
fondamentales indiquées plus haut (frag ilité financière, vulnérabilité externe,
mauvaise gouvernance), créant un cercle vicieux de dépréciation monétaire, qui a
rendu insolvables un plus grand nombre d'institu tions financières et de clients de ces
institutions et qui a entamé davantage la confiance, renforçant ainsi la fuite des
capitaux (on trouvera des précisions sur l'inci dence de la volatilité des taux de change
dans le document WT/WGTDF/W/4).
- deuxièmement, en raison de la pénurie de moyens de financement du commerce à
court terme (en particulier, l'émission de lettres de crédit et leur confirmation
ultérieure), l'obtention d'un financemen t commercial transfrontières pour les
importations est devenue partic ulièrement problématique au plus fort de la crise en
Indonésie, lorsque les banques internationa les ont refusé, selon certaines sources, de
confirmer ou de garantir les lettres de crédit émises par les banques locales en raison
d'une perte de confianc e généralisée dans le système bancaire du pays. Étant donné la
teneur élevée des exportations en produ its importés (plus de 40 pour cent dans le
secteur manufacturier), la difficulté de financer les importations de matières premières, de pièces détachées et de biens d'équipement utilisés dans les secteurs
d'exportateurs a eu de graves répercussions sur la croissance des exportations
indonésiennes (OMC, (1998)). Le fina ncement des exportations est devenu
problématique pour les entreprises qui ont dû assumer le risque de change ou le risque de non-paiement de la part de leurs clients.
6
6 Les retombées à travers le commerce se manifestent principalement à l'échelon bilatéral ou régional.
Lorsque le volume des échanges bilatéraux est important, une crise financière a des effets négatifs sur tous les
partenaires commerciaux en raison de la perte de compétitivité ou de la contraction de la demande. WT/WGTDF/W/23
Page 6
Encadré 1
Instruments de financement du commerce – Typologie
L'accès au financement du commerce, en particulier dans les pays en dévelo ppement et dans les pays les moins
avancés, joue un rôle primordial dans la facilitation du commerce international. Les exportateurs qui disposent
d'un fonds de roulement limité ont souvent besoin d'un financement pour transformer ou fabriquer des produits,
en attendant d'être payés. À l'inverse, les importateurs ont souvent besoin de crédits pour acheter à l'étranger
des matières premières, des marchandises et du matériel. La nécessité d'un financement des opérations
commerciales est soulignée par le fait que la concurre nce pour passer des contrats d'exportation est souvent
basée sur le caractère attractif des conditions de paiement offertes, les gros importateurs préférant acheter sur le
compte ouvert, avec des délais importants, tandis que les gros exportateurs préfèrent vendre au comptant ou
avec des garanties si un délai de paiement doit être consenti. Un certain nombre d'instruments de financement
du commerce ont été mis au poi nt pour répondre à ce besoin.
A. Financement du commerce accordé par les banques
a) Une banque peut accorder un crédit à une entreprise importatrice s'engageant ainsi à payer
l'exportateur. Avec une lettre de crédit bancaire, le paiement est généralement effectué sur présentation des
documents spécifiés, tels que les documents d'expéd ition et d'assurance et les factures commerciales ( crédit
documentaire ), ou à une date ultérieure spécifiée.
b) Une banque peut accorder des prêt s à court terme, escompter des lettr es de crédit ou verser une caution
de paiement anticipé à l'exportateur pour lui permettre de disposer d'un fonds de roulement suffisant avant
l'expédition des marchandises et d'assurer la soudure pend ant la période qui sépare l' expédition et la réception
du paiement de l'importateur ( financement avant et après expédition ).
c) Pour aider un exportateur, une ba nque du pays exportateur peut accord er un prêt à un acheteur étranger
pour financer l'achat des produits exportés. Cette formule permet à l'acheteur de disposer d'un délai plus long
pour régler le fournisseur aux termes du contrat ( crédit acheteur ).
Les facilités de crédit accordées par les banques au x importateurs et aux expor tateurs comprennent en
particulier:
• le financement du fonds de roulement et les découverts;
• la fourniture de cautions de bonne fin, d'adjudication et de paiement anticipé;
• l'émission de lettres de crédit;
• l'acceptation et la confirmation de lettres de crédit;
• l'escompte de lettres de crédit.
Ces instruments sont généralement libellés dans des monnaies fortes, sauf dans le cas du financement
du fonds de roulement ou des découverts.
B) Autres formes de financement
Sans passer par l'intermédiaire des banques, les entreprises peuvent recourir à d'autres instruments pour
financer leurs transactions, y compris:
• la lettre de change par laquelle le vendeur peut obtenir de l'acheteur l'engagement de payer la
somme due à une date ultérieure spécifiée;
• le billet à ordre par lequel l'acheteur promet de payer à une date ultérieure, mais qui offre une
protection juridique moindre que la lettre de change. WT/WGTDF/W/23
Page 7
a) L'entreprise exportatrice peut acco rder un crédit directement à l'acheteu r dans le pays importateur, afin
de lui laisser un délai de paiement dans le cadre du contrat ( crédit fournisseur ).
b) L'exportateur vend ses créances à un établissement spécialisé sans recours et avec une décote, les
créances devenant ainsi des titres négociables ( affacturage à forfait ).
c) Échange de marchandises sur la base d'une valeur convenue sans paiement au comptant ni crédit,
consistant en opérations de troc, de contre-achat ou de rachat ( commerce de compensation ).
Sources : CESAP (2002), "Trade Facilitation Handbook for the greater Mekong Subregion", Bankok.
CCI (1998), "Le financement des exportations – Guide à l'intention des économies en développement
et en transition", Genève.
Banque asiatique de développement.
Encadré 2
Assurance des crédits commerciaux et à l'exportation
Outre l'obtention d'un financement adéquat, les exportateurs sont exposés à un certain nombre de risques
additionnels, y compris le défaut de paiement de la part de l'acheteur ou de l'importateur pour cause
d'insolvabilité ou pour des raisons politiques, ainsi que le risque de fluctuation des taux de change. Dans les
pays développés et dans certains pays en développement , l'assurance fournie par les organismes de crédit à
l'exportation (OCE) pour le compte de l'État (crédit public à l'exportation) ou par des compagnies d'assurance du
secteur privé peut couvrir les risques de défaut de paiement, alors que les banques peuvent être utiles pour
d'autres risques.
i) Risque de défaut de paiement :
- Les OCE et les compagnies d'assurance offrent, aux taux du marché, une assurance des crédits
commerciaux ou à l'exportation à court terme couvrant les pé riodes antérieures et postérieures à l'expédition.
Ces contrats d'assurance couvrent le risque d'insolvabilité de l'acheteur.
- Nombre de ces assureurs peuvent également offrir une assurance ou des garanties pour les opérations
de crédit acheteur et fournisseur à moyen et à long term e, ces prestations devant être conformes à l'Accord de
l'OCDE dans les pays membres de l'OCDE. Si cette couverture peut être d'une moins grande importance pour
ce qui est de garantir le maintien de courants d'échanges cruciaux pendant des crises financières de courte durée,
le crédit à l'exportation à moyen et à long terme est important pour les pays en développement et les pays les
moins avancés qui ont besoin de technologies nouvelles et modernes ainsi que de biens d'équipement.
- Le coût de l'assurance est déterminé à la fois par les clauses du contrat (proportion des risques couverts
et durée de l'opération), ainsi que par le risque associé à la partie assurée. Pour le crédit à l'exportation à moyen
et à long terme couvert par un participant à l'Arrangemen t de l'OCDE, des primes minimales sont d'application.
- Une lettre de crédit émise par la banque d'un importateur est probablement la meilleure façon pour un
exportateur d'atténuer le risque de défaut de paiement . Toutefois, cela ne protège pas l'exportateur d'un
manquement de la banque émettrice à son obligation de pa iement conformément à la lettre de crédit. En pareil
cas, il pourrait être demandé à la banque de l'exportateur de confirmer la lettre de crédit et donc de prendre en
charge le risque assumé par la banque émettrice.
ii) Risques politiques :
- L'assurance des crédits commerciaux ou à l'export ation peut également couvrir divers risques
politiques, y compris l'inconvertibilité des monnaies et les restrictions aux transferts, la confiscation ou
l'expropriation, l'annulation de licences d'importation, le s violations de contrat par un acheteur public et les
violences politiques qui sont à l'origine du défaut de paiement de la part d'un acheteur. WT/WGTDF/W/23
Page 8
- Pour les opérations de crédit acheteur à long terme et de financement de projets, l'assurance contre les
risques politiques peut jouer un rôle capital pour attirer l'investissement étranger direct dans les pays en
développement et les pays les moins avancés. Toutefois, par suite de la crise financière asiatique survenue dans
les années 90, des événements du 11 septembre, de l'effondrement d'Enron et des problèmes économiques
auxquels est confrontée actuellement l'Argentine, il est devenu plus difficile pour le marché de l'assurance
d'assurer contre les risques politiques pour les durées plus longues et les montants plus importants qui sont
indispensables pour soutenir l'investissement étranger direct dans les pays en développement et les pays les
moins avancés. De ce fait, la collaboration entre les OCE publics, les banques multilatérales de développement
et les compagnies d'assurance du secteur privé s'est cons idérablement renforcée ces dernières années et doit être
encouragée.
iii) Risque de change :
- Il est possible de réduire au minimum le risque de fluctuation des taux de change entre les principales
monnaies échangeables au moyen d'une opération de couve rture en prenant une position inverse sur le marché à
terme ou en recourant à des options d'achat ou de vente de devises sur le marché à terme.
- Ces opérations sont possibles à un coût relativement faible (environ 0,3 pour cent selon le montant et la
monnaie), majoré du prix de l'option. Cependant, pour les importateurs et les exportateurs des pays en
développement et des pays les moins avancés qui ne disposent pas de monnaies librement échangeables ni de
marchés des changes efficaces, ces opérations peuvent être trop coûteuses ou simpleme nt ne pas être possibles.
iv) Autres risques :
- Selon le risque et la destination, il est possible de contracter une assurance commerciale pour couvrir
les pertes liées au transport à raison de 1 pour cent de la valeur du fret et des frais de transport.
Sources : Centre du commerce international (1998), "Mécanis mes d'assurance et de garantie du crédit à
l'exportation", Genève, et Banque asiatique de développement.
18. L'Indonésie n'était pas le seul pays à se trouver da ns cette situation. En Thaïlande, en Corée,
au Pakistan, en Argentine et dans plusieurs autr es pays émergents, le manque de liquidités et les
problèmes d'insolvabilité des systèmes bancaires lo caux, à la fin des années 90 et au début des
années 2000 ont rendu difficile l'obtention, par les pr oducteurs locaux, de financement avant et après
expédition de lettres de crédit, de cautions de paiement anticipé et d'autres formes de financement
"intérieur". Malgré la pénurie de devises et de liquidités sur les marchés locaux, la demande de
crédits des entreprises bien cotées de vrait être satisfaite par une offre à un prix plus élevé, selon la
théorie classique. Dans les périodes de crise aiguë , cette offre n'existait tout simplement pas dans
certains pays, ce qui indiquait une défaillance du ma rché. Par suite de la perte de confiance
généralisée dans le système bancaire local, les ba nques internationales ont majoré les commissions de
confirmation et les marges de crédit interbancaire et ont réduit ou annulé les plafonds de crédit aux
banques et aux pays. En Indonésie, par exempl e, la valeur totale des plafonds des crédits
commerciaux accordés par les banques est tombée de 6 milliards de dollars, fournis par 400 banques
internationales, à environ 1,6 milliard de dollars, fournis par 50 banques (WT/WGTDF/6).
C. FINANCEMENT DU COMMERCE EN PÉRIODE D 'INSTABILITÉ
19. Les statistiques sur la dette extérieure, établies conjointement par le BRI, le FMI, l'OCDE et
la Banque mondiale, montrent que, dans certains pa ys, l'encours des plafonds ou des lignes de crédit à
court terme s'est reconstitué après la crise, tandis que dans d'autres, cela n'a pas été le cas. S'agissant
de la première catégorie, cela peut simplement te nir au fait qu'en l'absence d'un système clair de
restructuration de la dette souveraine, les banqu es ont dû renouveler les lignes de crédit – ce qui a
impliqué une augmentation du coût des emprunts pour les pays concernés. Pour d'autres pays, comme
l'Indonésie et l'Argentine, les banques tant locales qu'internationales ont refusé de renouveler les
lignes de crédit commercial existantes sans avoir de solides garanties qu'elles seraient remboursées à WT/WGTDF/W/23
Page 9
l'échéance fixée, c'est-à-dire sans un accord plus général avec les débiteurs sur l'engagement d'un
processus de restructuration de l'ensemble des dettes. Après la crise, il se peut que certaines banques
locales connaissent encore des problèmes d'insolvabilité ou de manque de liquidités, ou ne se sentent
pas à même d'évaluer la solvabilité des importateurs et des exportateurs. Les banques internationales,
de leur côté, auront probablement consolidé leurs engagements sur les marchés à risque et seront peu
enclines à prendre de nouveaux risques en confirma nt des lettres de crédit ou en accordant d'autres
formes de crédit à leurs correspondants bancaire sur ces marchés.
1. Défaillances sur le plan de l'offre
20. Des représentants des services du FMI, de l'OMC, de la Banque mondiale, des banques
régionales de développement (BAD, BERD, BID) d es OCE, des organismes pr ivés d'assurance-crédit
et des banques privées ont participé à un séminaire d'experts organisé par le FMI en mai 2003. La
plupart ont reconnu que les marchés privés et autr es institutions n'avaient pas répondu à la demande
de financement du commerce national et transfrontiè res pendant la crise asiatique et lors d'autres
crises récentes par des économies émergentes, bien que ces opérations compor tent généralement peu
de risques.
21. Un sujet de discussion concernant la crise as iatique est ce qu'il est maintenant convenu
d'appeler le "comportement grégaire", c'est-à-dir e la tendance générale des banques régionales ou
internationales à se retirer, au moment de la crise, de toute activité sur les marchés émergents et ce
quelle que soit la nature des prêts des risques. La question de savoir si ce comportement grégaire est
irrationnel ou non est débattue depuis quelque te mps. Dans une certaine mesure, on pourrait
s'attendre à ce que les banques internationales qui ont acquis une longue expérience dans le pays
tiennent compte des possibilités qu'offre la situatio n, au lieu de considérer seulement les pertes
potentielles, en particulier lorsque le resserrement du marché est susceptible de les mettre dans une
position favorable du fait de la disparition de la co ncurrence. Des occasions de profit peuvent se
présenter dans la mesure où les banques restantes sél ectionnent leurs clients de façon plus rigoureuse
et peuvent ajuster les taux et les frais à la ha usse puisqu'elles ont moins de concurrents. La
composante irrationnelle du comportement grégaire est donc liée à une réaction disproportionnée des
prêteurs, fondée davantage sur l'aversion pour le risque et sur la crainte de subir des pertes que sur une
analyse approfondie des coûts et des avantages poten tiels et des avantages qu'il y a à rester sur le
marché dans les nouvelles conditions.
22. Les représentants des banques privées ont e xpliqué que le retra it rapide de leurs
établissements de ce type d'activité était lié au re trait plus général des ma rchés émergents observé à
l'époque, quel que soit le type de prêts. De nombre ux gestionnaires de portefeu ille ne faisaient pas de
distinction entre le financement du commerce et les autres formes de crédit à court, moyen et long terme lorsqu'ils réduisaient leurs e ngagements dans un pays et, partant, les lignes de crédit accordées
aux pays touchés par la crise. Leur souci était de limiter le montant gl obal de leurs engagements
plutôt que de maintenir une présence sélective en fonc tion du profil de risque des clients. Il s'ensuit
que l'octroi de financement commercial a cessé, bi en qu'il s'agisse générale ment d'une activité peu
risquée (et peu lucrative). Les prêteurs nationa ux étaient trop à court de liquidités pour fournir ce
financement, tandis que les prêteu rs internationaux avaient trop d'incertitudes quant à la solvabilité de
leurs emprunteurs.
23. Une raison plus structurelle invoquée par les banqu es était que la consolidation globale sur le
marché bancaire international avait amené à se recentr er sur les marchés les plus rentables et à réduire
ou annuler purement et simplement les crédits aux pa ys plus petits ou présentant plus de risques et à
leurs banques. Actuellement, seuls 20 grandes banqu es internationales semblent être actives sur le
marché du financement commercial au niveau mondi al, mais rares sont celles qui ont ramené les
lignes de crédit consenties aux marchés émergents à leur niveau d'avant la crise. Cela tient
notamment au fait que le problème des crédits non remboursés tarde à être réglé dans certains pays WT/WGTDF/W/23
Page 10
touchés par la crise, ainsi qu'à l'absence de méca nisme de règlement des différends relatifs à ces
créances.
24. Le retrait rapide des capitaux semble avoir été aggravé par les signaux alarmants envoyés par
les organismes de notation financière qui, dès le début de la crise qu'ils n'avaient pas vu arriver, ont
fortement révisé à la baisse la cote de crédit des pays touchés, contribuant ainsi au comportement
grégaire des créanciers internationaux .
7 Des études récentes confirment que, bien que la notation des
organismes d'évaluation financière n'ait pas permis de prévoir conve nablement les crises monétaires
dans les marchés émergents, la survenue d'une crise financière entraîne ultéri eurement la révision à la
baisse de leur notation. Cela peut s'expliquer par le fait que les indicateurs sur lesquels ces
organismes fondent leur jugement permettent beaucoup mieux de pré voir la défaillance d'un débiteur
souverain que d'anticiper une crise monétaire. Même si ces deux phénomènes ont souvent coïncidé
dans le passé, ils ont été de plus en pl us souvent dissociés depuis 1994 (Sy (2003)).
25. Les participants ont reconnu que, face à une défaillance apparente du marché du côté de
l'offre, une intervention soigneusement ciblée des p ouvoirs publics était possi ble, soit sur une base
bilatérale par le truchement d es organismes de crédit à l'exportation soit au niveau régional ou
mondial avec le soutien des institutions financièr es internationales. L'expérience des pays qui ont
réussi ou qui ont obtenu de moins bons résultats a été passée en revue. En Corée, le problème du
financement du commerce a été résolu en grande pa rtie sur une base bilatérale, grâce à l'augmentation
des lignes de crédit accordées par l'Eximbank des Ét ats-Unis. Le commerce interrégional au sein de
l'ANASE étant plus complexe, le problème du fina ncement du commerce en As ie du Sud-Est appelait
des solutions diversifiées. La Banque asia tique de développement a soutenu la banque
d'import-export de la Thaïlande pour lui permettre de lever 1 milliard de dollars EU par un emprunt
sur cinq ans afin d'aider les entreprises exportatri ces à se procurer plus facilement le financement
nécessaire avant et après expédition. Cette solution s'est inspirée en grande partie du système mis en
place avec succès par la Banque d'Indonésie (banque centrale indonésienne) qui avait déposé, dans les
premières heures de la crise, 1 milliard de dollars EU en liquide dans les dix plus grandes banques
internationales établies à Singapour à titre de garant ie en cas de non-paiement des lettres de crédit
émises par les banques locales.
26. La BERD a fait des observations sur son progr amme réussi de facilitation du commerce qui
permet de protéger n'importe quelle banque internationale cont re les pertes résultant de la
confirmation d'une ligne de crédit émise par une banque agréée dans un pays en développement
membre de la BERD. La BAD a aussi expliqué comment fonctionne son programme analogue au
Pakistan, mais elle a indiqué que ce programme ne couvre que le risque politique et qu'elle envisageait
de lancer, en cours d'année, un programme régional de facilitation du commerce plus complet, calqué
sur celui de la BERD. La SFI/Banque mondiale ont annoncé qu'elles venaient d'accorder au Brésil
une ligne de crédit de 800 milli ons de dollars EU pour le fina ncement du commerce basée sur des
instruments dérivés (Encadré 3).
27. Il a été reconnu que les solutions ponctuelles mises au point par les banques régionales de
développement avaient généralement été satisfais antes, dans la mesure où ces banques n'avaient
enregistré aucune défaillance ni aucune perte, tout en maintenant disponible un minimum de
financement du commerce transfrontières. Les mécanismes de financem ent commercial d'urgence
mis en place par les banques régionales de développement ont été uniformisés, ce qui est un fait positif. Toutefois, malgré un optimisme modéré qua nt à leur capacité de faire face à une crise
7 La révision à la baisse de la notation du risque-pays a été opérée très rapidement et de manière
brutale. La notation de la Thaïlande a baissé de quatre points à la fois par Moody's et par Standard and Poor's entre juillet 1997 et le début de 1998; celle de l'Indoné sie a été abaissée de cinq points par Moody's et de six par
Standard and Poor's entre juin 1997 et le début de 1998 et celle de la République de Corée de six points par
Moody's et de pas moins de dix points par Standard et Poor's pendant la même période (Cornford (2000)). WT/WGTDF/W/23
Page 11
soudaine, les banques régionales de développement et les OCE sont relativement pessimistes quant à
leur capacité de rétablir pleinement des source s privées stables et liquides pour le financement du
commerce transfrontières à court terme tant que certaines questions cruciales n'auront pas été résolues. Premièrement, certaines banques qui fo urnissent un financement commercial transfrontières
font valoir qu'elles doivent obtenir le statut de "créancier préférentiel" dans le cadre de la
restructuration de la dette pour pouvoir retourne r sur les marchés émergents plus risqués.
Deuxièmement, peu de progrès ont ét é faits dans le règlement des li gnes de crédit existantes (qui ont
été reconduites après la crise asiati que), en particulier depuis le reje t du mécanisme de restructuration
de la dette souveraine proposé par le FMI. Pers onne n'a proposé de plan de tritisation des crédits
commerciaux non encore remboursés (du genre du plan Brady), de sorte qu'il y a peu d'espoir de ce
côté. En outre, les OCE des pays du G-7 ont indi qué que, en raison de difficultés budgétaires, leurs
gouvernements étaient peu à même de prendre des risques politiques liés au commerce. Les OCE ont
une orientation de plus en plus commerciale et s ont de ce fait soumis aux mêmes contraintes que les
banques privées. Enfin, il se posait un problème de risque moral si les institutions financières
internationales intervenaient systématiquement, car la garantie des lettres de crédit pourrait tendre à
protéger uniquement les meilleures banques éme ttrices, ce qui reviendrait à "sélectionner les
gagnants". 28. Le risque de "sélection des gagnants" est accentu é par le fait que la contraction du crédit dans
les pays en crise est susceptible d'avoir des conséq uences très différentes selon le type d'entreprise.
En effet, certaines entreprises ont des chances de trouver d'autres façons de financer leurs activités
commerciales, notamment en obtenant un crédit dir ectement de l'entreprise importatrice, ou en
recourant aux services d'une société d'affacturage. Bi en entendu, la première solution n'est viable que
si l'entreprise importatrice est elle-même suffisamment solvable et si les recettes provenant de la vente
des produits exportés sont suffisantes pour couvrir le coût de la productio n continue. Pour ces
entreprises, une forte dépréciation de la monnaie constituerait probablement un avantage compétitif.
En revanche, d'autres entreprises ne pourront pas pr ofiter de cette possibilité. Les petits fournisseurs
locaux qui vendent ponctuellement des produits sp écialisés à des achete urs internationaux ont
beaucoup moins de chances de pouvoir obtenir un créd it auprès de l'importateur, car ils n'ont pas de
relation suivie avec leurs clients. En l'absence de financement bancaire, ils ont peu de chances de
pouvoir exécuter leurs contrats. Les incidences tr ès diverses d'une crise sur les différents types
d'entreprises rendent plus difficile de concevoi r des programmes sélectifs appropriés pour assurer la
continuité du financement du commerce. Un mé canisme de financement trop peu sélectif peut
amener à subventionner un petit gr oupe de grandes banques interna tionales ainsi que les grandes
entreprises du pays touché par la crise qui auraie nt eu de toute façon accès à un financement. À
l'inverse, une intervention très ciblée qui impose de lourdes charges administratives aux clients peut
rater son but. Les banques régionales de développeme nt font des efforts considérables pour concevoir
des instruments appropriés et sélectifs à l'intention de la plupart des acteurs touchés, en appliquant le
principe de non-discrimination et les conditions du marché.
2. Les contraintes liées à la demande
29. Bien que le manque de moyens de financement du commerce ait été fréquemment déploré au
cours de la crise financière asiatique, qui a été marquée par de nombreuses faillites bancaires et par
des attaques contre les monnaies de s cinq pays touchés, Stephens (1998) fait remarquer que pendant
la phase initiale d'une crise, le problème peut être à la fois la faiblesse de la demande de crédits
commerciaux et l'insuffisance de l'offre. Co mme le retrait des capitaux étrangers provoque
l'effondrement du taux de change, compromettant to ut équilibre concevable à long terme, très peu
d'entreprises sont disposées à acheter des produits importés en devises car elles ne peuvent pas savoir
quel sera le taux de change quand les marchandise s arriveront ou quand il faudra rembourser le
crédit-acheteur ou le crédit-fournisseur. Bien qu'il soit techniquement possible de s'assurer contre le
risque de change des opérations de couverture, ces opérations peuve nt être trop coûteuses, voire WT/WGTDF/W/23
Page 12
impossibles, pour les entreprises des pays en déve loppement ou des pays les moins avancés dont les
monnaies ne sont pas librement échangeables, ou do nt le marché des changes n'est pas efficient.
30. Compte tenu de l'incertitude générale au sujet de la situation du marché, il se peut aussi que
les entreprises ne soient pas à mê me d'anticiper le niveau de la demande pour leurs produits, étant
donné que la demande intérieure s'est contractée, tandi s que la demande interna tionale – même si elle
est dopée par un taux de change plus avantageux – pe ut souffrir de la contagion financière et des
effets secondaires de la baisse des recettes d'expor tation du pays en crise. Non seulement de
nombreuses banques locales ne sont pas en mesure de fournir des fonds de roulement ou des crédits
commerciaux en raison de leur insolvabilité, mais encore elles rencontrent d'énormes difficultés pour
évaluer la solvabilité des entrepri ses dans les conditions d'incertitude, en particulier des entreprises
ayant un fort endettement extérieur à court term e. De plus, ces banques ne sont pas disposées à
émettre des lettres de crédit en devises alors que le taux de change baisse rapidement. Même si les
banques locales émettent des lettres de crédit, les banques étrangères risquent de ne pas vouloir les
confirmer, en raison de l'incertitude quant à la solvabilité des banques émettrices ou de certains
risques politiques pouvant compromettre le paiement. De plus, il est improbable que les banques
internationales envisagent d'accorder des crédits commerciaux au plan national car elles ne
connaissent pas suffisamment les conditions du marc hé local faute de correspondant bancaire sur
place ou d'une présence effective dans le pays. 31. Le tarissement du crédit commercial ne signi fie pas nécessairement que les entreprises vont
être à court de liquidités ou de crédits. Un crédit commercial peut aussi être accordé par une
entreprise à une autre (son fournisseur ou son client). Les instruments pertinents sont décrits dans
l'Encadré 1. Ces crédits peuvent en fait être mo ins coûteux, car ils permettent d'éviter les frais
d'intermédiation et ils peuvent être accordés à un taux réduit afin d'attirer les acheteurs.
Encadré 3
Programmes spéciaux mis en œuvre par des in stitutions publiques pour rendre les crédits
et les garanties commerciaux acce ssibles aux économies émergentes
a) Indonésie :
- À la mi-1998, la Banque d'Indonésie a constitué à l'étranger un fonds de garantie d'un montant
de 1 milliard de dollars afin d'encourager l'acceptation des lettres de crédit émises par des
banques indonésiennes.
- À la fin de 1998, l'État a également assuré les crédits commerciaux consentis par des banques
indonésiennes en recourant à des fonds budgétaires, mais il n'a guère été tiré parti de ce
mécanisme.
- Création d'un programme de garantie de crédit à court terme pour un montant de 1 million de
dollars en collaboration avec des organismes étrangers de crédit à l'exportation.
b) Thaïlande :
- En 1998, la Banque asiatique de développement (BAD) a fait bénéficier la Thaïlande d'un
mécanisme de financement des exportations pou r un montant de 1 milliard de dollars. Ce
premier mécanisme de financement des exportations mis en œuvre par la BAD consistait en
deux prêts d'une durée de cinq ans accordés à la Banque d'export-import de la Thaïlande: un
prêt de la BAD d'un montant de 50 millions de dollars et un prêt syndiqué de 950 millions de
dollars entièrement cautionné et mis en place par dix banques internationales, et partiellement
garanti par la BAD. Les deux prêts ont été accordés directement ou par le canal
d'intermédiaires thaïlandais en vue de fournir des crédits avant et après expédition à des
exportateurs thaïlandais. WT/WGTDF/W/23
Page 13
- Au départ, les banques locales n'étaient pas disposées à s'engager dans l'intermédiation du
risque. Les tirages effectués sur le fonds ont été modestes parce que la liquidité du système
bancaire s'est améliorée plus rapidement que prévu (WT/WGTDF/W/6).
c) Pakistan :
- En 2000, la Banque asiatique de développeme nt a mis en place un mécanisme de garantie
contre les risques politiques doté d'un fonds de 150 millions de dollars pour les banques
internationales qui acceptent de confirme r des lettres de crédit pakistanaises.
- Le mécanisme offrait un accès ouvert à toute ba nque internationale, seuls les risques politiques
étant couverts et les risques commerciaux ét ant assumés par les banques (WT/WGTDF/W/6).
d) Corée du Sud :
- En 1998, la Banque d'import-export des États-Unis a assuré à court terme, pour un montant de
plus de 1 milliard de dollars EU, des ventes à l'exportation destinées à la Corée du Sud.
e) Brésil :
- En août 2002, la Société fina ncière internationale (SFI) a acco rdé des lignes de crédit séparées
et des prêts syndiqués à des banques, par exemple 200 millions de dollars à Banco Itau et
275 millions de dollars à Unibanco, afin d'aider le Brésil à remédier à l' insuffisance des crédits
commerciaux. Les fonds devaient être prêtés à des entités du secteur privé pour financer des
activités liées au commerce au Brésil.
- En mars 2003, la Banque interaméricaine de développement (BID) a consenti un prêt de
110 millions de dollars à Banco Bradesco dans le cadre d'une initiative conjointe de la BID et
de la SFI visant à rétablir l'accès aux crédits commerciaux. Ce prêt permettra d'assurer un
financement avant et après expédition pour des entreprises brésiliennes et leurs filiales à
l'étranger.
d) Europe de l'Est :
- En 1999, la Banque européenne pour la reconstruction et le développement (BERD) a lancé un
programme de facilitation des échanges, qui a jusqu'à présent garanti et financé plus de
1 300 transactions de commerce extérieur en Europe centrale et orientale et dans la
Communauté d'États indépendants, soit un total de plus de 900 millions d'euros.
Sources : Département d'État des États-Unis (2003), "Cou ntry Commercial Guide - Indonesia", Ambassade des
États-Unis, Djakarta, Indonésie. Sites Web: Banque asiatique de développement (www.adb.org),
Banque d'import-export des États-Unis (www.exim.gov), Société financière internationale
(www.ifc.org), Banque interaméricaine de développement (www.iadb.org) et Banque européenne
pour la reconstruction et le développement (www.ebrd.org).
32. Une étude récente (Choi et Kim (2003)), basée sur des données concernant les États-Unis,
semble corroborer cette analyse, car elle indique qu e les entreprises privées sont souvent en mesure de
se substituer aux banques pour fournir le financement commercial nécessaire en temps de crise. Les données qu'elle contient doivent cependant être utili sées avec prudence, car le marché des États-Unis
est beaucoup plus diversifié et liquide que celui de n'importe quel pays en dé veloppement. La gestion
active, à court terme, des liquidités et de la trésorerie des entreprises permet à celles-ci, grâce à
l'ingénierie financière, de faire office de prêt eurs sur les marchés commerciaux internationaux.
Certaines grandes sociétés américaines ont même créé des filiales financières qui financent des projets
ou des opérations commerciales.
33. Ce qui empêche actuellement les pays en dé veloppement de dével opper un marché du crédit
basé sur les entreprises, c'est le nombre relativement limité d'entreprises ayant un fonds de roulement WT/WGTDF/W/23
Page 14
suffisant pour pouvoir poursuivre leurs opérations ju squ'au moment du paiement, notamment dans le
cas des contrats importants. De plus, la réglemen tation des changes peut empêcher les entreprises
locales de se lancer dans des opérations de créd it à court terme avec des non-résidents, et les
obligations de rapatriement des fonds peuvent les empêcher d'avoir suffisamme nt de liquidités sur les
comptes en devises qu'elles sont autorisées à déteni r pour les besoins du commerce international.
L'étude de Choi et Kim tend à montrer qu'alors que les entreprises américaines augmentent à la fois
leurs comptes clients et leurs comptes fournisseurs en période de resserrement du crédit (manque de
liquidités), les petites entreprises ont tendance à accorder proportionnellement plus de crédits commerciaux que les grandes. Mais cela a très peu de chances de se produire dans les pays en
développement, où les entreprises de ces pays n'ont pas les fonds de roulement nécessaires, ou
peuvent difficilement accorder des crédits en devises dans des périodes de forte dévaluation si elles ne
disposent pas de liquidités importantes en devise s dans des banques étrangères. En outre, les
caractéristiques particulières de la crise financière asiatique ont empêché que se développe un marché
du crédit basé sur les entreprises pour compenser le manque de crédits bancaires. Dans des pays
comme l'Indonésie, des banques avaien t été créées par des conglomérats industriels qui avaient besoin
de crédits pour financer l'expansion de leurs opé rations internationales. L'effondrement de ces
banques, touchées par le déséquilibre de leurs bilans après l'effondrement de la rupiah par rapport au
dollar (qui a créé un fort déséquilibre entre les exig ibilités en dollars et les avoirs en rupiahs), a
entraîné la faillite de certains de ces conglomérats (OMC, 1998). 34. Les difficultés des entreprises qui dépendent du financement bancaire en temps de crise sont
aggravées par le fait que les acheteurs importants sur les principaux marchés d'exportation des pays
émergents demandent de plus en plus souvent des contrats de vente sur compte ouvert. Les
fournisseurs doivent donc se procurer eux-mêmes un financement pour pouvoir offrir ces conditions
de financement aux importateurs. Étant donné que la concurrence pour passer des contrats
d'exportation est souvent basée sur les conditions de paiement offertes, une crise financière peut
entraîner non seulement une perturbation des fl ux commerciaux mais aussi un réalignement des
positions concurrentielles des entreprises à long terme.
3. Solutions possibles à long terme sur le plan financier
a) Améliorer la stabilité financière des marchés pris individuellement
35. Comme cela est indiqué dans le document du FMI (cité dans la note 1), la solution à moyen
terme réside en partie dans la prévention des cr ises, qui suppose notamment l'application de politiques
macro-économiques saines propres à renforcer la stabilité financière et la confiance des investisseurs,
la mise au point, par les pays et les organisations in ternationales, d'outils de prévention des crises tels
que des systèmes d'alerte rapide, et le respect par les pays membres des codes et des normes acceptés au plan international, comme ceux qui sont pr éconisés dans le Programme d'évaluation du secteur
financier. Dans les situations de crise, l'utilisati on limitée des réserves intern ationales pour garantir le
financement des opérations commerciales, comme l' avait fait la Banque d'Indonésie, a été admise,
mais cela ne peut être qu'une solution temporaire.
b) Développer des techniques de marché et d es institutions modernes dans les pays en
développement
36. Entre autres solutions, la titrisation des prêts et la couverture des risques de change et des
autres risques semblent être de bonnes solutions f ondées sur le marché, comme l'indique le document
du FMI. Il faut cependant reconnaître que la titrisation des prêts requiert des marchés et des
instruments modernes qui n'existent pas nécessairement dans les pays à faible revenu. Par ailleurs, la
couverture des risques de change n'est possibl e sur les marchés internationaux que pour les
transactions d'un montant assez important; elle a un coût relativement élevé pour les négociants et,
souvent, elle ne concerne que les monnaies largement échangées. WT/WGTDF/W/23
Page 15
37. Sur les 6 000 milliards de dollars EU de tran sactions commerciales effectuées chaque année
dans le monde, seule une petite pa rtie peut être financée ou assur ée par des institutions publiques,
comme les OCE et les institutions financières interna tionales. Même si le secteur public est appelé à
jouer un rôle plus actif que par le passé, ses interventions ne peuvent être guère plus que
"chirurgicales", leur but étant de restaurer la confiance dans les marchés et de maintenir les flux
commerciaux au niveau minimum requis pour que l es institutions financières privées restent sur ce
segment du marché. Jusqu'ici, la tendance à long term e est plutôt allée en sens inverse, en particulier
du fait de la réduction des flux de cr édits garantis par l'État, de sort e que la part du commerce financée
par les institutions publiques a re culé. Les solutions ponctuelles apportées dans les périodes de crise
extrême ne peuvent être que temporaires et ne peuvent compenser que de manière très limitée la
défaillance du marché, en particulier lorsque d'impor tantes fluctuations des taux de change paralysent
tous les échanges et les financemen ts connexes. Les règles intern ationales doivent néanmoins tenir
compte de ces solutions à court terme, pour autant que celles-ci respectent les principes convenus du
droit commercial international (non-discrimination, tr ansparence de l'accès, etc.), de façon à apporter
un soutien aux opérateurs intern ationaux et nationaux qui continuent d'offrir les sources de
financement nécessaires dans les moments les plus difficiles.
c) Éliminer les imperfections du marché (tra nsparence, symétrie de l'information)
38. Certains participants représentant des institu tions financières privées à la réunion du FMI ont
proposé des approches préventives consistant à diffuser des informations symétriques sur le risque de
crédit aux niveaux des pays et des entreprises, informations qui pourraient être utilisées pour
sélectionner les bénéficiaires potentiels d'une ga rantie de l'État ou de la banque centrale.8 Cette
approche permettrait, selon eux, de savoir plus clairement à qui accorder des crédits commerciaux
internationaux ou nationaux en péri ode de crise. Il a été suggé ré que les gouvernements et les
organismes internationaux établissent à l'avance une liste d'"entreprises stratégiques", qui devraient
avoir une excellente cote de crédit au niveau inte rnational, sur la base de quoi ils accorderaient des
garanties en échange du soutien d' une banque internationale. Tout efois, il a été reconnu que cette
approche pouvait poser un pr oblème de risque moral.
d) Aspect réglementaire
39. En dehors des règles prudentielles locales, les réglementations et directives applicables au
financement du commerce sont établies au niv eau international par diverses institutions
internationales, dont la Banque des règlemen ts internationaux (règles de Bâle II), l'OMC
(Accord SMC), et l'Arrangement de l'OCDE relatif à des lignes directrices pour les crédits à
l'exportation bénéficiant d'un soutien public. De s travaux sont menés actuellement, notamment par
l'OCDE, qui réexamine les paramètres servant au calcul des formules applicables à l'élément de subvention.
e) Nécessité d'un prêteur de dernier recours
40. Certaines banques régionales de développement estiment que les programmes de financement
du commerce décrits dans le présent document offre nt une solution à long terme pratique mais
partielle aux problèmes de l'accès au financemen t du commerce en période de crise. Toutefois,
comme ces programmes ne couvrent qu'une partie des risques bancaires normaux et sont censés
s'appliquer dans les situations de crise, leur contribution au commerce global restera forcément assez
limitée. Certaines de ces banques ont posé la quest ion de savoir s'il faudrait un "prêteur de dernier
recours", qui serait soit les banques régionales ell es-mêmes soit une instituti on multilatérale, dans la
8 Voir en particulier Mulder et Sheikh (2003), Banks, Trade Finance and Financial Distress, présenté au
séminaire du FMI le 15 mai 2003.
WT/WGTDF/W/23
Page 16
mesure où cette solution s'inscrit dans le cadre d'un programme macro-économ ique global et de la
restructuration du secteur financier.
9
f) Nécessité d'un processus ordonné
41. Comme cela a été dit tout au long de ce docum ent, la solution du problème du financement du
commerce ne réside pas dans un programme ou une institution unique. Elle fait intervenir de
nombreux participants, publics et privés, aux niveaux lo cal, régional et international. Ces participants
doivent agir ensemble pour engager un processus da ns le cadre duquel chaque institution responsable
sera appelée à intervenir et à apporter un élément de la confiance et du soutien dont le secteur privé a
besoin pour continuer à fournir l'essentiel du fina ncement nécessaire. L es banques régionales de
développement et les OCE peuvent fournir un financ ement d'urgence, éventuellement sous la forme
d'un cofinancement avec des institutions privées, ou en garantissant le financement privé. De leur
côté, les institutions financières international es qui soutiennent les réformes macro-économiques
doivent tenir compte de la question du financement du commerce car ce financement est une base de la reprise du commerce dans les pays en crise. Sur le plan de la réglementation, il faudrait concilier la
nécessité de ne pas décourager le développement du financement du commerce à court terme et celle
d'éviter les comportements anticoncurrentiels ou l'exposition excessive à des marchés à risque.
III. L'OMC ET LE FINANCEMENT DU COMMERCE
42. Le groupe d'experts a suggéré , dans ses discussions, deux dom aines dans lesquels l'OMC
pourrait jouer un rôle pertinent en ma tière de financement du commerce.
43. Premièrement, la fourniture de moyens de fi nancement du commerce fait partie des services
financiers tels qu'ils s ont définis dans l'AGCS. Les engageme nts des Membres de l'OMC déterminent
le degré de concurrence autorisé pour la fournitu re de ce service au niveau national. En règle
générale, plus les opérateurs sont nombreux sur le marché, plus ce dernier est liquide, d'où une baisse
des coûts et une moindre probabilité que tous les intermédiaires financiers fassent faillite en même
temps. Les Membres de l'OMC peuvent avoir intérê t à promouvoir la concurrence sur le marché local
du financement du commerce en autorisant les opérateurs étrangers à établir une présence
commerciale (mode 3) ou en permettant la fournitu re transfrontières de ce service (mode 1). Les
engagements figurant dans les listes annexées à l' AGCS contribuent à la création d'un climat de
prévisibilité et de certitude juridique propi ce au financement du commerce par des banques
étrangères. Cela permet aux Membres de béné ficier aussi de l'expérience des grandes banques
internationales opérant dans ce domaine et de dis poser d'un substitut des orga nismes locaux de crédit
à l'exportation.
44. Les engagements au titre de l'AGCS peuvent être formulés de manière à cibler en particulier
les services de financement du commerce dans la catégorie générale des "prêts de tout type" et dans la
catégorie plus restreinte du "financement de tran sactions commerciales". Quatre-vingt-dix Membres
de l'OMC ont actuellement souscrit des engagements dans le cadre de l'AGCS concernant les activités
de prêt en général, y compris le financement du commerce. La plupart de ces engagements ont été
pris au titre du mode 3 pour lequel il peut y av oir des limitations concernant, par exemple, la
participation étrangère ou le nombre de fournisseurs de services étrangers. Trente-huit Membres ont
pris des engagements concernant les activités de prêt en général au titre du mode 1. Au moment de la
crise financière asiatique, certains Membres ont assoupli leurs restrictions visant le commerce des services financiers, peu après avoir pris des engagements dans le cad re de l'Accord sur le commerce
des services financiers (cinquième Protocole), mais ils n'ont pas enco re inscrit ces engagements dans
leurs listes annexées à l'AGCS.
9 Question soulevée en particulier par les experts de la BERD.
WT/WGTDF/W/23
Page 17
45. Rien ne s'oppose à ce que l'on définisse le s activités de financement du commerce d'une
manière spécifique et étroite dans une liste anne xée à l'AGCS. Par exemple, un Membre, le Chili, a
utilisé à cet égard sa propre terminologie en prenant un engagement concernant "l'octroi de crédits,
définis comme étant les prêts courants, les prêts su r lettres de crédit, l'émission et la négociation de
lettres de crédit pour l'importation ou l'exportation, l' émission et la confirmation de lettres de crédit
stand-by". De même, le Maroc définit le financement du commerce comme "l'octroi de prêts destinés
au financement des transactions commerciales avec le Maroc". On peut également envisager de
traiter de manière analogue d'autres services fina nciers liés au financement du commerce, comme
l'analyse des références de crédit et l'assurance du fret ou des marchandises en transit dans le cadre
d'une transaction couverte par une lettre de crédit. Il a été souligné au cours du débat du groupe
d'experts que, même s'ils n'empêchent pas les ba nques étrangères de couper les lignes de crédit en
période de crise, les engagements de ce genre au titr e de l'AGCS favorisent l'activité financière locale,
régionale et internationale et permettent d'avoir des marchés plus solides et plus résistants,
susceptibles d'encourager les banques étra ngères à maintenir leurs engagements.
46. D'une manière plus générale, le groupe d'experts a également considéré que la contribution
des Membres de l'OMC et de leurs engagements au titre de l'Accord sur le commerce des services
financiers aident les Membres à établir des marché s financiers modernes et plus efficaces, opérant
selon des normes de gestion et de réglementation pl us élevées qui les rendent plus résistants en
période de crise. Par exemple, certains progra mmes d'urgence proposés par des organismes de crédit
à l'exportation ne peuvent être mis en œuvre s'il n'ex iste pas une infrastructure locale permettant de les
soutenir, notamment un cadre juridique appropr ié, des normes comptables adéquates et des
engagements internationaux concernant l'exécution des obligations en matièr e de dette. Les nouvelles
normes de Bâle relatives à la surveillance des banqu es ne peuvent pas non plus être appliquées sans
une telle infrastructure. Par ailleurs, certain es des propositions techniques formulées dans le rapport
du FMI pour favoriser la participation des banques pr ivées, telles que la titris ation des créances au
titre du financement du commerce, reposent sur l' hypothèse de l'existence d'un environnement
financier relativement libéral.
47. Deuxièmement, les disciplines de l'Accord SM C s'appliquent aux subventions accordées par
l'intermédiaire du système financier, y compris la mise en place par les pouvoirs publics (ou par une
banque centrale) de programmes d'assurance ou de ga rantie du crédit à l'expor tation dans le cadre
desquels la prime perçue est insuffisante pour couvrir les frais et les pertes, ou bien si des crédits à
l'exportation sont octroyés à un taux inférieu r au coût des emprunts des pouvoirs publics.
L'Accord SMC énonce un ensemble minimal de principes convenus:
• Il interdit les subventions qui sont subordonnées aux résultats à l'exportation; les crédits à
l'exportation et les garanties et assuranc es s'y rapportant peuve nt, dans certaines
circonstances, être visés par cette interdiction.10
10 Conformément à l'article premier de l'Accord SMC, une subvention est définie comme a) une
contribution financière b) des pouvoirs publics ou d'un organisme public du ressort territorial d'un Membre c) qui confère un avantage. Les programmes de crédit de garantie et d'assurance à l'exportation impliquent des
"contributions financières", et les banques centrales, les OCE et les autres entités détenues ou contrôlées par les
pouvoirs publics qui appliquent ces programmes sont considérées comme des "pouvoirs publics" ou des "organismes publics". Si l'existence d'un "avantage" dépend des termes et conditions de la contribution
financière fournie, les programmes de crédit de garantie et d'assurance à l'exportation confèrent un "avantage"
lorsqu'ils mettent le bénéficiaire dans une situation plus favorable que s'il devait s'en remettre au marché. Quant
à la condition de la subordination aux résultats à l'exporta tion, elle est presque toujours remplie dans le cas des
crédits, garanties et assurances à l' exportation . L'article 3 de l'Accord SMC renvoie cependant à l'Annexe I de
l'Accord contenant la Liste exemplative de subventions à l'exportation. Le point j) et le point k), premier paragraphe, concernant, respectivement, les programmes de garantie et d'assurance du crédit à l'exportation et
les programmes de crédit à l'exportation, ont un rapport avec le financement du commerce. En termes généraux,
le point j) dispose que les programmes de garantie et d'assurance du crédit à l'exportation sont des subventions à WT/WGTDF/W/23
Page 18
• Aux termes du second paragraphe du poi nt k) de l'Annexe I, les pratiques en matière de crédit
à l'exportation qui sont confor mes aux dispositions concerna nt les taux d'intérêt de
l'Arrangement de l'OCDE relatif aux crédits à l'exportation bénéficiant d'un soutien public ne
sont pas prohibées.
11 Toutefois, étant donné que l'Arra ngement de l'OCDE ne s'applique
qu'aux crédits à moyen et à long terme (deux ans ou plus) et que le principal aspect du
financement du commerce examiné dans le pr ésent document est le financement à court
terme, cette disposition a un rapport lim ité avec le problème considéré ici.
• Les pays les moins avancés Membres sont exemptés de la prohibition des subventions à
l'exportation, de même que certains autres pa ys en développement Membres énumérés à
l'Annexe VII b) de l'Accord tant que leur PNB par habitant n'a pas atteint 1 000 dollars par an
(en dollars constants de 1990) durant trois années consécutives.12
48. Bien que l'Accord SMC ne soit pas clair à tous les égards, il est possible de faire certaines
observations sur le risque que les mesures prises pour remédier aux problèmes évoqués dans le
présent document puissent être jugées incompatibl es avec ledit accord. Premièrement, l'Accord
prohibe seulement deux types de subventions: celles qui sont subordonnées aux résultats à
l'exportation, et celles qui sont subordonnées à l'u tilisation de produits natio naux de préférence à des
produits importés. Par conséquent, les programmes qui sont axés exclusivement sur le financement
d'intrants importés essentiels, qui sont applicabl es indépendamment du fait que les intrants importés
sont utilisés pour produire des biens destinés à l'expor tation ou à la consommation intérieure, et qui ne
font pas de discrimination en fonction de l'origine de s intrants, ne risquent pas de tomber sous le coup
des prohibitions énoncées dans l'Accord SMC. Deuxièmement, certai ns Membres semblent
considérer que l'aide multilatéra le au développement ne relève pas de l'article premier de
l'Accord SMC. Par conséquent, les programmes qui sont entièrement financés par des institutions
multilatérales sont moins susceptibles de donner lie u à des procédures de règlement des différends
devant l'OMC, et aucun Membre ne les a contestés à ce jour. En outre, l'Accord SMC est rédigé en
général de manière à viser les situations dans lesquelles un Membre de l'OMC subventionne la
production ou la vente de ses propres produits et l'on ne sait pas exactement s'il s'applique aussi dans
les cas où l'entité accordant la subvention ne se trouve pas sur le territoire du Membre dont il est
allégué que les produits sont subventionnés. Enfin, comme cela a été dit plus haut, de nombreux pays
en développement à faible revenu Membres ne s ont pas actuellement soumis aux dispositions de
l'OMC prohibant les subventions à l'exportation. Ces Membres ont beaucoup plus de flexibilité pour
s'attaquer aux problèmes mis en évidence dans le présent document, y compris au moyen de mesures
axées sur les difficultés de financement rencontrées par les exportateurs.
l'exportation prohibées si les primes sont insuffisantes pour couvrir, à longue échéance, les frais et les pertes au
titre de la gestion de ces programmes, tandis que le pr emier paragraphe du point k) dispose que les crédits à
l'exportation sont des subventions à l'exportation prohibées dès lors, entre autres, qu'ils sont octroyés à des taux
inférieurs à ceux que les pouvoirs publics doivent payer pour emprunter. On ne sait pas très bien si le point j) et le premier paragraphe du point k) peuvent être invoqués pour établir qu'un programme qui ne remplit pas les
conditions qui y sont énoncées n'est pas prohibé, même lorsqu'il existe une subvention à l'exportation prohibée
au sens des articles 1
er et 3.
11 Tel est le cas, que le Membre de l'OMC participe ou non à l'Arrangement; les pays en
développement Membres qui ne participent pas à l'Arrangement peuvent donc eux aussi invoquer la clause du refuge.
12 Les exportations bénéficiant de subventions à l'exportation peuvent toutefois donner lieu à des
mesures compensatoires ou à des procédures de règl ement des différends dans lesquelles leurs effets
défavorables sont allégués, si certaines conditions sont remplies.
WT/WGTDF/W/23
Page 19
49. À la réunion du groupe d'experts le Directeur général13 a suggéré que lorsqu'il existe des
circonstances dans lesquelles la communauté financiè re internationale adopte des mesures concertées
pour fournir un soutien financier spécial afin de main tenir les courants d'échanges en période de crise,
il porterait la question sans délai à l'attention des Membres de l'OMC par l'intermédiaire du Conseil
général. Il le ferait en consultation étroite avec le Directeur général du FMI. Pour assurer une plus
grande cohérence entre les politiques commercial es et financières, il semble que de telles
circonstances devraient être dûment prises en compte par les Membres de l'OMC au moment de prendre des décisions de politique commerciale et qu e l'on devrait s'efforcer par tous les moyens de
maintenir les marchés ouverts aux exportati ons des pays touchés par une crise.
13 Voir en particulier le document WT/WGTDF/W/22, paragraphe 24.
WT/WGTDF/W/23
Page 20
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ORGANISATION MONDIALE
DU COMMERCEWT/MIN(01)/ST/63/Corr.11
12 novembre 2001
(01-5771)
CONFÉRENCE MINISTÉRIELLE
Quatrième session
Doha, 9 - 13 novembre 2001Original: espagnol
NICARAGUA
Déclaration de S.E. M. Edgard Antonio Guerra Duarte
Ministre du développement, de l'industrie et du commerce
Corrigendum
Page 1, troisième paragraphe, quatrième et cinquième lignes:
Remplacer "le volume des échanges" par "le volume des envois de fonds de travailleurs
émigrés".
__________
1 En anglais et français seulement.
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Q_G_SCM_N60JPNS2
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WORLD TRADE
ORGANIZATIONG/SCM/N/60/JPN/Suppl.2
20 April 2001
(01-1993)
Committee on Subsidies
and Countervailing MeasuresOriginal: English
SUBSIDIES
Updating Notification Pursuant to Article XVI:1 of the GATT 1994
and Article 25 of the Agreement on Subsidies and
Countervailing Measures
JAPAN
Supplement
The following communication, dated 17 April 2001, has been received from the Permanent
Mission of Japan.
_______________
Japan submits this updating notification in compliance with its obligation under Article XVI:1
of the General Agreement on Tariff and Trade (GATT)1994 and Article 25 of the Agreement on
Subsidies and Countervailing Measures ("the Agreement" hereinafter).
In this notification, Japan had included certain measures which may not constitute "subsidies"
under Article 1 of the Agreement and certain subsidies which may not be "specific" under Article 2 of
the Agreement in order to achieve the maximum tran sparency with regard to the relevant programmes
and measures effective within its territory.
It should be recognized that, in accordance with Article 25.7 of the Agreement, the
notification of the programmes and measures does not prejudge its legal status, effects or nature under
GATT 1994 and the Agreement.
Furthermore, the notification does not prejudge the non-actionable nature of certain
programmes or measures under footnote 35 to Arti cle 10 of the Agreement, or the non-actionable
status that a programme or a measures would have under Article 8 of the Agreement, had it been
notified under the provisions of Article 8.G/SCM/N/60/JPN/Suppl.2
Page 2
TABLE OF CONTENTS
Page
1. Measures for Rice, Wheat and Barley ....................................................................................3
2. Measures for Soybean and Rapeseed......................................................................................43. Measures for Sugar........................................................................................................... ........5
4. Measures for Milk and Dairy Products ..................................................................................6
5. Measures for Bovine Meat and Pigmeat.................................................................................7
6. Measures for Eggs............................................................................................................ .........9
7. Measures for Vegetable ....................................................................................................... ...10
8. Measures fo r Fruits .......................................................................................................... ......11
9. Measures for Cocoons ......................................................................................................... ...12
10. Farmer's Pension Fund Subsidy............................................................................................13
11. Farming Modernization Fund Interest Subsidy ..................................................................14
12. Agriculture, Forestry and Fisheries Finance Corporation Subsidy...................................15
13. Fisheries Modernizatio n Fund Interest Subsidy..................................................................15
14. Fisheries Trust Fund Subsidy................................................................................................ 16
15. Fund for the Projects Implemented by Regional Governments for Promoting
Sustainable Fisheries .......................................................................................................... ....17
16. Fund for the Activities Implemented by Non-governmental Organizations for
Promoting Sustainable Fisheries ...........................................................................................18
17. Wood Industry Upgrading Funds .........................................................................................19G/SCM/N/60/JPN/Suppl.2
Page 3
1. Measures for Rice, Wheat and Barley
1. Title of the subsidy programme
Measures for Rice, Wheat and Barley
2. Period covered by the notification
Fiscal year 1998 (April 1998-March 1999)
3. Policy objective and/or purpose of the subsidy
The purposes of the programme are to ensure stable supply-demand and price of staple food
(rice, wheat and barley) so as to stabilize national life and economy.
4. Background and authorization for the subsidy
Ministry of Agriculture, Forestry and Fisheries
5. Legislation under which it is granted
The Law for Stabilization of Supply-Demand and Price of Staple Food.
6. Form of the subsidy/to whom and how the subsidy is provided
Along with drastic reform of the distribution system of rice through the introduction of Law
for Stabilization of Supply, Demand and Price of Staple Food(the Staple Food Law)in 1996 and the
New Rice Policies in 1998, Rice Farming Income Stabilization Programme (JRIS) was established in1998 together with Transitional Programme of the New Rice Policies, aiming at mitigating the
negative effects on rice producers' managements caused by the decline in the prices of voluntarily
marketed rice. The Government provides assistance for a fund which is raised by the producers,
which offers direct payments to rice producers for their income losses in case of a fall in the prices of
voluntarily marketed rice under the production-limiting programme. The amount of government
assistance is a fixed ratio of the compensation standard price, i.e. the average price of the voluntarily
marketed rice in the preceding three-year period. In case when the average price of voluntarilymarketed rice in the crop year in question falls belo w the standard price, the payment, which is limited
to a certain percent of the said price gap, is made to the producers directly from JRIS fund. The
Government purchase of rice, is limited only to minimum amount necessary to form public
stockholding for food security purposes.
The Government also purchases wheat and barley from producers and sells them to the
market.
As for barley for feed, the Government provid es a compensatory payment for producers. A
certain portion of producers' income is provided through producers' associations in order to encourageproduction and ensure smooth distribution of barley for feed.
7. Amount of the subsidy
¥152.8 billion (which includes the amount alloca ted from the General Account to the Food
Control Special Account for the Fiscal Year 1998)G/SCM/N/60/JPN/Suppl.2
Page 4
8. Duration of the subsidy and/or any other time-limits attached to it
Duration of the subsidy is not clearly specified, since the subsidy is determined and provided
based on a fiscal year.
9. Statistical data
(unit: thousand tonnes)
Item Fiscal Year Production Consumption Import Export
1996 10,344 10,189 634 6
1997 10,025 10,107 634 201Rice
1998 8,960 9,908 749 876
1996 478 6,401 5,907 0
1997 573 6,290 5,993 0Wheat
1998 570 6,224 5,674 0
1996 234 2,719 2,455 0
1997 194 2,708 2,352 0Barley
1998 144 2,694 2,548 0
2. Measures for Soybean and Rapeseed
1. Title of the subsidy programme
Measures for Soybean and Rapeseed
2. Period covered by the notification
Fiscal year 1998 (April 1998 to March 1999).
3. Policy objective and / or purpose of the subsidy
The purposes of the programme are to maintain soybean and rapeseed production and to
stabilize farmers' income.
4. Background and authorization for the subsidy
Ministry of Agriculture, Forestry and Fisheries.
5. Legislation under which it is granted
Temporary Measure Act for Subsidizing Producers of Soybeans and Rapeseed.
6. Form of the subsidy / To whom and how the subsidy is provided
The Government provides a subsidy for producers of soybean and rapeseed through the
producers' associations, if the standard selling price is below the base price. Producers are paid the
difference between the standard selling price and the base price. The standard selling price isdetermined based on the average selling price of producers' associations, deducting marketing costs.
The base price is determined with a view to ensuring reproduction, taking account of the production
cost, other production conditions, supply and demand situation and other economic situations.G/SCM/N/60/JPN/Suppl.2
Page 5
7. Amount of the subsidy
¥6,877 million
8. Duration of the subsidy and / or any
Duration of the subsidy is not clearly specified, since the subsidy is determined and provided
based on a fiscal year.
9. Statistical data
(Unit: thousand tonnes)
Item Fiscal year Production Consumption Import Export
1996 148 4,827 4,870 0
1997 145 4,910 5,057 0Soybeans
1998 158 4,767 4,751 0
1996 1 1,919 1,922 0
1997 1 2,050 2,062 0Rapeseed
1998 1 2,085 2,078 0
3. Measures for Sugar
1. Title of the subsidy programme
Measures for Sugar
2. Period covered by the notification
Fiscal year 1998 (April 1998 to March 1999)
3. Policy objective and / or purpose
The purposes of the programme are to safeguard sweetening resource crops farmers' income
and to contribute to stabilizing national living conditions through stabilizing the price of domestic
sugar.
4. Background and authorization for the subsidy
Ministry of Agriculture, Forestry and Fisheries
Agriculture and Livestock Industries Corporation.
5. Legislation under which it is granted
Sugar Price Stabilization Law
Agriculture and Livestock Industries Corporation Law
6. Form of the subsidy / To whom and how the subsidy is provided
The Agriculture and Livestock Industries Corporation is involved in selling and purchasing
the sugar made of sugar beet and sugar cane produced in specified areas. The Government provides a
compensatory payment for sugar producers. The sugar producers are paid the difference between
selling price and purchasing price of the sugar.G/SCM/N/60/JPN/Suppl.2
Page 6
7. Amount of the subsidy
¥14,170 million
8. Duration of the subsidy and / or any other time-limits attached to it
Duration of the subsidy is not clearly specified, since the subsidy is determined and provided
based on a fiscal year.
9. Statistical data
(Unit: thousand tonnes)
Item Calendar year Production Consumption Import Export
1996 882 2,579 1,708 6
1997 783 2,471 1,757 12Sugar
1998 870 2,427 1,604 8
4. Measures for Milk and Dairy Products
1. Title of the subsidy programme
Measures for Milk and Dairy Products
2. Period covered by the notification
Fiscal year 1998 (April 1998 to March 1999)
3. Policy objective and / or purpose of the subsidy
The purposes of the programme are to promote sound development of dairy farming and
related industries and to contribute to improvement nation's dietary life, through stabilizing prices ofmilk and dairy products.
4. Background and authorization for the subsidy
Ministry of Agriculture, Forestry and Fisheries
5. Legislation under which it is granted
Livestock Products Prices Stabilization Law
Manufacturing Milk Producer Compensation Temporary Law
6. Form of the subsidy / To whom and how the subsidy is provided
In order to maintain production of milk for manufacturing, whose price condition is inferior to
that of drinking milk, the Government provides producers with a subsidy for milk for manufacturing.Producers are paid the difference between the Guaranteed Price (the producer price which guarantees
the reproduction of milk) and the Standard Transact ion Price (the price payable by manufacturers).
In order to promote supply of the manufacturing milk for cheese by productive farmers, the
Government provides a certain amount of premium fo r producers. The Government also provides aG/SCM/N/60/JPN/Suppl.2
Page 7
certain amount of premium for manufacturing milk producers for cream, concentrated milk and
skimmed concentrated milk to promote demand and production of fresh liquid milk products which
are unlikely to compete with imported products.
The Government also provides a certain amount of premium for manufacturing milk
producers, so as to meet various changes in situation surrounding dairy farming.
7. Amount of the subsidy
¥40,617 million
8. Duration of the subsidy and / or any other time -limits attached to it
Duration of the subsidy is not clearly specified, since the subsidy is determined and provided
based on a fiscal year.
9. Statistical data
(Unit: thousand tonnes)
Item Fiscal year Production Consumption Import Export
1996 8,659 8,659 0 0
1997 8,629 8,629 0 0Fresh milk
1998 8,548 8,548 0 0
1996 86 89 1 0
1997 88 90 1 0Butter and butter oil
1998 88 83 1 0
1996 200 231 38 0
1997 202 230 34 0Skimmed milk powder
1998 198 225 22 0
1996 9 8 0 0
1997 8 8 0 0Sweetened condensed
skimmed milk
1998 8 9 0 0
1996 43 48 1 0
1997 37 39 1 0Sweetened condensed
milk
1998 36 40 1 0
1996 33 201 168 0
1997 34 207 173 0Cheese
1998 35 218 183 0
5. Measures for Bovine Meat and Pigmeat
1. Title of the subsidy programme
Measures for Bovine Meat and Pigmeat
2. Period covered by the notification
Fiscal year 1998 (April 1998 to March 1999)G/SCM/N/60/JPN/Suppl.2
Page 8
3. Policy objective and / or purpose of the subsidy
The purpose of the programme is to ensure stable supply of bovine meat and pigmeat, and
stable development of cattle and pig farm management.
4. Background and authorization for the subsidy
Ministry of Agriculture, Forestry and Fisheries
Agriculture and Livestock Industries Corporation
5. Legislation under which it is granted
Livestock Products Price Stabilization Law
Special Measures Law on Beef Calves Production Stabilization
6. Form of the subsidy / To whom and how the subsidy is provided
The Agriculture and Livestock Industries Corporation contributes to stabilizing the price of
bovine meat and pigmeat.
- in case wholesale prices fall below the Standard Stabilization price, the Corporation
takes measures to stabilize prices of bovine meat and pigmeat by withdrawingdomestic bovine meat and domestic pigmeat from the markets.
- in case wholesale prices exceed the Upper Stabilization price, the Corporation takes
measures to stabilize prices of bovine meat and pigmeat by increasing sales of
domestic bovine meat and domestic pigmeat.
When the calf price falls below the guaranteed base price, the Government provides calf
producers with a compensatory payment per head, and ensures stable production of calves.
The Government provides beef cattle producers with a subsidy per head, in order to prevent
worsening their return and stagnating domestic bovine meat production.
7. Amount of the subsidy
¥75,132 million
8. Duration of the subsidy and / or any other time -limits attached to it
Duration of the subsidy is not clearly specified, since the subsidy is determined and provided
based on a fiscal year.G/SCM/N/60/JPN/Suppl.2
Page 9
9. Statistical data
(Unit: thousand tonnes)
Item Fiscal year Production Consumption Import Export
1996 383 990 611 0
1997 370 1,030 659 0Bovine meat
1998 371 1,051 682 0
1996 884 1,482 663 0
1997 902 1,447 517 0Pigmeat
1998 904 1,481 546 0
Note: The amounts are converted to those of cut meat.
6. Measures for Eggs
1. Title of the subsidy programme
Measures for Eggs
2. Period covered by the notification
Fiscal year 1998 (April 1998 to March 1999)
3. Policy objective and / or purpose of the subsidy
The purpose of the programme is to contribute to developing a sound management of poultry
farms, through planned production and stabilizing egg prices.
4. Background and authorization for the subsidy
Ministry of Agriculture, Forestry and Fisheries
Egg Price Stabilizing Fund
5. Legislation under which it is granted
None (Assistance by budget)
6. Form of the subsidy / To whom and how the subsidy is provided
Revenue for compensation in the Egg Price Stabilizing Fund (EPSF) consists of:
(1) that paid by producers and producer organizations who make compensation contracts with the
EPSF; and
(2) a government subsidy.
When the average transaction price falls belo w the standard price, the EPSF provides a
compensatory payment for producers. Producers are paid 90 per cent of the difference between thetwo prices.G/SCM/N/60/JPN/Suppl.2
Page 10
7. Amount of the subsidy
¥1,527 million
8. Duration of the subsidy and / or any other time-limits attached to it
Duration of the subsidy is not clearly specified, since the subsidy is determined and provided
based on a fiscal year.
9. Statistical data
(Unit: thousand tonnes)
Item Fiscal year Production Consumption Import Export
1996 2,562 2,674 110 0
1997 2,570 2,673 104 1Eggs
1998 2,533 2,637 104 0
Note: The amounts in import and export are converted to those of shell eggs.
7. Measures for Vegetable
1. Title of the subsidy programme
Measures for Vegetable
2. Period covered by the notification
Fiscal year 1998(April 1998 to March 1999)
3. Policy objective and / or purpose of the subsidy
The purpose of the programme is to contribute to a sound development of vegetable farming
and a stable life with respect to consumption, through stabilizing production of major vegetables.
4. Background and authorization for the subsidy
Ministry of Agriculture, Forestry and Fisheries
Vegetable Supply Stabilization Fund
National Federation of Agricultural Cooperatives
Central Union of Agricultural Cooperatives
5. Legislation under which it is granted
Vegetable Production and Marketing Stabilization Law
6. Form of the subsidy / To whom and how the subsidy is provided
The Vegetable Supply Stabilization Fund is financed through a contribution from the
registered marketing associations and a subsidy from the Government. When the market prices fall
below the guaranteed base prices, the Fund provides a compensatory payment for producers through
the registered marketing associations. The Government supports the Fund's purchase and stock of
major vegetables in case of a sudden rise in vegetable prices.G/SCM/N/60/JPN/Suppl.2
Page 11
7. Amount of the subsidy
¥9,283 million
8. Duration of the subsidy and / or any other time-limits attached to it
Duration of the subsidy is not clearly specified, since the subsidy is determined and provided
based on a fiscal year.
9. Statistical data
(Unit: thousand tonnes)
Item Fiscal year Production Consumption Import Export
1996 14,621 17,086 2,466 1
1997 14,313 16,694 2,384 3Vegetable
1998 13,652 16,291 2,642 3
8. Measures for Fruits
1. Title of the subsidy programme
Measures for Fruits
2. Period covered by the notification
Fiscal year 1998 (April 1998 to March 1999)
3. Policy objective and / or purpose of the subsidy
The purpose of the programme is to contribute to a stable development of fruits agriculture,
through stabilizing transaction of fruits for processing and a management of fruit farm.
4. Background and authorization for the subsidy
Ministry of Agriculture, Forestry and Fisheries
Japan Fruit Foundation
5. Legislation under which it is granted
Special Measure Law on Fruit-Growing Industry Promotion
6. Form of the subsidy / To whom and how the subsidy is provided
The Government provides a certain amount of payments for the fruit-growing farmers who
sell fruits for processing or convert to superior variety. Payment is made through the Japan Fruit
Foundation.
. Amount of the subsidy
¥399 millionG/SCM/N/60/JPN/Suppl.2
Page 12
8. Duration of the subsidy and / or any other time-limits attached to it
Duration of the subsidy is not clearly specified, since the subsidy is determined and provided
based on a fiscal year.
9. Statistical data
(Unit: thousand tonnes)
Item Fiscal year Production Consumption Import Export
1996 3,900 8,284 4,384 15
1997 4,587 8,687 4,265 20Fruits
1998 3,935 8,068 4,100 13
Note: The amounts include those of fruits for processing converted to fresh fruits .
9. Measures for Cocoons
1. Title of the subsidy programme
Measures for Cocoons
2. Period covered by the notification
Fiscal year 1998(April 1998 to March 1999)
3. Policy objective and / or purpose of the subsidy
The purpose of the programme is to contribute to stable management of sericultural farms and
filature industry through facilitating the distribution of cocoons for ensuring income of sericultural
farmers.
4. Background and authorization for the subsidy
Ministry of Agriculture, Forestry and Fisheries
Agriculture and Livestock Industries Corporation
5. Legislation under which it is granted
Agriculture and Livestock Industries Corporation Law
6. Form of the subsidy / To whom and how the subsidy is provided
The Agriculture and Livestock Industries Corporation provides incentive subsidy to filature
industry depending on the level of raw silk market price for the purpose of facilitating distribution of
cocoons.
7. Amount of the subsidy
¥1,327 millionG/SCM/N/60/JPN/Suppl.2
Page 13
8. Duration of the subsidy and / or any other time-limits attached to it
Duration of the subsidy is not clearly specified, since the subsidy is determined and provided
based on a fiscal year.
9. Statistical data
(Unit: tonnes)
Item Fiscal year Production Consumption Import Export
1996 1,208 5,731 2,224 0
1997 1,006 3,906 1,360 1Cocoons
1998 792 2,173 892 10
Note: The amounts are converted to those of dried cocoons.
10. Farmer's Pension Fund Subsidy
1. Title of the subsidy programme
Farmer's Pension Fund Subsidy
2. Period covered by the notification
Fiscal year 1998(April 1998 to March 1999)
3. Policy objective and / or purpose of the subsidy
This programme covers part of expenses of pension for farmers who have retired from the
farm management totally and permanently.
4. Background and authorization for the subsidy
Ministry of Agriculture, Forestry and Fisheries
Ministry of Health, Labour and Welfare
5. Legislation under which it is granted
Farmers Pension Fund Law
6. Form of the subsidy / To whom and how the subsidy is provided
Pension is provided for farmers who have paid the premium and have retired from the farm
management totally and permanently.
7. Amount of the subsidy
¥84,947 millionG/SCM/N/60/JPN/Suppl.2
Page 14
8. Duration of the subsidy and / or any other time-limits attached to it
Duration of the subsidy is not clearly specified, since the subsidy is determined and provided
based on a fiscal year.
9. Statistical data
N.A.
11. Farming Modernization Fund Interest Subsidy
1. Title of the subsidy programme
Farming Modernization Fund Interest Subsidy
2. Period covered by the notification
Fiscal year 1998(April 1998 to March 1999)
3. Policy objective and / or purpose of the subsidy
The purpose of the programme is to contribute to introduce advanced agricultural
management for improvement of agricultural structure.
4. Background and authorization for the subsidy
Ministry of Agriculture, Forestry and Fisheries
5. Legislation under which it is granted
Agricultural Modernization Fund Law
6. Form of the subsidy / To whom and how the subsidy is provided
In order to contribute to facilitate farmers to make investments for introducing more advanced
agricultural management, the prefectural governments provide interest subsidy to finance
organizations including agricultural cooperatives and the Government provides part of necessary
expenses to the prefectural governments.
7. Amount of the subsidy
¥23,724 million
8. Duration of the subsidy and / or any other time-limits attached to it
Duration of the subsidy is not clearly specified, since the subsidy is determined and provided
based on a fiscal year.
9. Statistical data
N.A.G/SCM/N/60/JPN/Suppl.2
Page 15
12. Agriculture, Forestry and Fisheries Finance Corporation Subsidy
1. Title of the subsidy programme
Agriculture, Forestry and Fisheries Finance Corporation Subsidy
2. Period covered by the notification
Fiscal year 1998(April 1998 to March 1999)
3. Policy objective and / or purpose of the subsidy
The purpose of the programme is to contribute to improvement of agricultural structure.
4. Background and authorization for the subsidy
Ministry of Agriculture, Forestry and Fisheries
5. Legislation under which it is granted
Agriculture Forestry and Fisheries Finance Corporation Law
6. Form of the subsidy / To whom and how the subsidy is provided
This subsidy is provided to the Agriculture, Forestry and Fisheries Financial Corporation,
which furnishes farmers with a long-term loan at preferred rate in order to improve agricultural
structure including land improvement, acquisition of farm land and agricultural mechanization.
7. Amount of the subsidy
¥39,774 million
8. Duration of the subsidy and / or any other time-limits attached to it
Duration of the subsidy is not clearly specified, since the subsidy is determined and provided
based on a fiscal year.
9. Statistical data
N.A.
13. Fisheries Modernization Fund Interest Subsidy
1. Title of the subsidy programme
Fisheries Modernization Fund Interest Subsidy
2. Period covered by the notification
Fiscal year 1998(April 1998 to March 1999)G/SCM/N/60/JPN/Suppl.2
Page 16
3. Policy objective and/or purpose of the subsidy
The purpose of the programme is to contribute to the introduction of advanced fisheries'
management for structural adjustment of small- or medium-size fisheries.
4. Background and authority for the subsidy
Ministry of Agriculture, Forestry and Fisheries.
5. Legislation under which it is granted
Fisheries Modernization Fund Law
6. Form of the subsidy/To whom and how the subsidy is provided
In order to contribute to introduce advanced fisheries' management for structural adjustment
of small- or medium-size fisheries, the prefectural governments provide interest subsidy to financeorganizations including fishery cooperatives, and the Government provides part of necessary expenses
born by the prefectural governments.
7. Amount of the subsidy
¥2,127 million
8. Duration of the subsidy and/or any other time-limits attached to it
Duration of the subsidy is not clearly specified, since the subsidy is determined and provided
based on a fiscal year.
9. Statistical data
N.A.
14. Fisheries Trust Fund Subsidy
1. le of the Subsidy programme
Fisheries Trust Fund Subsidy
2. Period covered by the notification
Fiscal year 1998 (April 1998 to March 1999)
3. Policy objective and/or purpose of the subsidy
The purpose of the programme is to contribute to the management of the natural disaster relief
system for fisheries.
4. Background and authority for the subsidy
Ministry of Agriculture, Forestry and FisheriesG/SCM/N/60/JPN/Suppl.2
Page 17
5. Legislation under which it is granted
None (Assistance by budget)
6. From of the subsidy/To whom and how the subsidy is provided
This programme covers part of expenses borne by the Agriculture, Forestry and Fisheries
Trust Fund which is necessary for activities of fisheries mutual relief associations.
7. Amount of the subsidy
¥60 million.
8. Duration of the subsidy and/or any other time-limits attached to it
Duration of the subsidy is not clearly specified, since the subsidy is determined and provided
based on a fiscal year.
9. Statistical data
N.A.
15. Fund for the Projects Implemented by Regional Governments for Promoting
Sustainable Fisheries
1. Title of the subsidy programme
Fund for the Projects Implemented by Regional Governments for Promoting Sustainable
Fisheries
2. Period covered by the notification
Fiscal year 1999 (April 1999 to March 2000)
3. Policy objective and / or purpose of the subsidy
The purpose of the subsidy is to implement comprehensive programs for the promotion of
sustainable fisheries, and thereby to ensure stable, safe and efficient supply of food to people
4. Background and authorization for the subsidy
Ministry of Agriculture, Forestry and Fisheries
5. Legislation under which it is granted
None (Assistance by budget)
6. Form of the subsidy / To whom and how the subsidy is provided
The Government funds comprehensive programs implemented by prefectural governments.
Subsidies are provided for sustainable management of fishery resources, promotion of stock
enhancement and aquaculture, restructure of fishing entities, conservation of coastal environment and
recruitment of fishermen are implemented for stable supply of food. Subsidies for promotion ofG/SCM/N/60/JPN/Suppl.2
Page 18
distribution, processing and consumption of fisher y products are implemented for safe and efficient
supply of food.
7. Amount of the subsidy
¥4,441 million
8. Duration of the subsidy and / or any other time-limits attached to it
Duration of the subsidy is determined and provided based on every fiscal year.
9. Statistical data
N.A.
16. Fund for the Activities Implemented by Non-governmental Organizations for Promoting
Sustainable Fisheries
1. Title of the subsidy programme
Fund for the Activities Implemented by Non-governmental Organizations for Promoting
Sustainable Fisheries
2. Period covered by the notification
Fiscal year 1999 (April 1999 to March 2000)
3. Policy objective and / or purpose of the subsidy
The purpose of the subsidy is to implement comprehensive programs for the promotion of
sustainable fisheries, and thereby to ensure stable, safe and efficient supply of food to people
4. Background and authorization for the subsidy
Ministry of Agriculture, Forestry and Fisheries
5. Legislation under which it is granted
None (Assistance by budget)
6. Form of the subsidy/To whom and how the subsidy is provided
The Government funds various comprehensive programmes implemented by non-
governmental organizations. Subsidies are provided for sustainable management of fishery resources,promotion of stock enhancement and aquaculture, restructure of fishing entities, conservation of
coastal environment and recruitment of fishermen are implemented for stable supply of food.
Subsidies for promotion of distribution, processing and consumption of fishery products are
implemented for safe and efficient supply of food.
7. Amount of the subsidy
¥3,218 millionG/SCM/N/60/JPN/Suppl.2
Page 19
8. Duration of the subsidy and / or any other time-limits attached to it
Duration of the subsidy is determined and provided based on every fiscal year.
9. Statistical data
N.A.
17. Wood Industry Upgrading Funds
1. Title of the subsidy programme
Wood Industry Upgrading Funds
2. Period covered by the notification
Fiscal year 1998(April 1998 to March 1999)
3. Policy objective and / or purpose of the subsidy
The purpose of the programme is to contribute to rationalization and improvement of wood
production and distribution.
4. Background and authorization for the subsidy
Hokkaido prefecture
5. Legislation under which it is granted
None (Assistance by budget)
6. Form of the subsidy / To whom and how the subsidy is provided
This programme provides loans at preferred rates for forestry co-operatives, forest owners,
timber loggers, wood product manufacturers and wood products wholesalers.
7. Budget
¥3,500 million ( budget for the programme )
8. Duration of the subsidy and / or any other time-limits attached to it
Duration of the subsidy is not clearly specified, since the subsidy is determined and provided
based on a fiscal year.
9. Statistical data
N.A.
__________
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RESTRICTEDORGANIZACIÓN MUNDIAL
DEL COMERCIOWT/GC/W/51/Rev.7
2 de agosto de 1999
(99-3258)
ORGANIZACIONES INTERNACIONALES INTERGUBERNAMENTALES
Solicitudes de la condición de observador en el Consejo General
Revisión
I. ORGANIZACIONES INTERNACIONALES INTERGUBERNAMENTALES A LAS
QUE SE HA RECONOCIDO LA CONDICIÓN DE OBSERVADOR1
Banco Mundial
Centro de Comercio Internacional (CCI)Conferencia de las Naciones Unidas sobre Comercio y Desarrollo (UNCTAD)
Fondo Monetario Internacional (FMI)
Naciones Unidas
Organización Mundial de la Propiedad Intelectual (OMPI)
Organización de las Naciones Unidas para la Agricultura y la Alimentación (FAO)
Organización de Cooperación y Desarrollo Económicos (OCDE)
II. ORGANIZACIONES INTERNACIONALES INTERGUBERNAMENTALES CUYAS
SOLICITUDES DE LA CONDICIÓN DE OBSERVADOR AÚN NO HAN SIDO
EXAMINADAS
2
Asociación Europea de Libre Comercio (AELC)*
Banco Europeo de Reconstr ucción y Desarrollo (BERD)*
Consejo de Cooperación de los Estados Árabes del Golfo (GCC)*
Fondo Monetario Árabe (FMA)*
Foro del Pacífico Sur
Grupo de Estados de África, el Ca ribe y el Pacífico (Grupo ACP)*
Oficina Internacional de la Vid y el Vino (OIV)
Oficina Internacional de los Textiles y las Prendas de Vestir (OITP)
Organización de las Naciones Unidas para el Desarrollo Industrial (ONUDI)
Organización de la Conferencia Islámica
Organización de C ooperación Económica
Organización de la Unidad Africana (OUA)
Organización de los Esta dos Americanos (OEA)*
./.
1 El Banco Mundial y el Fondo Monetario Internacional gozan de la condición de observador conforme
a lo dispuesto en sus respectivos Acuerdos con la OMC (WT/L/195).
2 Los Miembros que deseen consultar las comunicaciones remitidas a la Secretaría por las
organizaciones internacionales intergubernamentales pued en ponerse en contacto con la División del Consejo,
despacho 2025.
* Observador en el Consejo del GATT de 1947.WT/GC/W/51/Rev.7
Página 2
Organización Mundial de la Salud (OMS)
Programa Árabe de Financiación Comercial
Programa de las Naciones Unidas para el Desarrollo (PNUD)
Programa de las Naciones Unidas para el Medio Ambiente (PNUMA)
Secretaría del Tratado General de Inte gración Económica Centroamericana (SIECA)*
Sistema Económico Latinoamericano (SELA)*
South Centre
Unión del Maghreb Árabe
Unión Internacional de Telecomunicaciones (UIT)
Unión Económica y Monetaria del África Occidental (UEMOA)
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ORGANISATION MONDIALE
DU COMMERCEG/ADP/N/9/Add.1/Rev.9
13 octobre 1999
(99-4370)
Comité des pratiques antidumping
RAPPORTS SEMESTRIELS PRÉSENTÉS AU TITRE
DE L'ARTICLE 16.4 DE L'ACCORD
Révision
1. Les Membres ci-après ont fait parvenir au Secrétariat des rapports semestriels sur les
décisions qu'ils ont prises en matière de lutte contre le dumping pendant la période allant du 1er juillet
au 31 décembre 1995: Afrique du Sud, Argentine, Australie, Brésil, Canada, Chili, Colombie,
Communautés européennes, Corée, États-Un is, Inde, Israël, Japon, Malaisie, Mexique,
Nouvelle-Zélande, Pérou, Philippines, Singapour, Thaïlande, Turquie et Venezuela. Ces rapports ontété distribués dans la série de documents G/ADP/N/9/-.
2. Les Membres ci-après ont informé le Comité qu'ils n'avaient pas pris de décisions en matière
de lutte contre le dumping pendant la période considérée:
Bahreïn
BarbadeBolivie
Brunei Darussalam
Chypre
Costa Rica
Cuba
Dominique
ÉgypteÉmirats arabes unis
El Salvador
Équateur
Gambie
GuatemalaHonduras
Hong KongHongrie
IndonésieIslande
Jamaïque
Liechtenstein
Malte
Maroc
Maurice
NamibieNicaragua
Norvège
Pakistan
Paraguay
PologneQatar
République dominicaineRépublique slovaque
République tchèqueRoumanie
Sainte-Lucie
Sénégal
Slovénie
Sri Lanka
Suisse
SwazilandTrinité-et-Tobago
Tunisie
Uruguay
Zambie
Zimbabwe
3. Les Membres ci-après n'ont pas fait parvenir de rapport au Secrétariat: Antigua-et-Barbuda,
Bangladesh, Belize, Bénin, Botswana, Burkin a Faso, Burundi, Cameroun, Côte d'Ivoire, Dji bouti,
Fidji, Gabon, Ghana, Grenade, Guinée, Rép. de , Guinée-Bissau, Guyana, Haïti, Kenya, Koweït,
Lesotho, Macao, Madagascar, Malawi, Maldives, Mali, Mauritanie, Mozambique, Myanmar, Nigéria,
Ouganda, République centrafricaine, Rwanda, Saint-K itts-et-Nevis, Saint-Vincent-et-les Grenadines,
Sierra Leone, Suriname, Tanzanie et Togo.
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RESTRICTEDORGANISATION MONDIALE
DU COMMERCEWT/ACC/UKR/101/Rev.1
23 avril 2002
(02-2284)
Groupe de travail de
l'accession de l'UkraineOriginal: anglais
ACCESSION DE L'UKRAINE
Liste exemplative de questions relatives aux mesures sanitaires et
phytosanitaires et aux obstacles techniques au commerce
Révision
La Commission gouvernementale de l'accession de l'Ukraine à l'OMC a fait parvenir à l'OMC
les renseignements révisés suivants en demandant qu'ils soient communiqués aux membres du Groupede travail.
__________________
A. LISTE EXEMPLATIVE DE QUESTIONS RELATIVES AUX MESURES
SANITAIRES ET PHYTOSANITAIRES À EXAMINER DANS LE CADRE DES
ACCESSIONS
1. Statu quo: les nouvelles normes, réglementations zoosanitaires et réglementations en
matière de sécurité sanitaire des produits alimentaires seront conformes aux principes
énoncés dans l'Accord SPS. (Principe généralement convenu lors des négociations envue de l'accession à l'OMC).
Cette question n'est pas traitée directement dans la législation actuelle.
Il n'est possible de s'écarter de la règle du "statu quo" et d'appliquer des normes et règles sur
la vie et la santé des personnes et des animaux et la préservation des végétaux plus rigoureuses que les
normes et règles actuelles que dans des circonstances exceptionnelles (articles 30 et 42 de la Loi
n° 4004-XII du 24 février 1994 relative à la sécurité sanitaire et à la protection de la population contre
les épidémies).
Lors de la formulation, de l'élaboration et de l'application de mesures vétérinaires, sanitaires
et de quarantaine visant à protéger le territoire ukrainien contre des organismes nuisibles et des
organismes pathogènes dangereux, l'Instance nationale principale chargée de l'inspection et de la
quarantaine et le Département d'État de médecine vétérinaire utilisent les normes internationales des
mesures phytosanitaires, la base de données internationale (Organisation européenne etméditerranéenne pour la protection des plantes, www.eppo.org ) et les prescriptions de l'Office
international des épizooties (OIE).WT/ACC/UKR/101/Rev.1
Page 2
2. Établissement et fonctionnement d'un point de contact unique à des fins d'information
("point d'information") (article 7 et annexe B, paragraphe 3).
Un point d'information unique sera créé en 2003, conformément au Plan d'action pour la
résolution des questions relatives au contrôle sanitaire et phytosanitaire en Ukraine, en particulier à la
frontière, qui a été approuvé par la Directive n° 129-sk/10 du Conseil des ministres ukrainien, datée
du 31 août 2001.
3. Transparence: notification et accès à la documentation (article 7, annexe B et document
G/SPS/7).
Toutes les règles et réglementations ministérielles relatives aux mesures sanitaires et
phytosanitaires sont enregistrées auprès du Ministère ukrainien de la Justice, incorporées au Registrenational uniforme des règles et procédures ministérielles, et mises à la disposition du public. (Voir la
Résolution n° 376 du Conseil des ministres ukrainien, datée du 23 avril 2001.) Les règles et
réglementations promulguées par le Service sanitaire et épidémiologique figurent également dans le
Recueil de données officielles importantes concernant les questions sanitaires et épidémiologiques,
publié par le Ministère de la Santé.
"Le Plan d'action pour la résolution des questions relatives au contrôle sanitaire et
phytosanitaire en Ukraine, en particulier à la frontière, prévoit la création, en 2002, de bases de
données qui serviront de sources d'informations aux autorités du gouvernement central et à leurs
services de renseignements et d'analyse, afin de vérifier que les contrôles sanitaires suivants ontréellement été effectués:
- enregistrement des pesticides et des produits agrochimiques ainsi que des conclusions
positives du contrôle sanitaire et d'hygiène national, etc.;
- enregistrement des produits alimentaires, matières premières alimentaires et produits
connexes ainsi que des conclusions positives du contrôle sanitaire et d'hygiène
national; et
- sections 2, 16, 17, 18 et 19 des Procédures régissant la tenue d'un Registre national
unique des actes normatifs et de leur utilisation approuvées en vertu de la Résolution
n° 376 du 23 avril 2001 du Conseil des ministres relative à l'approbation des
Procédures régissant la tenue d'un Registre national unique des actes normatifs et deleur utilisation."
a) Identifier l'autorité chargée d'adresser les noti fications à l'OMC et faire en sorte que les
obligations en matière de transparence so ient constamment respectées (annexe B,
paragraphe 5 b) et annexe B, paragraphe 10).
L'autorité chargée d'adresser des notifications à l'OMC et de faire en sorte que les obligations
en matière de transparence soient constamment respectées sera désignée avant l'accession de l'Ukraine
à l'OMC.
Il appartient actuellement au Ministère ukrainien de la politique agricole, par le truchement de
ses organes subsidiaires (l'Instance nationale principale chargée de l'inspection et de la quarantaine et
le Département d'État de médecine vétérinaire), d'informer les organisations internationales
compétentes des modifications apportées aux mesures vétérinaires et phytosanitaires.WT/ACC/UKR/101/Rev.1
Page 3
b) Établir des directives ou une loi prévoyant la publication sans tarder des mesures
projetées pour permettre la présentation d'observations (annexe B, paragraphe 5 a)).
Le Point 10 du Règlement relatif à la procédure à suivre lors de la préparation de projets de
règles (approuvé par la Résolution n° 1182 du Conseil des ministres, datée du 31 juillet 2000 et
portant approbation du Règlement relatif à la procédure à suivre lors de la préparation de projets derègles) prévoit la tenue d'une discussion publique sur les projets de règles dans un délai de 20 jours
maximum à compter de leur première publication, ainsi que l'examen des propositions liées à ces
projets.
c) Prévoir dans la loi ou la procédure administrative pertinente la communication
d'exemplaires du texte des mesures projetées aux Membres de l'OMC (annexe B,
paragraphe 5 c)).
Des dispositions prévoyant la communication ob ligatoire d'exemplaires du texte des mesures
projetées aux Membres de l'OMC seront incorporées dans la législation nationale avant l'accession de
l'Ukraine à l'OMC.
d) Prévoir dans la loi ou la procédure administrative pertinente un délai raisonnable pour
permettre aux Membres et au public de présenter leurs observations et mettre en placeun processus destiné à prendre en compte les observations sans discrimination
(annexe B, paragraphe 5 d)).
L'organe de réglementation est tenu d'examiner les observations sans discrimination aux
termes de la Résolution n° 1182 du 31 juillet 2000 portant approbation du Règlement relatif à la
procédure à suivre lors de la préparation de projets de règles.
4. Nécessité: les mesures ne sont appliquées que dans la mesure nécessaire pour protéger
la santé des personnes et des animaux ou préserver les végétaux (article 2:2).
Les articles 1 et 9 de la Loi ukrainienne n° 4004-XII du 24 février 1994 relative à la sécurité
sanitaire et à la protection de la population contre les épidémies, l'article 3 de la Loi ukrainienne
n° 771/97-VR du 23 décembre 1997 relative à la qualité et à l'innocuité des produits alimentaires et
des matières premières alimentaires et le Préambule de la Loi ukrainienne n° 1645 -III du 6 avril 2000
relative à la protection de la population contre les maladies infectieuses prévoient que les mesures
sanitaires et phytosanitaires ne seront appliquées que dans la mesure nécessaire pour protéger la santé
des personnes et des animaux ou préserver les végétaux.
5. Réglementations scientifiquement fondées: les réglementations visant la santé des
animaux, la préservation des végétaux et la sécurité sanitaire des produits alimentaires
seront fondées sur des preuves scientifiques (articles 2:2, 3:3 et 5:2).
Les articles 9 et 36 de la Loi ukrainienne n° 4004-XII du 24 février 1994 relative à la sécurité
sanitaire et à la protection de la population contre les épidémies, l'article premier du projet de loin° 7352 portant modification de certaines lois relatives à la médecine vétérinaire et l'article 12,
section 2, du Projet de loi portant modification de la Loi relative à la qualité et à l'innocuité des
produits alimentaires et des matières premières alimentaires (dont sont actuellement saisis les
ministères et comités compétents) prévoient les conditions d'élaboration des réglementations en
matière d'hygiène, à savoir la justification scientifique des réglementations et normes sur l'utilisation,en toute sécurité, de produits dangereux (article 9) ainsi que la justification scientifique des mesures
sanitaires et anti-épidémiques (article 36).WT/ACC/UKR/101/Rev.1
Page 4
6. Harmonisation: dans la mesure du possible, les Membres respecteront les normes,
directives et recommandations internationales lorsqu'ils établiront des mesures SPS
(articles 3:1, 3:3 et 3:4).
Lors de la formulation, de l'élaboration et de l'application de mesures vétérinaires, sanitaires
et de quarantaine, les autorités compétentes utilisent les normes internationales des mesuresphytosanitaires, la base de données internationale (Organisation européenne et méditerranéenne pour
la protection des plantes, www.eppo.org ) et les prescriptions de l'Office international des épizooties
(OIE).
Voir également les articles 50 et 51 de la Loi n° 4004-XII du 24 février 1994 relative à la
sécurité sanitaire et à la protection de la population contre les épidémies, l'article 23 de la Loi relative
à la qualité et à l'innocuité des produits alimentaires et des matières premières alimentaires et lesarticles 1 et 32 du Projet de Loi n° 2775 du 15 nov embre 2001 portant modification de certaines lois
relatives à la médecine vétérinaire.
7. Équivalence: les Membres reconnaîtront les mesures différentes qui permettent
d'atteindre le même niveau de protection (article 4).
Voir l'article 23 de la Loi ukrainienne n° 771/97-VR du 23 décembre 1997 relative à la qualité
et à l'innocuité des produits alimentaires et des matières premières alimentaires, et l'article 13:8 du
Projet de loi n° 7352 portant modification de certaines lois relatives à la médecine vétérinaire.
8. Évaluation des risques: établir des preuves scientifiques et réaliser des évaluations des
risques pour garantir que les mesures sont scientifiquement fondées et ne sont
appliquées que dans la mesure nécessaire pour protéger la santé (articles 5:1, 5:2 et 5:3).
Les articles 9, 10 et 36 de la Loi ukrainienne n° 4004-XII du 24 février 1994 relative à la
sécurité sanitaire et à la protection de la population contre les épidémies portent sur l'identification
d'éléments jugés dangereux pour la santé humaine sur la base de preuves scientifiques.
9. Conditions régionales: les mesures tiennent compte des caractéristiques des régions
d'origine et de destination des produits (article 6 et annexe A, paragraphes 6 et 7).
Les caractéristiques des régions d'origine et de destination des produits seront prises en
compte afin de déterminer le niveau adéquat de protection sanitaire et phytosanitaire, avant que
l'Ukraine n'accède à l'OMC.
10. Non-discrimination: les mesures n'établissent pas une discrimination arbitraire ou
injustifiable entre les différents Membres ou entre les fournisseurs nationaux et les
fournisseurs étrangers (article 2:3 et annexe C, paragraphes 1 a) et d)).
L'article 16 de la Loi ukrainienne n° 4004-XII du
24 février 1994 relative à la sécurité sanitaire
et à la protection de la population contre les épidémies prévoit que les mêmes prescriptions en matière
de la protection de la santé et de la vie des personnes, et les mêmes procédures concernant lavérification, l'expertise, l'octroi de permis et l'ét ablissement de règlements concernant la santé et les
épidémies, seront appliquées aux marchandises, produits et matières premières originaires du territoire
ukrainien ainsi qu'aux marchandises, produits et matières premières importés en Ukraine.
La Loi ukrainienne n°
1212-XIV prévoit que, lors de l'importation de produits agricoles, le
montant des droits facturés aux résidents au point d'entrée, à la frontière ukrainienne, équivaut à celui
des droits perçus dans le cas de non-résidents. Les droits exigibles pour les contrôles douanier,WT/ACC/UKR/101/Rev.1
Page 5
sanitaire, vétérinaire, phytosanitaire, radiologique et écologique effectués conformément à la
législation ukrainienne ne doivent pas être supérieurs aux coûts liés à la réalisation de ces contrôles.
Les droits perçus pour la réalisation des contrôles sanitaires et la délivrance des documents
requis sont précisés dans l'Ordonnance sur les prix des services additionnels fournis par les autorités
sanitaires de l'État aux organisations et entités commerciales, privées et autres, dans la Résolutionn° 1138 du 17 septembre 1996 du Conseil des ministres ukrainien portant approbation de la liste de
services fournis par les établissements de santé publics et les établissements d'études supérieures de
médecine, ainsi que dans la Résolution n°
449 du 12 mai 1997 du Conseil des ministres ukrainien
portant modification de la Résolution n° 1138 du Conseil des ministres ukrainien, datée du
17 septembre 1996.
Les procédures régissant les contrôles sanitaires et d'hygiène sont définies dans la Procédure
intérimaire relative aux contrôles sanitaires et d'hygiène nationaux (approuvée par l'Ordonnance
n° 247 du 9 octobre 2001 du Ministère de la santé). En vertu de cette Procédure intérimaire, un
contrôle sera effectué dans un délai de 30 jours à compter de la date de réception des documents, tant
pour les entités et les ressortissants nationaux que pour les entités et ressortissants étrangers.
Le Point 11.2 de la Procédure intérimaire relative aux contrôles sanitaires et d'hygiène
nationaux prévoit que les personnes chargées des contrôles seront tenues responsables de la
divulgation de renseignements confidentiels.
11. Procédures de contrôle, d'inspection et d'homologation: garantir que les procédures, y
compris les systèmes d'homologation de l'usage d'additifs ou d'établissement de
tolérances pour les contaminants dans les produits alimentaires, les boissons ou les
aliments pour animaux, sont conformes au x dispositions de l'Accord (article 8 et
annexe C).
Procédures intérimaires relatives aux contrôles sanitaires et d'hygiène nationaux (approuvées
par l'Ordonnance n° 247 du Ministère de la Santé, datée du 19 octobre 2001).
Loi ukrainienne n° 4004-XII du 24 février 1994 relative à la sécurité sanitaire et à la
protection de la population contre les épidémies (articles 10, 11, 16, 17 et 43).
Loi ukrainienne n° 771/97-VR du 23 décembre 1997 relative à la qualité et à l'innocuité des
produits alimentaires et des matières premières alimentaires (article 4).
Règlement sur les contrôles sanitaires et épidémiologiques nationaux en Ukraine (approuvé
par la Résolution n° 1109 du Conseil des ministres, datée du 22 juin 1999) (point 3.2.)
Projet de loi portant modification de la Loi relative à la qualité et à l'innocuité des produits
alimentaires et des matières premières alimentaires (en attente d'examen dans les ministères et comités
compétents) (point 5:2).
La législation nationale sera conforme aux prescriptions de l'annexe C, section 1 h) de
l'Accord SPS lorsque l'Ukraine accédera à l'OMC.WT/ACC/UKR/101/Rev.1
Page 6
Lors de l'accession de l'Ukraine à l'OMC, la législation nationale prévoira l'application de la
norme internationale pertinente en tant que norme de base jusqu'à ce qu'une décision définitive soit
prise quant à l'utilisation d'additifs alimentaires et au niveau autorisé de contaminants dans les
produits alimentaires, les boissons et les aliments pour animaux.
La législation nationale sera conforme aux prescriptions de l'annexe C, section 2 de l'Accord
SPS lorsque l'Ukraine accédera à l'OMC.WT/ACC/UKR/101/Rev.1
Page 7
B. LISTE EXEMPLATIVE DE QUESTIONS RELATIVES AUX OBSTACLES
TECHNIQUES AU COMMERCE À EXAMINER DANS LE CADRE DES
ACCESSIONS
1. Statu quo: les nouvelles normes, réglementations techniques et procédures d'évaluation
de la conformité doivent être pleinement compatibles avec l'Accord OTC. (Principe
généralement reconnu dans les négociations en vue de l'accession à l'OMC.)
Voir les articles 5:4, 5:5, 5:8 et 5:9 de la Loi ukrainienne sur la normalisation et les
articles 5:3, 5:4, 5:5, 5:6, 5:9 de la Loi ukrainienne sur l'évaluation de la conformité.
2. Présentation de communications concernant la mise en œuvre (article 15:2 et décision du
Comité OTC (G/TBT/1)).
L'Ukraine fera en sorte que les dispositions de l'article 15:2 de l'Accord OTC soient respectées
lors de son accession à l'OMC.
3. Établissement et fonctionnement d'un point de contact unique à des fins d'information
("point d'information") (article 7, annexe B.3 et article 10).
Voir l'article 16 de la Loi ukrainienne sur la normalisation et l'article 6 de la Loi ukrainienne
sur l'évaluation de la conformité.
Note:
Le Centre d'information GATT/OMC est établi au Comité des normes nationales où il fait
partie intégrante de l'Agence nationale d'inform ation automatisée sur les normes (conformément à la
Résolution n° 84 du Conseil des ministres, datée du 1er février 1995). Le Derzhtandart prend des
mesures pour faire en sorte que le centre d'information fonctionne pleinement en conformité avec les
prescriptions de l'OMC et les règles ISONET. Une page Web www.dstu.gov.ua présente le
programme de normalisation technique, une liste actualisée des produits assujettis à une certification
obligatoire, la liste des normes nationales ukrainiennes harmonisées avec les normes européennes et
internationales, ainsi que le texte anglais des nouvelles lois "sur la normalisation", "sur l'évaluation de
la conformité" et "sur l'accréditation des organismes d'évaluation de la conformité". Les projets derèglements techniques en cours d'élaboration figureront également sur cette page Web. Le projet de
norme nationale relative aux Règles concernant la communication des notifications aux partenaires
commerciaux de l'Ukraine est en cours d'él aboration et sera soumis pour approbation.
Le programme de développement du système d'information et d'analyse du Comité national
de la normalisation, de la métrologie et de la certification a été approuvé afin d'améliorer les activités
du Centre de certification et de normalisation ISONET.
4. Identification de l'autorité chargée des no tifications, publications et autres procédures
internes pour faire en sorte que les obli gations en matière de transparence soient
constamment respectées (articles 2, 3, 5, 7, 10, 15:2, annexe 3 et document G/TBT/1).
Voir l'article 16 de la Loi ukrainienne sur la normalisation et l'article 6 de la Loi ukrainienne
sur l'évaluation de la conformité.
a) Identification de la publication dans laquelle paraîtront les avis de règlements
techniques et de procédures d'évaluation de la conformité projetés (articles 2:9.1, 3:1,5:6.1, 7:1 et 10:1.5).WT/ACC/UKR/101/Rev.1
Page 8
Voir les articles 5:3, 5:9, 6:17 et 6:18 de la Loi ukrainienne sur l'évaluation de la conformité
et les articles 16:2 et 16:4 de la Loi ukrainienne sur la normalisation.
b) Identification de l'autorité chargée d'adre sser les notifications à l'OMC (articles 2:9.2,
2:10.1, 3:2, 3:3, 5:6.2, 5:7.1, 7:2, 7:3, 10:7 et 10:10).
Voir les articles 6:17 et 6:18 de la Loi ukrainienne sur l'évaluation de la conformité et les
articles 16:2 et 16:4 de la Loi ukrainienne sur la normalisation.
c) Directive/loi visant à garantir que les observations présentées lors de l'élaboration d'un
règlement final sont prises en compte de manière non discriminatoire par les autorités
réglementaires (articles 2:9.4, 2:10.3, 3:15, 3:3, 5:6.4, 5:7.3, 7.1 et 7:3).
Voir les articles 6:17 et 6:18 de la Loi ukrainienne sur l'évaluation de la conformité.
d) Directive/loi visant à garantir que les autorités réglementaires ménagent un délai
raisonnable entre la publication finale d'un règlement technique et d'une procédure
d'évaluation de la conformité et leur entrée en vigueur afin que les fournisseurs puissents'adapter (articles 2:11, 2:12, 3:1, 5:8, 5:9 et 7:1).
Voir les articles 5:3, 5:9, 6:17 et 6:18 de la Loi ukrainienne sur l'évaluation de la conformité.
Note:
La liste des règlements techniques qu'il est prévu de rédiger est dressée en fonction des plans
annuels d'adaptation de la législation ukrainienne. En 2002, il est prévu d'élaborer un projet de
règlement technique établissant des procédures en matière de communication de renseignements sur
les règlements et normes techniques. La norme nationale relative aux Règles visant la communication
des notifications aux partenaires commerciaux de l'Ukraine est en cours d'élaboration.
La norme nationale relative aux Règles concernant la communication des notifications aux
partenaires commerciaux de l'Ukraine, élaborée en collaboration avec les départements et ministères
intéressés, est en cours d'approbation.
e) Publication et notification d'un programme de travail concernant les normes et les
procédures non gouvernementales d'évaluation de la conformité, y compris lapublication d'avis de projets de normes et la possibilité pour le public de présenter des
observations (article 4, annexe 3 (J, K, L, N, O) et article 8:1).
Voir les articles 11:6, 11:13, 11:14, 11:15, 11:18, 11:22 et 16:4 de la Loi ukrainienne sur la
normalisation.
Note:
Depuis 1993, le Derzhstandart est membre à part entière de l'ISO/CEI et en 1996, l'Ukraine a
accédé au Code de pratique pour l'élaboration, l'adop tion et l'application des normes. Elle a adopté la
norme nationale DSTU ISO/CEI GUIDE 59-2000 "Code de règles établies sur la normalisation",
identique à l'ISO/IEC 59:1994.
5. Élaboration et application des règlements te chniques et des procédures d'évaluation de
la conformité: existence de dispositions juridiques et/ou administratives (ou de"mesures raisonnables", le cas échéant) pour garantir le respect constant des
dispositions de l'Accord, concernant notamment (articles 2, 3, 5, 6, 7):WT/ACC/UKR/101/Rev.1
Page 9
Voir les articles 5, 6 et 12 de la Loi ukrainienne sur l'évaluation de la conformité.
a) la non-discrimination pour ce qui est du traitement accordé aux produits (articles 2:1,
3:1, 5:1, 5:2 et 7:1);
Voir les articles 5:5, 5:6, 6:10 et 12:4 de la Loi ukrainienne sur l'évaluation de la conformité.
b) l'interdiction des obstacles non nécessaires au commerce international et la prise en
compte de solutions de rechange moins restrictives pour le commerce pour réaliser des
objectifs légitimes (articles 2:2, 3:1, 5:1, 5:2 et 7:1);
Voir l'article 13:1 de la Loi ukrainienne sur la normalisation et les articles 1:13, 5:4, 5:5, 5:6,
6:11-14 et 9:1 de la Loi ukrainienne sur l'évaluation de la conformité.
c) l'examen suivi des règlements techniques pour garantir qu'ils permettent de réaliser
l'objectif légitime souhaité (articles 2:3, 3:1 et 7:1);
Voir les articles 6:12 et 9:2 de la Loi ukrainienne sur l'évaluation de la conformité.
d) la prise en compte des normes, recommanda tions et guides internationaux pertinents
lors de l'élaboration des règlements techniques et des procédures d'évaluation de laconformité (articles 2:4, 3:1 et 7:1);
Voir l'article 5:6 de la Loi ukrainienne sur l'évaluation de la conformité et les articles 5:8
et 7:4 de la Loi ukrainienne sur la normalisation.
Note:
L'Ukraine a adopté la norme fondamentale DSTU 1.7-2001 DSS "Règles et méthodes
d'adoption et d'application des normes internationales et régionales", harmonisée avec l'ISO/CEI
Guide 2:1999.
e) la prise en compte des règlements techniques équivalents des autres Membres
(articles 2:7, 3:1 et 7:1);
Voir les articles 6:6, 12:4 et 21 de la Loi ukrainienne sur l'évaluation de la conformité.
Note:
L'adoption des règlements techniques d'autres Membres est examinée de façon bilatérale et en
participant à des systèmes de certification internationaux (régionaux).
f) l'acceptation des résultats des procédures d'évaluation de la conformité appliquées par
les organismes d'un pays Membre exportateur (articles 6 et 7:1);
Voir les articles 6:6, 6:10, 12:4 et 21 de la Loi ukrainienne sur l'évaluation de la conformité.
g) un barème de redevances non discriminatoire et établi en fonction des coûts
(articles 5:2, 7:1 et 10:4);
Voir les articles 6:5 et 6:18 de la Loi ukrainienne sur l'évaluation de la conformité.WT/ACC/UKR/101/Rev.1
Page 10
Note:
Le projet de règles concernant la détermination du coût de l'évaluation de la conformité dans
les secteurs réglementés par la loi, élaboré en collaboration avec les départements et ministères
intéressés, a été soumis au Conseil des ministres dans la Lettre n° 2-1/8-804 du Derzhstandard, datéedu
30 janvier 2002.
6. Élaboration et application des normes et procédures d'évaluation de la conformité:
existence de dispositions juridiques et/ou administratives (ou de "mesures
raisonnables", le cas échéant) pour garantir le respect constant des dispositions de
l'Accord, concernant notamment (article 4 et annexe 3, article 8):
a) la non-discrimination pour ce qui est du traitement accordé aux produits (annexe 3 D) et
article 8:1);
Voir l'article 11:4 de la Loi ukrainienne sur la normalisation.
b) l'interdiction des obstacles non nécessaires au commerce international (annexe 3 E) et
article 8:1);
Voir l'article 5:1 de la Loi ukrainienne sur la normalisation.
c) la prise en considération des normes, recommandations et guides internationaux
pertinents lors de l'élaboration des normes (annexe 3 F), article 8:1);
Voir les articles 5:8 et 5:9 de la Loi ukrainienne sur la normalisation.
d) un barème de redevances non discriminatoire et établi en fonction des coûts
(annexe 3 M), annexe 3 P) et articles 8:1 et 10:4).
Note:
Le prix d'un exemplaire du texte d'une norme ou de tout autre règlement correspond au prix
du papier et des services de copie, et il est le même pour les clients ukrainiens et étrangers.
__________
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./.ORGANISATION MONDIALE
DU COMMERCEG/TBT/Notif.98.251
25 mai 1998
(98-2137)
Comité des obstacles techniques au commerce
NOTIFICATION
La notification suivante est communiquée conformément à l’article 10.6.
1. Membre de l’Accord adressant la notification: THAILANDE
Le cas échéant, pouvoirs publics locaux concernés (articles 3.2 et 7.2):
2. Organisme responsable: Bureau du Conseil national de l'accréditation (ONAC), Ministère
de l'industrie
L'organisme ou l'autorité désigné pour s'occuper des observations concernant la notification
doit être indiqué s'il est différent de l'organisme susmentionné: Institut thaïlandais de
normalisation industrielle, Ministère de l'industrie
3. Notification au titre de l’article 2.9.2 [ ], 2.10.1 [ ], 5.6.2 [ ], 5.7.1 [X], autres:
4. Produits visés (le cas échéant, position du SH ou de la NCCD, sinon position du tarif
douanier national. Les numéros de l’ICS peuvent aussi être indiqués, le cas échéant):
Organismes gérant l'évaluation et la certification des systèmes de management
environnemental
5. Intitulé, nombre de pages et langue(s) du texte notifié: NAC-ER-EN01-01: Critères
applicables aux organismes gérant l'évalua tion et la certification des systèmes de
management environnemental (16 pages, en anglais)
6. Teneur: Exigences générales auxquelles doivent satisfaire les organismes tiers gérant la
certification des systèmes de management environnemental pour pouvoir être reconnus
comme compétents et fiables dans la gestion de la certification de tels systèmes.
7. Objectif et justification, y compris la nature des problèmes urgents, le cas échéant:
Alignement sur le système international d'accréditation
8. Documents pertinents:
1. ISO/CEI Guide 2: Termes généraux et définitions en rapport avec la normalisation
et les activités connexes
2. TIS 5062: Exigences générales relatives aux organismes gérant la certification des
systèmes qualité (ISO/CEI Guide 62: Exigences générales relatives aux organismesgérant l'évaluation et la certification/enregistrement des systèmes qualité)
3. ISO 8402: Management de la qualité et assurance de la qualité – Vocabulaire
4. TIS 14001 (ISO 14001): Systèmes de management environnemental - Spécification
et lignes directrices pour son utilisation
5. TIS 14010 (ISO 14010): Lignes directrices pour l'audit environnemental - Principes
générauxG/TBT/Notif.98.251
Page 2
6. TIS 14011 (ISO 14011): Lignes directrices pour l'audit environnemental
- Procédures d'audit – Audit des systèmes de management environnemental
7. TIS 14012 (ISO 14012): Lignes directrices pour l'audit environnemental – Critères
de qualification pour les auditeurs environnementaux
9. Date projetée pour l'adoption: 24 décembre 1997
Date projetée pour l'entrée en vigueur: Sans objet
10. Date limite pour la présentation des observations: 60 jours à compter de la date de
distribution
11. Entité auprès de laquelle le texte peut être obtenu: point national d'information [X] ou
adresse, courrier électronique et numéro de téléfax d'un autre organisme:
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WORLD TRADE
ORGANIZATIONG/SPS/N/JPN/74
31 October 2001
(01-5361)
Committee on Sanitary and Phytosanitary Measures Original: English
NOTIFICATION OF EMERGENCY MEASURES
1. Member to Agreement notifying: JAPAN
If applicable, name of local government involved:
2. Agency responsible: Ministry of Agriculture, Forestry and Fisheries
3. Products covered (provide tariff item number(s) as specified in national schedules
deposited with the WTO; ICS numbers may be provided in addition, where
applicable). Processed animal proteins (meat and b one meal, meat meal, bone meal, blood
meal etc.) Regions or countries likely to be affected, to the extent relevant or
practicable:
4. Title and number of pages of the notified document: Amendment of the Enforcement
Ordinance of the Standards of Feed and Feed Additives
5. Description of content: In light of the first case of BSE in Japan, and the fact that we can
not deny the possibility that feed containing processed animal proteins (meat and bone meal
etc..) is the cause of BSE, the Japanese Government decided to suspend the use of processed
animal proteins for feed, to prevent further expansion of the said disease.
6. Objective and rationale: [ ] food safety, [ X ] animal health, [ ] plant protection,
[ ] protect humans from animal/plant pest or disease,
[ ] protect territory from other damage from pests
7. Nature of the urgent problem(s): The first case of BSE was confirmed in Japan
8. An international standard, guideline or recommendation does not exist [ X ].
If an international standard, guideline or recommendation exists, give its appropriate
reference and briefly identify deviations:
9. Relevant documents and language(s) in which these are available: The Law
Concerning Safety Assurance and Quality Improvement of Feed (available in Japanese)
10. Date of entry into force/period of application (as applicable): 15 October 2001
11. Texts available from/and agency or authority designated to handle comments:
[ ] National notification authority, [ X ] National enquiry point or address, fax
number and E-mail address (if available) of other body:
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RESTRICTED ORGANIZACIÓN MUNDIAL
DEL COMERCIO WT/REG127/M/2
23 de diciembre de 2003
(03-6756)
Comité de Acuerdos Comerciales Regionales
Trigésima quinta reunión
EXAMEN DEL ACUERDO ENTRE NUEVA ZELANDIA Y SINGAPUR
SOBRE EL ESTRECHAMIENTO DE LA
ASOCIACIÓN ECONÓMICA
Nota de la reunión celebrada el 2 de diciembre de 2003
Presidente: Sr. J. Meetoo (Mauricio)
1. La reunión fue convocada mediante el aerograma WTO/AIR/2217/Rev.1.
2. En el marco del punto D.IV de su trigésima quinta reunión, el Comité de Acuerdos
Comerciales Regionales (CACR) examinó los aspect os del Acuerdo entre Nueva Zelandia y Singapur
sobre el Estrechamiento de la Asociación Económ ica (CEP) relativos a los bienes y a los servicios.
3. El Presidente señaló que se trataba de la se gunda ronda de examen del Acuerdo CEP entre
Nueva Zelandia y Singapur. La primera ronda habí a tenido lugar durante la trigésima tercera reunión
del Comité en noviembre de 2002, cuya acta resu mida se había distribuido con la signatura
WT/REG127/M/1. Posteriormente las Partes habían presentado respuestas por escrito a las preguntas
formuladas por las delegaciones, que habían sido distribuidas con la signatura WT/REG127/5.
4. El representante de Nueva Zelandia recordó qu e el representante de Singapur, hablando en
nombre de las Partes durante el examen rea lizado en noviembre de 2002, había formulado
observaciones generales muy completas y que no tenía nada que añadir en este momento.
5. La representante de los Estados Unidos d ijo que su delegación presentaría preguntas por
escrito sobre las disposiciones generales en materia de servicios.
6. El Presidente, en vista de que no se habían formulado preguntas sobre los aspectos del CEP
relativos a las mercancías, propuso que el Comité exam inara la parte fáctica de los aspectos relativos a
las mercancías en el examen del Acuerdo CEP entre Nueva Zelandia y Singapur. Pidió a las
delegaciones que desearan presentar preguntas sobre lo s aspectos del Acuerdo relativos a los servicios
que las enviaran a más tardar el 31 de enero de 2004 e indicó que las Partes deberían proporcionar
respuestas escritas a más tardar a finales de marzo de 2004. El examen de los aspectos relativos a los servicios se reanudaría en una reunión posterior.
7. El Comité tomó nota de las observaciones formuladas.
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ORGANISATION MONDIALE
DU COMMERCEWT/IFSC/W/8/Add.3
26 octobre 2001
(01-5273)
Comité du cadre intégré
PROGRAMME PILOTE POUR LE CADRE INTÉGRÉ: PROPOSITION
POUR LE SUIVI DES TABLES RONDES DU CADRE INTÉGRÉ
Addendum
HAÏTI
I. INTRODUCTION
A. TABLE RONDE DU CADRE INTÉGRÉ
1. Le gouvernement de la République d'Haïti a organisé à Port-au-Prince, du 11 au
12 novembre 1999, une table ronde sectorielle sur le commerce extérieur dans le cadre de saparticipation au programme du Cadre intégré (CI) pour l'assistance technique liée au commerce
destinée aux PMA. Y ont pris part les six orga nisations principales du CI (Banque mondiale, CCI,
CNUCED, FMI, OMC, PNUD), l'ONUDI, l'UIT et les principaux partenaires bilatéraux, notamment:
l'Allemagne, le Canada, les États-Unis d'Amérique, le Japon et l'Union européenne ainsi que les
organismes publics et privés concernés.
2. La table ronde a permis au gouvernement haïtien d'identifier et de proposer à ses partenaires
de développement un certain nombre de projets prioritaires d'assistance technique liée au commerce.
Au cours des discussions, la Banque mondiale a manifesté un intérêt particulier pour le projet de base
relatif à l'assurance-crédit pour les exportations. Le Japon a retenu les projets se rapportant à la
normalisation et à la métrologie. Les projets n'ont recueilli aucune déclaration d'intention ferme de la
part des autres partenaires présents à la table ronde.
3. À l'issue de cette table ronde, le gouvernement Haïtien s'est attelé à mettre en place un Comité
mixte de suivi. C'est à ce titre que les projets suivants issus des travaux de la table ronde ont été
initiés par le Ministère du commerce et de l'industrie (MCI) avec les fonds du Trésor public:
• l'élaboration d'un projet de code des investissements déjà voté par le Sénat haïtien et
en instance de vote par devant la Chambre des députés;
• l'élaboration d'un projet de loi sur les zones franches économiques devant bientôt faire
l'objet de dépôt par devant les deux instances parlementaires;
• la préparation d'un document de projet portant sur l'implantation d'un dispositif de
facilitation des investissements adaptant le concept de guichet unique "One Stop
Center" au contexte haïtien, le cadre légal et les budgets y afférents;
• la restructuration institutionnelle du Ministère avec l'appui technique d'une firme
consultante haïtienne, la Inter Consult;
• le renforcement des capacités nationales dans le contrôle alimentaire avec l'assistance
technique et financière de la FAO.WT/IFSC/W/8/Add.3
Page 2
4. Suite aux réunions du Comité directeur du CI tenues respectivement le 15 mars et le
3 mai 2001, une enveloppe de trois cent mille dollars américains (300 000 dollars EU) a été allouée
par le Fonds global d'affectation du Cadre intégré (IFTF) à chacun des cinq pays ayant déjà tenu leurs
tables rondes sur le commerce extérieur suivant l'ancienne approche du Cadre intégré. Ce fonds devra
permettre de financer certaines activités prioritaires d'assistance technique de ces pays liées àl'intégration de la composante commerce dans leurs plans de développement et stratégies de lutte
contre la pauvreté.
5. S'agissant de la lutte contre la pauvreté, le gouvernement haïtien est en train d'élaborer un
document stratégique de lutte contre la pauvreté (DSLP), conformément à l'engagement pris à
l'occasion de la troisième Conférence des Nations Unies sur les PMA, tenue à Bruxelles du 14 au
20 mai 2001 et ce, avec l'assistance de la Banque interaméricaine de développement
.
6. Pour assurer le suivi de cette table ronde, une délégation haïtienne de haut niveau a séjourné à
Genève, du 25 au 29 juin 2001. Elle était composée de :
• M. Henri Robert Sévère, membre du Cabinet particulier du Ministre du commerce et
de l'industrie;
• M. Ijoassin Clermont, Directeur du commerce extérieur au MCI et point de contact
du gouvernement pour le CI;
• M. Victor H. St Louis, Directeur adjoint à la Division de contrôle de
l'Administration générale des douanes;
• M. Wilfrid Trenard, Directeur de la programmation économique et sociale au
Ministère de la planification et de la coopération externe.
B. CONSIDÉRATIONS STRATÉGIQUES POUR L 'INTÉGRATION DES QUESTIONS COMMERCIALES
7. Sur la base des consultations organisées par le CCI avec les représentants des six
organisations principales du Cadre intégré, l'ONUDI et la représentation de l'OIF, cette délégation a
mis en œuvre un plan d'action qui s'inspire des objectifs et priorités qui se sont dégagés de la table
ronde, notamment des propositions de projets suivantes:
A1: Formulation d'une stratégie de croissance axée sur l'exportation
B1: Actualisation du cadre juridique du commerce et de l'investissement
C2: Appui au Ministère du commerce et de l'industrie
D1: Diagnostic de l'offre exportable
C. CONTEXTE SOCIOÉCONOMIQUE
8. Malgré un léger redressement constaté depuis 1995, l'économie haïtienne continue d'être
confrontée à d'énormes difficultés caractérisées par un déficit chronique de la balance commerciale.
Cependant, la présence d'une main-d'œuvre abondante et peu coûteuse, d'un potentiel agricole
d'exportation et la proximité des marchés du nord et du sud américains constituent un ensemble
d'atouts majeurs qui reste, pour le moins, sous-e xploité. Le gouvernement haïtien a entrepris un
processus de réforme économique axée sur la libéralisation des échanges et la modernisation desentreprises publiques. Toutefois, en dépit de cet effort appréciable des pouvoirs publics, des
contraintes se posent encore pour le développement du commerce extérieur en raison de l'absence
d'une stratégie clairement définie de promotion des exportations et de l'inadaptation des lois régissant
le commerce et l'investissement. Toutes ces contraintes constituent un nouveau défi pour les pouvoirs
publics
qui se proposent de relancer l'économie haïtienne par une croissance axée sur les exportations.WT/IFSC/W/8/Add.3
Page 3
D. OBJECTIFS
L'objectif global de ce plan d'action est de renforcer les capacités du gouvernement pour
réaliser l'intégration du commerce extérieur dans le plan de développement du pays et, plus
particulièrement dans le DSLP. L'accent sera mis sur l'amélioration du milieu des affaires haïtien, en
formulant des éléments d'un cadre juridique et institutionnel adéquat, ainsi que des propositions demesures incitatives pour le développement des exportations. Le plan d'action vise les objectifs
suivants:
1. examiner le cadre juridique du commerce et de l'investissement et faire des
propositions d'amélioration;
2. renforcer la capacité institutionnelle du MCI;
3. identifier les secteurs porteurs pour relancer et diversifier les exportations et faire un
diagnostic de l'offre exportable en vue de la formulation d'une stratégie visant à une
croissance accélérée axée sur les exportations.
E. C
ONTREPARTIE NATIONALE
9. Les institutions impliquées dans l'exécution de ce programme sont:
10. la Présidence, la Primature, la Banque de la République d'Haïti, les Ministères concernés
(Ministère du commerce et de l'industrie, Ministère de l'économie et des finances, Ministère de la
planification et de la coopération externe, Ministère des travaux publics, transports etcommunications, Ministère de l'agriculture, des ressources naturelles et du développement rural;
Ministère de l'éducation nationale, Ministère des Haïtiens vivant à l'étranger, Ministère à la condition
féminine et aux droits de la femme), les groupements de producteurs et d'exportateurs et les
Associations patronales d'Haïti tant à la capitale que dans les villes de province.
F. A
XES D 'INTERVENTION
11. À l'issue des récentes consultations avec les représentants des six organisations principales du
CI à Genève et, conformément aux priorités du gouvernement, la délégation haïtienne a pu identifier
un certain nombre d'activités permettant d'atteindre les objectifs visés. Compte tenu des ressources
limitées, celles-ci ont été réparties en trois catégories:
• première catégorie: activités à réaliser avec l'enveloppe de trois cent mille dollars
(300 000 dollars EU) disponibles à travers le IFTF;
• deuxième catégorie: activités à réaliser dans le cadre des projets en cours d'exécution
par les partenaires de développement d'Haïti et produisant des synergies avec celles dela première catégorie;
• troisième catégorie: activités pour lesquelles le financement devra être recherché
auprès des partenaires multilatéraux et bilatéraux d'Haïti.
G. P
REMIÈRE CATÉGORIE D 'ACTIVITÉS
12. Ces activités constituent la base pour d'autres actions à mener dans le court et moyen terme et
visent à la réalisation de trois objectifs suivants:
• l'amélioration du cadre juridique des affaires;
• le renforcement institutionnel du Ministère;WT/IFSC/W/8/Add.3
Page 4
• le diagnostic de l'offre exportable.
H. OBJECTIF 1
Examiner le cadre juridique du commerce et de l'investissement en vue de faire des
propositions d'amélioration et de renforcement des capacités des juristes des secteurs public et
privé à l'élaboration des contrats internationaux
13. L'une des contraintes importantes au développement des affaires en Haïti est l'inadaptation
des lois régissant le commerce et l'investissement. En effet, non seulement une grande partie de
celles-ci sont anciennes, mais les nouvelles réalités du commerce international, notamment celles liées
au système commercial multilatéral issu du Cycle de l'Uruguay, ne sont pas prises en compte. Il s'agit
d'amorcer un travail d'analyse des textes existants, afin de faire des propositions d'amélioration qui
tiennent compte de l'évolution récente du commerce international. Ce travail d'analyse sera mis en
œuvre en parallèle avec la formation des juristes haïtiens dans l'élaboration des contrats
internationaux.
a) Activités:
1.1 Inventaire aux fins de ratification des conventions et traités liés à l'investissement et au
commerce présentant un intérêt pour Haïti (CNUCED) .
1.2 Élaboration d'une loi-cadre sur l'arbitrage des litiges commerciaux (CCI).
1.3 Examen du Code de commerce (CCI) et assist ance pour la préparation du nouveau Code qui
devra prendre en considération les règlements issues du Cycle d'Uruguay (OMC).
1.4 Assistance au gouvernement concernant le régime des notifications (OMC).
1.5 Mission de conseil auprès de la Direction des douanes sur la mise en œuvre de l'article VII de
l'OMC relatif à l'évaluation en douane, afin de prêter assistance aux autorités nationales
dans le processus de passage du système actuel au nouveau système harmonisé.
14. Formation d'environ 15 juristes des secteurs public et privé haïtiens à l'élaboration de
contrats internationaux (CCI).
I. OBJECTIF 2
a) Renforcer les capacités institutionnelles du MCI
15. Il s'agit de renforcer la capacité des ressources humaines et d'assurer une plus grande maîtrise
de l'information commerciale en vue de permettre au MCI:
• d'orienter stratégiquement l'investissement et l'activité de production tournée vers
l'exportation;
• de renforcer sa capacité de négociation en vue d'un meilleur positionnement du pays
face aux nouvelles questions qui se posent dans le cadre du système commercial
multilatéral et des arrangements préférentiels, tels l'Accord de Cotonou, le CBI élargi,
la CARICOM et la zone de libre-échange des Amériques;
• d'offrir de meilleurs services d'encadrement et d'appui technique aux investisseurs;
• d'augmenter l'efficacité des circuits de collecte, de traitement, d'analyse et de
dissémination de l'information commerciale répondant aux besoins des utilisateurs des
secteurs public et privé ;WT/IFSC/W/8/Add.3
Page 5
• de développer des moyens de communication performants basés sur les technologies
de l'information appropriées, notamment Internet, pour faciliter les échanges dedonnées et de savoir-faire au niveau national, régional et international, à travers des
forums de discussions, l'accès à des bases de données interactives et l'exposition
virtuelle de produits et services exportables ;
• de renforcer la capacité d'analyse du Département des sciences de base et de la
technologie pour effectuer le dosage des ochratoxines contenues dans le café vert
haïtien destiné à l'exportation.
b) Activités:
2.1 Analyse du plan de restructuration du MCI élaboré par la firme consultante haïtienne (Inter
Consult) en vue de s'assurer que les mesures de réforme proposées s'inscrivent dans la norme
des pratiques internationales et répondent aussi bien aux attentes des milieux d'affaires
nationaux qu'internationaux (CCI: promot ion des échanges; CNUCED: politique
commerciale).
2.2 Fourniture de deux postes informatiques à la Direction générale du commerce extérieur du
MCI.
2.3 Formation des cadres sélectionnés du MCI afin de les doter des capacités techniques leur
permettant de maîtriser les domaines suivants:
2.3.1 Information commerciale (CCI).
2.3.2 Négociation commerciale (CNUCED) et OMC.
2.4 Fourniture à la Faculté d'agronomie et de médecine vétérinaire (à travers le MCI) de
matériels et produits chimiques pour le dosage des ochratoxines contenues dans le café
haïtien (CCI).
2.5 Renforcement de la capacité des trois institutions suivantes: le Centre de référence de l'OMC
établi au sein du MCI; le Ministère de l'économie et des finances; la Chambre de commerce,
à travers la fourniture d'une documentation portant le nouveau système commercial
multilatéral (SCM).
J. O
BJECTIF 3
Faire le diagnostic de l'offre exportable et formuler une stratégie de promotion des
exportations
16. Il est visé à travers cet objectif, d'une part, de donner des signaux clairs sur les produits et
services qui ne présentent plus d'intérêt, soit du fait de la demande ou de la concurrence sur le plan
mondial et, d'autre part, d'identifier de nouveaux produits ayant un potentiel viable. La relance et ladiversification des exportations ne sont possibles qu'à travers une consommation accrue de matières
premières par un tissu industriel local et l'émergence de nouvelles filières progressives à forte
intensité de main-d'œuvre dont la production est tournée vers l'exportation. La découverte de
nouveaux marchés reste aussi une priorité.
17. Les études à réaliser pour atteindre cet objectif mettront l'accent sur un nombre restreint de
secteurs essentiels à forte intensité de main-d'œuvre, y compris des secteurs agricoles (par exemple les
produits agricoles biologiques comme les fruits et légumes) pour lesquels le secteur privé estime qu'il
existe des possibilités d'accroître fortement la production et les exportations, et que l'on peut
raisonnablement considérer à priori comme offrant des avantages en termes d'emploi et/ouWT/IFSC/W/8/Add.3
Page 6
d'amélioration des conditions de vie des couches sociales les plus démunies. Une analyse des
obstacles internes et externes auxquels le secteur privé doit faire face pour accroître leur production et
exporter vers le reste du monde sera effectuée pour chaque secteur ou produit identifié.
a) Activités:
3.1 Étude de la compétitivité de nouveaux produits et services à l'exportation (CCI).
3.2 Étude sur les possibilités d'une relance et d'une amélioration de la production tournée vers
l'exportation mettant, autant que possible, à profit les disponibilités locales en termes de
ressources naturelles et humaines (CNUCED et CCI).
3.3 Élaboration d'un annuaire des produits à haut potentiel d'exportation devant servir de guide
aux investisseurs et producteurs haïtiens et étrangers (CCI).
3.4 Formulation d'une première proposition de stratégie pour le développement des exportations
(CCI).
II. APPORTS, BUDGET ET CALENDRIER D'EXÉCUTION
A. APPORTS
18. Les apports du gouvernement consistent en la mise à disposition des cadres nationaux
(fonctionnaires de l'administration) et des locaux au MCI. Le MCI assurera la coordination de toutes
les activités du programme.
B. BUDGET
Total 2001 2002 Ligne
budgétaireDescription
M/t Dollars EU M/t Dollars EU M/t Dollars EU
11.51 Consultants internationaux 5 85 000 1 17 000 4 68 000
16.01 Missions CCI 8 000 - 8 000
16.02 Missions OMC 22 000 4 000 18 000
17.01 Consultants nationaux 9 18 000 2 4 000 14 000
25.01 CNUCED - Cadre juridique 14 000 4 000 10 000
25.02 CNUCED - Capacités
institutionnelles31 000 11 000 20 000
25.03 CNUCED - Diagnostic offre
exportable12 000 - 12 000
32.01 Formation de groupe 30 000 3 000 27 000
41.01 Documentation OMC 6 000 3 000 3 000
42.01 Équipement informatique et
produits chimiques delaboratoire30 000 20 000 10 000
53.01 Divers 8 546 2 182 6 364
Sous-totaux 14 264 546 3 68 182 11 196 364
Frais d'appui (10%) 26 454 6 818 19 636
TOTAUX 291 000 75 000 216 000WT/IFSC/W/8/Add.3
Page 7C. CALENDRIER D 'EXÉCUTION
2001 2001 Activités
OCT. NOV. DÉC. JANV. FÉV. MARS AVR. MAI J UIN JUIL. AOÛT SEPT. OCT. NOV. DÉC.
1.1 Inventaire
Conventions
1.2 Loi-cadre
1.3 Code de commerce
1.4 et 1.5
Missions conseilsOMC
1.6 Formation
contratsinternationaux
2.1 Analyse - plan de
restructuration
2.2 Fourniture
équipement
informatique
2.3.1 Formation
information
2.3.2 Formation
négociationcommerciale
2.4 Fourniture
- équipement - café
2.5 Fourniture
- documentationOMCWT/IFSC/W/8/Add.3
Page 82001 2001 Activités
OCT. NOV. DÉC. JANV. FÉV. MARS AVR. MAI J UIN JUIL. AOÛT SEPT. OCT. NOV. DÉC.
3.1 Étude - compétitive
3.2 Étude - produits
3.3 Annuaire - produits
3.4 Formulation
- stratégied'exportationWT/IFSC/W/8/Add.3
Page 9
D. DEUXIÈME CATÉGORIE D 'ACTIVITÉS
19. Ce sont des activités à réaliser dans le cadre des projets en cours d'exécution par les
partenaires de développement d'Haïti et produisant des synergies avec celles de la première catégorie.
• Renforcement de la cellule de liaison sur le Cadre intégré établie auprès de la
Mission permanente d'Haïti à Genève (deux postes informatiques), acquisition d'une
licence d'exploitation des logiciels "Site Maps" et "Trade Maps" et formation de deuxcadres du MCI à leur utilisation (CCI/AIF: Fonds d'intégration des PMA de la
francophonie au commerce mondial).
• Examen de la politique commerciale d'Haïti en vue d'une meilleure perception du
pays à moyen et long termes dans les milieux d'affaires tant nationauxqu'internationaux (Fonds fiduciaire OMC géré par la Division de la coopération
technique); participation des cadres haïtiens des ministères concernés aux cours de
formation organisés par l'OMC en politique commerciale. Suite à la Réunion
Ministérielle de Doha, des consultations seront entamées avec le gouvernement sur lapossibilité d'organiser une série de séminaires spécifiques en 2002 et 2003 sur des
thèmes tels que l'agriculture, les services et le commerce électronique, qui viseraient
le renforcement de la capacité du pays dans le domaine de la formulation de la
politique commerciale.
• Programmation des activités de renforcement de la base productive de l'industrie
haïtienne (ONUDI).
• Appui au gouvernement haïtien dans le cont exte d'entrée d'Haïti dans la CARICOM
(CNUCED).
• Étude de l'impact de l'adhésion d'Haïti à la CARICOM et à l'application des schémas
tarifaires régionaux de ZLEA et de CBI élargi (CNUCED).
• Développement d'une unité de recherche pour étudier l'impact des accords de
libre-échange des pays membres de l'ALENA sur les économies des pays desCaraïbes (Canada).
• Fonds d'appui à la politique commerciale de la région des caraïbes (Canada).
• Le renforcement de la capacité des ressources humaines dans le développement de la
politique commerciale (Canada).
• Appui au secteur privé: renforcement de la capacité des ressources humaines dans la
gestion des achats, le contrôle de la qualité et le développement des produits(Canada).
• Transformation de purée de mangue (Canada).
• Implantation d'un dispositif de facilitation des investissements (Banque
interaméricaine de développement).
E. T
ROISIÈME CATÉGORIE D 'ACTIVITÉS
20. Cette catégorie inclut les activités pour lesquelles le financement devra être recherché auprès
des partenaires multilatéraux et bilatéraux d'Haïti.WT/IFSC/W/8/Add.3
Page 10
• Appui aux négociations et au suivi des dossiers des accords commerciaux ZLEA,
OMC, LOME, CARICOM.
• Étude de faisabilité de zones industrielles.
• Projet de migration du logiciel Sydonia (de la version 2.6 à la version ++) et de
restructuration des services de la Division de contrôle de l'Administration générale
des douanes (CNUCED).
• Projet de raccordement du pr ojet Sydonia au MCI (CNUCED).WT/IFSC/W/8/Add.3
Page 11
ANNEXE I
PROGRAMME DES NATIONS UNIES POUR LE DÉVELOPPEMENT
Fonds d'affection du Cadre intégré (IFTF)
Numéro du projet : ……………………..
Titre : Suivi à la table ronde sur le commerce
Phase pilote du Cadre intégré
Date estimée de démarrage : Octobre 2001
Durée : 15 mois
Site du projet : Port-au-Prince, Haïti
Agences coopérantes du gouvernement :
Ministère du commerce et de l'industrie,
Ministère de la planification et de la coopération extérieure
Ministère de l'économie et des finances
Agent d'exécution : Centre du commerce international CNUCED/OMC (CCI)
Agents de réalisation : Conférence des Nations Unies sur le commerce et le développement
(CNUCED)
Organisation mondiale du commerce (OMC)
Secteur : Développement du commerce
__________________________________________________________________________________
Description succincte: Le projet vise à renforcer les capacités du gouvernement pour réaliser l'intégration du commerce
extérieur dans le plan de développement du pays et, plus particulièrement dans le Document stratégique de lutte contre la
pauvreté (DSLP). L'accent est mis sur l' amélioration du milieu des affaires haïtien, en formulant des éléments d'un cadre
juridique et institutionnel adéquat, y compris le renforcement de la capacité en formulation de la politique commerciale, ainsi
que des propositions de mesures incitatives pour le développement des exportations. Les activités à réaliser dans le cadre de
ce projet seront coordonnées avec celles des projets en cours d'exécution dans le domaine du développement du commerceafin de produire des synergies.
__________________________________________________________________________________
Au nom du gouvernement haïtien
_________________________________________________________ Date: ________________
Au nom du Programme des Nations Unies pour le développement
_________________________________________________________ Date: ________________
Au nom du Centre du commerce international CNUCED/OMC
_________________________________________________________ Date: ________________
__________Contributions
IFTF
(dollars EU)
2001: 75 000
2002: 216 000
_______
TOTAL: 291 000
=======
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. /.RESTRICTEDWORLD TRADE
ORGANIZATIONWT/ACC/807/20
26 November 2001
(01-6014)
Working Party on the Accession of the
Former Yugoslav Republic of MacedoniaOriginal: English
ACCESSION OF THE FORMER YUGOSLAV REPUBLIC OF MACEDONIA
Communication from the Former Yugoslav Republic of Macedonia
Legislation
The Government of the Former Yugoslav Republic of Macedonia has submitted the following
legislation1 which is available for consultation from the Secretariat (Accessions Division, Room 1126)
and is available in electronic format upon request from [email protected].
_______________
1. Law on Agricultural Fund (Draft Version) of April 2000;
2. Law on Excise (applied from 1 July 2001);
3. Proposal for the Enactment of the Law on Food Safety (Contents of the Law on Safety of
Foodstuffs and Other Products and Material in Contact with Foodstuffs), translated
September 2001;
4. Law on Foreign Exchange Operations of 1 October 2001;
5. Draft Law on Industrial Property of 8 June 2001;
6. Law on Performing Agricultural Activity (Draft Version) of April 2001;
7. Law on Road Transport, Official Gazette No. 7/99;
8. Act on Carriage in the Road Transport (Draft);
9. Law on Spatial and Urban Planning, Official Gazette No. 4/96:
10. Proposal - Postal Servi ces Law of August 2001;
11. Law on Amending and Revising the Law on Insurance, Official Gazette No. 13/2001;
12. Draft Law on Consumer Protection of October 2000;
13. Law on Amending and Revising the Law on La bor Relations, Official Gazette No. 21/98;
14. Law on Amending and Revising the Law on Trade Companies, Official Gazette No. 50/2001;
1 In English only.WT/ACC/807/20
Page 2
15. Amendments to the Law on Insurance, Official Gazette No. 79/99;
16. Law on Amending and Revising the Law on S ecurities, Official Gazette No. 34/2001;
17. Regulation on the Procedure and Instruments for Securing Payment of Customs Liabilities
(Pursuant to Article 172, paragraph 4 of the Customs Law, Official Gazette Nos. 21/98,
26/98, 63/98, 86/99 and 25/2000), translated 2 July 2001.
__________
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ORGANISATION MONDIALE
DU COMMERCETN/RL/W/63
12 février 2003
(03-0898)
Groupe de négociation sur les règles Original: anglais
DÉCLARATION DE HAUTS RESPONSABLES CONCERNANT LES
NÉGOCIATIONS SUR LES MESURES ANTIDUMPING
Les délégations du Brésil; du Chili; de la Colombie; de la Corée; du Costa Rica; de
Hong Kong, Chine; d'Israël; du Japon; du Mexique; de la Norvège; de Singapour; de la Suisse; du
Territoire douanier distinct de Taiwan, Penghu, Kinmen et Matsu; de la Thaïlande et de la Turquie
ont fait parvenir au Secrétariat la communication ci-après, datée du 11 février 2003.
_______________
"Des résultats substantiels dans les négociations sur les mesures antidumping sont
indispensables pour assurer la libéralisation globale de l'accès aux marchés
et le succès du Programme de Doha pour le développement."
Des hauts responsables du commerce du Brésil; du Chili; de la Colombie; de la Corée; du
Costa Rica; de Hong Kong, Chine; d'Israël; du Japon; du Mexique; de la Norvège; de Singapour;
de la Suisse; du Territoire douanier distinct de Taiwan, Penghu, Kinmen et Matsu; de la Thaïlande et
de la Turquie se sont réunis à Genève le 5 février 2003 pour coordonner leur action dans les
négociations sur les disciplines de l'Accord antidumping.
Ces hauts responsables ont noté que les négociations donnent lieu à des discussions actives et
intenses et ont invité les autres Membres de l'OMC à se joindre à eux dans la poursuite des objectifs
énoncés ci-après.
Les cas de recours abusif aux règles antidumping se multiplient
Le nombre d'enquêtes et de mesures antidumping ne cesse de croître. Le nombre annuel
moyen de procédures engagées était de 138 dans les années 80, de 237 dans les années 90; et de 330
entre 1999 et 2001. À l'heure actuelle, plus de 1 100 mesures antidumping sont appliquées dans le
monde entier.
Nous sommes préoccupés par le fait que cet accroissement est imputable en grande partie au
recours abusif aux règles antidumping contre des exportations légitimes dans le but de protéger des
industries nationales, au-delà de ce qui est nécessaire pour faire face à un dumping dommageable.
Ces pratiques abusives consistent, par exemple, en l'ouverture d'enquêtes infondées et
répétées pour un même produit, en l'application simultanée de différentes mesures de protection pour
une même branche de production, en la prorogation in justifiée de droits antidumping et en procédures
destinées à perturber les échanges.TN/RL/W/63
Page 2
De nombreuses mesures antidumping ont été jugées incompatibles avec l'Accord antidumping
La plupart des mesures antidumping qui ont fait l'objet d'une procédure de règlement des
différends à l'OMC ont été jugées incompatibles avec les règles de l'OMC. Le fait que les décisions
adoptées par l'Organe de règlement des différends de l'OMC n'ont pas été convenablement mises enœuvre a nui au bon fonctionnement du système commercial multilatéral fondé sur des règles. Il
faudrait remédier à cette situation.
Les mesures antidumping abusives comprometten t l'accès aux marchés et le développement
économique
La multiplication des mesures antidumping abusives rétablit sous une autre forme les
obstacles au commerce qui ont été supprimés au prix de difficiles négociations. Le seul fait d'ouvrir
une enquête a des effets très négatifs, non seulement sur les entreprises directement concernées, mais
aussi sur le commerce en général. Le fardeau administratif et financier imposé aux exportateurs visés
par l'ouverture d'une enquête a lui aussi une incidence très négative sur l'activité commerciale. C'est
le cas en particulier lorsque l'ouverture de l'enquête n'est pas dûment justifiée.
Ainsi, le recours à de telles mesures est devenu une forme commode de protectionnisme au
détriment des intérêts économiques légitimes, tant au niveau national qu'au niveau international.
Dans les pays importateurs, les mesures antidumping abusives pénalisent les industries en aval et les
consommateurs, les prix étant inutilement plus élevés; dans les pays exportateurs, les industriesconcurrentes perdent des marchés et des recettes d'exportation.
L'effet perturbateur de ces mesures sur les pays en développement est particulièrement
préoccupant car leurs industries exportatrices sont souvent très vulnérables. L'imposition de mesures
antidumping entrave leur croissance économique et la diversification de leurs exportations.
Il sera difficile de libéraliser davantage l'accès aux marchés en l'absence de résultats
substantiels dans le domaine des mesures antidumping
Les négociations sur les mesures antidumping sont étroitement liées aux autres volets des
négociations. Sans une amélioration des disciplines en matière de mesures antidumping, les
avantages d'une libéralisation tarifaire accrue des droits de douane seront gravement compromis.Dans le cadre d'un engagement unique, il est indispensable d'obtenir des résultats substantiels dans les
négociations sur les mesures antidumping pour assurer la libéralisation globale de l'accès aux marchés
et le succès du Programme de Doha pour le développement.
Principaux objectifs des négociations sur les mesures antidumping
Compte tenu des considérations qui précèdent, il est impératif de remédier aux ambiguïtés et
aux lacunes des dispositions de l'Accord antidumping, qui permettent l'application abusive et
arbitraire de mesures antidumping. Il est donc essentiel de clarifier et d'améliorer les règles et les
disciplines pour corriger ce déséquilibre, ce qui est l'objectif central des négociations sur les mesuresantidumping. Les propositions spécifiques s'articu leront autour des trois objectifs clés ci-après:
• améliorer les règles afin d'empêcher le recours abusif à des mesures antidumping, en
gardant à l'esprit que ces mesures ne devraient être appliquées que dans la mesurenécessaire pour faire face à un dumping dommageable;TN/RL/W/63
Page 3
• empêcher que les enquêtes imposent une charge excessive, compte tenu des réalités
commerciales actuelles et de la nécessité d'éviter l'ouverture d'enquêtes dénuées defondement;
• améliorer les règles pour accroître la transparence, la prévisibilité et l'équité des
procédures antidumping.
Les propositions tiendront compte des besoins spéciaux des pays en développement.TN/RL/W/63
Page 4
Les négociations sur les mesures antidumping dans le cadre
du Programme de Doha pour le développement
- Synthèse factuelle complémentaire -
• Multiplication des mesures antidumping dans le monde
/g216 Le nombre de procédures antidumping engagées n'a cessé de croître.
Nombre moyen de procédures antidumping engagées
1980-1984
1985-19891990-19941995-19991999-2001135
142228247330
(Source: Données publiées par le Bureau du budget du Congrès des États-Unis dans:
"Anti-dumping Actions in the United States and Around World: An
Update", et sur le site Internet de l'OMC.)
/g216 Le nombre d'ordonnances antidumping en vigueur dans le monde est passé de 455 à
la fin de 1990 à 1 108 à la fin de 2000, soit une augmentation de plus du double aucours de la dernière décennie.
(Source: Rapport semestriel de l'OMC.)
Nombre de mesures antidumping appliqu ées
4558131108
020040060080010001200
À la fin de
1990À la fin de
1995À la fin de
2000TN/RL/W/63
Page 5
• Mesures antidumping ayant fait l'objet d'une procédure de règlement des différends à
l'OMC
/g216 La plupart des mesures antidumping ayant fait l'objet d'une procédure de règlement
des différends à l'OMC ont été jugées incompatibles avec les règles de l'OMC.
Nombre d'affaires antidumping ayant fait l'objet d'une procédure de règlement
des différends à l'OMC depuis sa création (janvier 2003)
Affaires dans lesquelles la mesure a été jugée incompatible avec l'Accordantidumping15
Affaires dans lesquelles la mesure n'a PAS été jugée incompatible avec
l'Accord antidumping1
Procédure de groupe spécial en cours 4
Consultations en attente 22
Procédures closes 3
(Source: Données recueillies sur le site Internet de l'OMC.)
• Incidence des mesures antidumping
/g216 L'application abusive de mesures antidumping compromet grandement les progrès
accomplis en matière d'accès aux marchés. Les cycles de négociations successifs ont
effectivement contribué à l'abaissement des taux de droits appliqués aux produits
industriels, qui ont été ramenés, par exemple, à environ 5 pour cent en moyenne dans
les pays de la Quadrilatérale. Toutefois, la marge moyenne de dumping est encoresupérieure à 40 pour cent.
Taux de droits moyens
Taux moyen consolidé pour l'ensemble des produits
Ensemble des pays de l'OCDE 15 pour cent
(Source: OCDE, "Examen des tarifs douaniers - Note de synthèse", 1999.)
Marges moyennes de dumping
Marge moyenne de dumping pour l'ensemble des affaires
1990-1994 44,5 pour cent
1995-1999 44,9 pour cent
(Source: Données publiées par le Bureau du budget du Congrès des États-Unis dans:
"Anti-dumping Actions in the United States and Around World: An Update".)
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WORLD TRADE
ORGANIZATIONWT/COMTD/LDC/W/15
17 May 1999
(99-1982)
Sub-Committee on Least-Developed Countries
INTEGRATED FRAMEWORK FOR TRADE-RELATED TECHNICAL ASSISTANCE
TO LEAST-DEVELOPED COUNTRIES
Trade-Related "Round Table Meetings"/Consulta tions: Outline Suggested to Assist the
Least-Developed Countries in Preparing their Documentation for Trade-Related Round
Tables/Consultations and an Indicative Timetable for the Preparation of such Meetings
Note by the Secretariat
The attached suggested outline has been prepared by the secretariats of the six agencies most
directly involved in the Integrated Framework (IMF, ITC, UNCTAD, UNDP, World Bank and WTO)
and the Integrated Framework's Administrative Unit. It is meant to assist the least-developed
countries in preparing their documentation for trade-related Round Tables/Consultations, as foreseen
in paragraphs 5(e) and (f) of the Integrated Fr amework (document WT/LDC/H L/1/Rev.1), in order to
maximize the usefulness of these events. Annexed to the outline is an indicative Timetable for the
preparation of such meetings. Both the outline and the indicative Timetable can be found on the
website of the Integrated Framework: www.ldcs.org. They are hereby circulated for information.
The Integrated Framework stipulates that the least-developed country will schedule a Round
Table meeting at which it will present the conclusions of its needs assessment and its proposed agenda
of trade-related technical assistance projects to meet the needs, indicating for which it has receiveddefinitive or provisional offers of technical assistance. Subject to the availability of resources, the
Round Table meeting will provide the opportunity to endorse a multi-year specific programme of
trade-related technical assistance activities an d to designate implementing/executing agencies,
including from among intergovernmental agencies other than the six core agencies involved and
bilateral development partners and, where appropriate, the private sector. It will also provide anoccasion for a least-developed country's development partners to announce interest in financing
and/or providing technical assistance and expertise to support elements of the programme.
The attached suggested outline is meant to assi st the least-developed countries in preparing
for these Roundtable meetings. Assistance, upon request, of any of the six agencies and/or theAdministrative Unit to prepare for the Round Table m eeting will of course remain available. The
indicative Timetable provides an indicative chronology of events leading up to the actual
"Round Table meeting", attached for purposes of assisting least-developed countries in their planning.WT/COMTD/LDC/W/15
Page 2
GOVERNMENT OF
(name of country)
REPORT
Prepared1 for the
ROUND TABLE MEETING ON TRADE
[or Donor Consultation on Trade-related Assistance]2
[or Round Table - or Consultation – or Sectoral Meeting- on Trade-Related Technical Assistance]
[or Round Table – or Consultation – or Sectoral Meeting - on Trade
and (e.g. the Private Sector, Investment, etc.)]
1 This report has been prepared [by the Ministry of Commerce and Industry, in consultation with other concerned
Ministries and organizations of the private sector] or [jointly by the Ministries of [Planning] [Finance] [Trade] [Tourism]]. It
has been cleared by [the Council of Ministers][an inter-governmental committee [task force] chaired by XXX].
2 This title could be selected if the consultation is part of the World Bank Consultative Group meetings. On the
other hand, if it is intended to invite “partners”, such as other developing countries, the word “donor” might not be
appropriate.WT/COMTD/LDC/W/15
Page 3
[SECTORAL ROUND TABLE ON TRADE]
(same title as cover page)
Table of Contents
I. INTRODUCTION
II. MACRO ECONOMIC CONSIDERATIONSIII. RECENT TRENDS IN FOREIGN TRADE
IV. TRADE STRATEGY
V. CONSTRAINTS TO TRADEVI. INVENTORY OF EXISTING TRADE-RELATED PROJECTS
3
VII. SUMMARY OF PRIORITY PROJECTS [SUBMITTED FOR FUNDING ]ANNEX PROJECT PROFILES
_______________
OTHER ANNEXES
The following additional Annexes are optional. It is desirable to keep the main document
relatively short. For instance, the 7 sections may take up not more than 30 pages and the project
profiles another 25 pages. Some or all of them can be circulated separately.
[ANNEX ___ : Integrated Framework for Trade-Rela ted Technical Assistance to Support
Least-Developed Countries. (document WT/LDC/HL/1/Rev.1)]
[ANNEX ___ : Needs Assessment of (name of Country); and Integrated Responses of IMF,
ITC, UNCTAD, UNDP, the World Bank, and WTO. [Available as a
document in the series WT/COMTD/IF/....., and on the IF
website: http://www.ldcs.org]
[ANNEX ___ : Note on the Round Table concerning [name of country]. [This applies only
to the 12 LDCs which had individual meetings with the development partners
on the occasion of the October 1997 HLM.] [Available as document
WT/LDC/HL/M/1/Add. 1, and on website: http://www.ldcs.org/hlmadd.htm]
[Other material, e.g. in-depth sectoral studies, policy frameworks, may be
made available as Background Documents].
3Could be placed in Annex.WT/COMTD/LDC/W/15
Page 4
I. INTRODUCTION (maximum four pages)
It is suggested to start directly with a statement of Government’s objectives - a summary of
the trade strategy (based on section 4 below; openness of the economy and the role of the private
sector might be particularly mentioned) - and how specifically the Integrated Framework (IF) is to
support that strategy as a part of the overall development strategy. This should explain why theGovernment (not just the Ministry of Trade) cons iders that trade is important in the development of
the country, and what strategy it intends to follow to ensure that trade contributes to the overall
development objectives, for instance through resource mobilization, employment creation, poverty
alleviation, while maintaining or enhancing environmental sustainability.
A. T
HE INTEGRATED FRAMEWORK
Illustrative language to introduce the Integrated Framework could be as follows:
(Quote ): It is generally recognized that many developing countries are faced with
major challenges in the context of globalization. This is particularly the case for the poorest and
weakest among them - the Least Developed Countries. It is against this background that the First
WTO Ministerial Conference in Singapore in December 1996 adopted an Integrated Plan of Action
for the Least Developed Countries (LDCs).
Pursuant to the Plan of Action, it was agreed by six multilateral agencies – IMF, ITC,
UNCTAD, UNDP, World Bank and WTO - that an Integrated Frame-work (IF) for the provision of
trade-related technical assistance to LDCs should be drawn up. This IF has been adopted by the
High-Level Meeting on Integrated Initiatives for Least-Developed Countries = Trade Development ,
organized by the WTO in October 1997. It has subsequently been endorsed by the Boards of UNDP,
the World Bank and UNCTAD.
[Note]: However, it is important to note that, as the Chairman of the High-Level
Meeting has recommended:
"… (b) Application of the Integrated Framework should not be limited (emphasis
added) to IMF, ITC, UNCTAD, UNDP, the World Bank and WTO. In the country-specific process,
starting already with drawing up the initial needs assessment, continuous dialogue should be sought
with other relevant multilateral agencies, such as FAO, the Common Fund and others that have
expressed their interest, with bilateral development partners. In this process, also the private sector
should be taken fully aboard; … "(WTO document WT/LDC/HL/23)]
In the context of the IF, the Government of ...... prepared an assessment of its trade-related
technical assistance needs. This needs assessment was subsequently considered by the six IF core
agencies, which prepared an integrated response to these needs. The Needs Assessment and the
Integrated (agency) Responses are available as [Annexes documents x and y].( Unquote )
[Note]: For the following 12 LDCs only: (B angladesh, Chad, Djibouti, Guinea, Haiti,
Madagascar, Mali, Nepal, Tanzania, Uganda, Vanuatu, Zambia-), it might be desired to recall the
individual meetings held in Geneva during the October 1997 HLM and refer to any significant points
made on that occasion. (The Report of each of these meetings is available on theIF website http://www.ldcs.org/hlmadd.htm. Hard copies may be obtained from the
Administrative Unit).WT/COMTD/LDC/W/15
Page 5
(Quote )
B. THE ROUND TABLE [CONSULTATION ] AND ITS OBJECTIVES
As foreseen in the IF, Government has decided to schedule a Round Table meeting in (name
of city) on Trade-Related Assistance [provide exact title, same as in cover page] with the following
objectives: …"( Unquote )
The objectives of the meeting are stated in paras. 5(e) and 5(f) of the IF.(a) However, country circumstances differ, and it may be decided by an LDC, in
consultation with its main development partners, that the RT/Consultation should
have a wider scope. For instance, it could deal also with enterprise development,investment, (or even employment creation or poverty alleviation
4. In such cases, the
objectives described above will need to be correspondingly modified. It is for each
LDC – in consultation with its main development partners – to determine the scope of
the trade-related programme to be addressed at the particular meeting and to reflect it
in the objectives.
(b) A possible statement of the (immediate) objective5 of the meeting could be along the
following lines:
(i) To present the government priorities to overcome the constraints to trade.(ii) To provide an occasion for the development partners to announce interest in
financing and/or providing assistance and expertise to support the government in
overcoming trade constraints.
(iii) To provide the opportunity to endorse a multi-year programme of trade-
related assistance activities.”
C. C
ONSULTATION PROCESS
It is important to describe the consultation process which has led to the preparation of the
document. (Inter-ministerial, with the private sector, NGOs; pre-consultations with the maindevelopment partners – multilateral and bilateral - represented locally, etc.). It should be ensured that
the document reflects the national point of view, in cluding those of the private sector, and is not the
emanation of just one Ministry. This should be made clear here-and throughout the document. (See
also the footnote on the cover page.)
A mention of which agency(ies) assisted in the preparation of the document, and which, if
any, acted as lead agency should be included. It is important, as foreseen in paras. 5(e) and (f) of the
IF, to explain the link between this sectoral RT/consultation and the (past and future) World Bank
Consultative Group Meetings or the UNDP (overall) Round Tables.
At the end of the introduction, the structure/contents of the rest of the document - and its
Tables, or Annexes, if any, should be announced.
4 However, in order to maintain a clear focus, it is recommended to include only topics which can be shown to be
closely and directly linked to trade.
5 These "immediate" objectives could be preceded by a statement of a long-term/broader development objective,
e.g. "to promote the social and economic development of (country) through enhancing its trade opportunities"WT/COMTD/LDC/W/15
Page 6
II. MACRO EONOMIC CONDITIONS (maximum one page)
[The IMF representative in each LDC stands ready to assist in drafting this section.]
The main national macro variables and policies relevant to trade (e.g., exchange rate regime,
rates of interest, inflation, indebtedness) should be presented (one or two paras.). Any policy
framework agreed upon with the IMF, and the performance under such a framework should be
indicated. It is considered that the hallmarks of a trade -friendly environment include low fiscal and
current account deficits, low inflation, competitive exchange rates, and high savings rates. However,
it is understandable that few LDCs will be able to claim excellence in these areas. Yet efforts or
progress made in the right direction should be highlighted.
III. RECENT TRENDS IN FOREIGN TRADE (maximum three pages)
Period could be most recent 3 years. Perhaps 2-3 Tables. Role of trade in the economy.
Information on composition and direction of mercha ndise trade and invisibles (e.g. tourism) should be
included - also important BOP items such as remitta nces. Given the increasing link between trade and
FDI, a short statement on the FDI record would be useful. (Note: One of the IF core agencies may be
able to provide this data. If data is not available or is of poor quality, it would be appropriate to
include technical assistance in this area among the projects presented to the RT.) Notable changes
over the past few years - and prospects. Some brief mention of high export-potential
products/services can be made here (to be further developed in ' 4 Trade Strategy).
IV. TRADE STRATEGY (maximum three pages )
Closely linked to the macro-economic considerations in ' 2 above, this section could describe
the main elements of the country's trade policies and export strategies relating them to the overall
development strategy . These could include subjects such as:
- Openness - nature and extent of tariffs and NTBs. Sectors which are protected.- Attitude vis-à-vis WTO membership and multilateral agreements and participation in
negotiations.
- Policies on direction of trade, e.g. pref erential trade arrangements, custom unions,
regional integration.
- Commercial aspects of governance (e.g. arbitration of commercial conflicts);
copyright legislation and enforcement.
- Environmental/spatial policies related to trade and location of economic activities.WT/COMTD/LDC/W/15
Page 7
- Export strategy. What results or targets are set? What strategy does Government
intend to follow in this regard towards: traditional exports (e.g., Is the country boxed
in the production of commodities whose overall value/quantity are declining in the
world market? What is proposed for dive rsification, processing?); non-traditional
domestic exports; manufacturing based on imported inputs/free zones; servicesexports. Particular activities/sectors where the country is thought to have
comparative advantage or high export potential should be mentioned. Are these
targeted, and how?
- Respective role of Government, para-statals and the private sector in trade and
production (in the light of the capacity of the national/international private sector to
innovate and take risk). Any policy/institutional arrangements to encouragecooperative behaviour (intra-private sector, and private sector/government).
- Investment policy - National, regional; in vestment codes; international treaties;
institutional arrangements and support (e.g. one-stop shop); any special programmes
towards SMEs and micro-enterprises.
Note: (i) In each case, it should be explained how the policy/strategy is part of the
overall development strategy, and supports basic development objectives, such as
poverty alleviation.
(ii) In drafting this section, specific consideration should be given to the
constraints (as well as facilitating aspects) which the macro-setting (§2 above) impose
on trade policy.
V. CONSTRAINTS TO TRADE (maximum six pages)
The main constraints/obstacles to trade expansion should be spelt out. These constraints
should be related to development objectives, not just to the (intermediate) trade objectives.
The Needs Assessment document already presents these constraints. What is needed is just
an update or modifications that take into account in particular the views of the rest of the
administration, the business sector, other trade players.
To facilitate the update the outline should follow the Check-List for conducting the Needs
Assessments. It might be convenient to classify these constraints under the following sub-headings:
1. Supply Constraints : Physical, institutional, human resources. Bottlenecks to export
diversification, investment flows; foreign/domestic; research and development
(Note: The supply constraints are usually the most severe, in most LDCs. They
include transport and telecommunications infrastructure, energy, water, etc.)
2. Trade Promotion and Trade Support Services Constraints
3. Market Access Constraints
4. Compliance with/Participation in the Multilateral Trading System – if not included in
item 3 above.
[In identifying and documenting the constraint s, it is usually possible to draw upon the
assessment and advice of international agencies.]WT/COMTD/LDC/W/15
Page 8
[It is often expected when presenting constraints to flag opportunities at the same time. This
can be referred to very briefly here, but the opportunities/perceived competitive advantage could be
better discussed under the Trade Strategy section ' 4 above.]
VI. INVENTORY OF EXISTING TRADE-RELATED PROJECTS
(could be placed in an Annex)
Before moving to the submission of activities for which support is requested, it would be
useful to present an inventory of ongoing projects and activities (including those that have ended over
the past 12 months)6. A first partial inventory (covering the six core agencies) has been prepared for
the HLM in 1997 (document WT/LDC/HL/9). This wi ll be updated and reflected in the IF website.
The lead agency selected would request inventories from other development partners. The inventory
must include projects supported by all development partners – bilateral and multilateral. Projects,
which are not firmly funded, even those in advance stages of discussion, should not be included here -they are preferably presented under ' 7 and in the project profiles. The description of the projects inthis inventory can be very succinct. An illustrative example:
(Quote )
TEXTILE AND GARMENT SECTOR STUDY
USD 0.23 million.
IFC
Under implementation (Jan-June 1999).
Objective/Activities : A study to identify the strengths and weaknesses of the Textile and Garment
Manufacturing Sector in (Country X) ( Unquote ).
These projects could be grouped by category, for instance according to the type of constraints
which they address, with sub-headings as per ' 5 above. These projects can be referred to in the
individual Project Profiles in the Annex, to the extent that the new projects would be expected to build
upon and complement existing ones.
VII. SUMMARY OF PRIORITY PROJECTS (SUBMITTED FOR FUNDING) (maximum
four pages)
The multi-year programme to be presented and endorsed at the RT consists of the ongoing
IF-related projects (' 6 above) and the new projects for which additional support is needed (or need tobe confirmed) - the latter summarized in this section -, preferably in one Table. This Table could be
accompanied by a very brief introduction, which should show what synergies/complementarities exist
among the projects. The overall strategy of Government and the constraints having been described
above, at this point there needs only to be a reference to the constraint addressed by each project. In
the selection of projects, it should be ensured that they are realistic, are transparently presented in away which enables harmonization of initiatives. The sub-headings - or modules - should preferably
be the same as those of ' 6. It might be possible for easier comprehension to also prepare a synthetic
table including the on-going projects and the proposed ones together. The actual project profiles
-constituents of the Summary Table - should be left for the Annex. Priorities should be indicated.
6 Any evaluation of the impact/result of the ongoing/recently terminated projects would be of interest.WT/COMTD/LDC/W/15
Page 9
ANNEX I
Project Profiles
The presentation should as far as possible follow the same sub-headings/modules as those of
sections 6 and 7. If a modular approach is chosen, it might be found useful to provide a more general
introduction to each module (e.g. broad objective, situational analysis, institutional set-up), leaving
more specific considerations to the individual project profiles. It is important that the projects
presented be clearly seen as to be demand driven by the country itself (government - with private
sector, as appropriate).7
Illustrative Example of a Project Profile
PROJECT PROFILE No. K
Title: Promotion of calcium carbonate
Objective: Production and export of calcium carbonateBeneficiaries: Directly, the operators of the industry and their employees.(Note: In cases where there are external benefits, indirect beneficiaries can also be mentioned.)
National Agency(ies) and institution(s): Ministry of Commerce and Industry; Ministry of Public
Works (Mining section); Export and Investment Promotion Unit of the Chamber of Commerce
Funding requested: USD 200,000(Studies and support for the establishment of a joint venture)
Potential partner/source of funding (if any): Preliminary discussions have been held with the
(e.g. Development Bank)
8
Recent or ongoing Assistance (if any): A survey of mining resources has been undertaken in 1998
with the assistance of the government of ….
Justification:
Large Calcium Carbonate deposits of a very high degree of purity (>96%) and whiteness
(>90%) exist in the province of …. They have not been exploited so far, in spite of the veryfavourable conditions in the international market. This product may be utilized as an input in the
manufacturing of paper, paint, plastic, as well as pharmaceutical and food products. Exports at say
7 Although project proposals developed by some international agencies (e.g. FAO, UNIDO, WIPO, UNCTAD,
ITC) may, if considered a priority by the Government, provide the material for presenting a project profile, it is strongly
recommended to avoid referring to them as "project of agency X".
8 Note: It is important that the project be (and be perceived to be) a national project and not "a project of
agency X". However, it might be indicated in a footnote that "Agency X has assisted in developing this project and wouldbe prepared to implement it".WT/COMTD/LDC/W/15
Page 10
USD 180 per tonne fob could give rise to foreign exchange earnings of some USD 2 million
per month … jobs are expected to be created in this depressed area. The deposits are located away
from a population centre, so that any pollution (dust) from the operation would not create a major
problem. A small crushing plant would be required, and the capital requirements would be some
USD 2 million.
Output and Activities
Output/ Expected Result Conditions in place for the exploitation of the calcium carbonate de
calcium deposits, probably as a joint-venture.
Activities Preparation of a feasibility study and provision of support in all
phases of negotiations for the creation of a joint venture for the
extraction, processing and export of Calcium Carbonate at …,
located in the province of …WT/COMTD/LDC/W/15
Page 11
ANNEX II
Indicative Timetable for the Preparation of Trade-Related Meetings (TRMs)
Time
MonthsStatement of
Intent &
Preparatory
StepsEstablishment
of Steering
Committee
Launch
Workshop
(optional)Preparation
of draft
documentComments/
ConsultationsFinalization of
the documentLogistics/
DisseminationTRM
T-6 x
T-5 x x
T-4 x
T-3 x x
T-2 x x
T-1 x
T x
T = the month of the TR Meeting (TRM).
Indicative Chronology of Events
Statement of intent and preparatory steps. THE DECISION TO SCHEDULE A TRM IS
MADE BY THE LDC CONCERNED. It would be e xpected that a decision to start preparation be
communicated to one of the core agencies and/or the IF Administrative Unit. This information will be
reflected on the IF website and widely circulated. In order to give that decision operational
significance, a number of interrelated preparatory matters would need to be addressed up front:
- Determine the link (e.g. in terms of substantive content, of timing, of logistics) of the
proposed TRM with the UNDP Round Table process or the World Bank
Consultative Group Meetings [I.F., paras. 5(e) and 5(f)]. It is recommended that
this link be explicitly made at an early stage and be reflected in the documentation.
- Closely related to the above is the question of which lead agency(ies) , if any, should
be designated and what would be its role (e.g. help in preparing the documentation, in
logistics, in co-chairing the meeting). In practice, in view of the experience of theWorld Bank and UNDP in matters of Round Tables/CGs and of the necessary link
between these mechanisms and the TRM, the main lead agency would be either of
these agencies - with the possibility of other agencies – or other parties, or the IF
Administrative Unit, assisting with the documentation or other aspects. Together
with the lead agency the assistance the LDC might require to prepare itself for and
organize the TRM (consultant(s), logistical support etc.) should be determined.
- Careful consideration needs to be given to the objective and scope of the meeting
(this will depend on country situations – see §1 of the suggested outline in this
respect). This has to be defined very clearly since it will guide the nature of thedocumentation, the selection of the contents of the multi-year programme to be
presented and endorsed, the agenda of the TRM and its outcome.
Stakeholders Group/Steering Committee : In order to steer the TRM process, it is desirable to set
up at an early stage a stakeholders group/steering committee (selected from the relevant ministries,
active private sector and local donor/agency representatives). This group could participate in theWT/COMTD/LDC/W/15
Page 12
decisions above and be consulted at various stages in the process. The objective here is to achieve as
much consensus as possible, spread knowledge of the IF process and avoid the pitfall of presenting
the views of just one Ministry – or sub-group.
Launch Workshop (optional): It may be found appropriate to organize a launch workshop to
"kickstart" the preparations. This workshop would be a half-day, informal meeting aimed at raising
awareness of the IF process among all stakeholders . It would firm up the preparatory steps (1, 2,
3 above) and establish the Steering Committee of stakeholders (if not already in place). This
workshop could be attended by a member of the core agencies or of the Administrative Unit.
Preparation of draft document : The Government, with the involvement of the relevant
stakeholders, and help of a consultant(s) where necessary, prepares a first draft of the document forthe TRM. An outline for TRM document as a possible guideline is available for this purpose from the
IF Administrative Unit.
Comments/Consultations : The draft when prepared should be circulated in electronic format (where
possible) to the main development partners and the six core agencies for comments. TheAdministrative Unit could assist in this regard. The draft documentation could also be the basis of
informal consultations with potential donors, who could even at this stage be sounded out for possible
funding/implementing of elements of a Multi-Year Programme.
Finalization of the Document : The draft document should be finalized in light of the ongoing
comments/consultations, preferably concurrently with them. Apart from the stakeholders
group/steering committee involvement, the formal approval of Council of Ministers or a high-level
Government body is recommended.
TRM Logistics/Dissemination/ Issuing of Invitations : The date of the TRM should be finalized
only once it is clear that the documentation is or is about to be in an acceptable shape. Invitations
should be issued two months before. Dissemination of the documentation to the invitees as well as
the agenda should be done at least 4 weeks (by electronic means) prior to the TRM meeting date to
give participants (including those in capitals) time, to study the document and come forward with
specific positions and proposals at the TRM meeting. Translation, at least of an executive summary,
may be necessary if the language is other than English.
TRM : The meeting (at the T month) takes place. A record or report of the meeting indicating the
precise conclusions of policy dialogue, interest shown/commitments, etc. would be prepared by the
Government in cooperation with the lead agency to facilitate follow-up and enable reporting to a
wider audience. This report should thus be drafted in an operational manner. It will be published
[c.f. I.F., para. 5(f)]; and disseminated by the I.F. Administrative Unit.
Follow-up : Based on the results of the TRM, the LDC’s Multi-Year Programme (MYP) as endorsed
can be implemented. It is important to have an active follow-up mechanism. In this respect, the
Inter-Agency Working Group and the I.F. Administrativ e Unit will assist in monitoring, but “the role
of coordinating the implementation and monitoring… of activities conducted under the IntegratedFramework shall be primarily the responsibility of the least developed country concerned” [I.F., para.
5(l)]. The Stakeholders Group/Steering Committee could have a major role. “Where possible the
proceedings will be included in the World Bank Consultative Group Meetings and in the UNDP
Roundtables” [I.F., para. 5(e)], and “the results should be incorporated into World Bank Country
Assistance Strategy documents and into UNDP Country Strategy Notes” [I.F., para. 5(f)].
__________
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RESTRICTED
WORLD TRADE WT/ACC/SAU/31
11November 1997
ORGANIZATION(97-4919)
Working Party ontheAccession
oftheKingdom ofSaudi Arabia
ACCESSION OFTHE KINGDOM OFSAUDI ARABIA
Checklist ofdocuments
Thefollowing documents concern thefourth meeting oftheWorking Party ontheAccession
oftheKingdom ofSaudi Arabia totheWorld Trade Organization tobeheldon2and4December 1997:
1. Market Access
WT/ACC/SPEC/SAU/2/Rev.1 -revised initial offer ongoods;
WT/ACC/SPEC/SAU/3 andCorrigendum 1Revision 1-initial offer onservices;
2. Agriculture
WT/ACC/SPEC/SAU/1/Rev.1 -revised responses toWT/ACC/4 andsupporting tables;
3. Import Licensing
WT/ACC/SAU/30 -information onimport licensing procedures;
4. Standards andCertification
WT/ACC/SAU/21 -response toadditional comments, proposals andquestions submitted bymembers
oftheWorking Party concerning thedraftICCP Comprehensive Procedures andGuidelines;
WT/ACC/SAU/26 -information ontheconformity ofSaudi Arabia 'sICCP withWTO rules and
regulations;
WT/ACC/SAU/27 -information ontheshelflifeoffoodproducts;
5. TRIPS
WT/ACC/SAU/22 -background paper onTRIPS;
6. Services
WT/ACC/SAU/23 -background paper onthetrade-related services regime;
WT/ACC/SAU/24 -information onpolicy measures affecting trade inservices;
7. Preferential Trading Arrangements
WT/ACC/SAU/25 -information onpreferential trading agreements;
./.WT/ACC/SAU/31
Page2
8. Proposals onFlexibility
WT/ACC/SAU/28 -proposals onflexibility;
9. Additional Questions andReplies
WT/ACC/SAU/13/Add.1/Corr.1 -additional questions andreplies;
WT/ACC/SAU/29, Corrigendum 1andAddenda 1and2-additional questions andreplies.
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ORGANISATION MONDIALE G/AG/N/USA/6
30septembre 1996
DUCOMMERCE(96-3880)
Original: anglais Comité del'agriculture
NOTIFICATION
Ladélégation desEtats-Unis afaitparvenir auSecrétariat, le24septembre 1996, lanotification
ci-après concernant lesengagements enmatière desubventions àl'exportation (tableau ES:1).
_______________G/AG/N/USA/6
Page2Tableau ES:1 SUBVENTIONS AL'EXPORTATION: ETATS-UNIS
PERIODE CONSIDEREE: 1995
Subventions àl'exportation: Engagements deréduction desdépenses budgétaires etdesquantités
Désignation desproduits Année civile/campagne de
commercialisation
commen çant...Exportations subventionnées Aide alimentaire1Niveaux d'engagement annuels
Dépenses Quantité Quantité Dépenses Quantité
Commen çantenjuillet 1995 ($EU) (tonne) (tonne) ($EU) (tonne)
1 2 3 4 5 6 7
Blé Exercice budgétaire23
559826415312715765499231 20238298
Céréales secondaires 282673563767735453 1906302
Riz 9900 149716 15705850 271660
Huiles végétales 0 173640 52959518 587538
Beurre ethuile debeurre 0 0 44792792 42989
Laitécrémé enpoudre 63696 3445 121118905 108227
Fromages 3275 0 5339844 3829
Autres produits laitiers 4501 9203 14374120 12456
Viande bovine 0 0 33520056 21486
Viande porcine 0 0 730050 483
Viande devolaille 22250 0 21377402 34196
Bovins laitiers vivants
(nombre detêtes) 0 0 17450834 13467
Oeufs (nombre dedouzaines) 7565500 0 7587922 30261813G/AG/N/USA/6
Page31. LesMembres doivent fournir desdonnées surl'aidealimentaire pour toutes lesdestinations.
2. Lesengagements concernant lesquantités portent surlapériode allant du1erjuillet 1995 au30juin1996. Lesengagements concernant lesdépenses budgétaires
sontmisenoeuvre pendant l'exercice budgétaire, quicommence le1eroctobre dechaque année.
3. Lesdonnées pour l'exercice budgétaire 1995 seront fournies verslafinde1996.
4. Comprend leblé,lafarine debléetlasemoule surlabaseéquivalent blé.
5. Comprend leblé,leblébulgur etlafarine deblésurlabaseéquivalent blé.
6. Comprend l'orge/orge debrasserie etlemaltd'orgesurlabaseéquivalent orge.
7. Sorgho.
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ORGANISATION MONDIALE
DU COMMERCEWT/WGTI/W/91
11 octobre 2000
(00-4167)
Groupe de travail des liens entre
commerce et investissementOriginal: anglais
COMMUNICATION DE LA CORÉE
La Mission permanente de la République de Corée a fait parvenir au Secrétariat la
communication ci-après, datée du 10 octobre 2000.
_______________
Protection de l'investissement: Expropriation et indemnisation
I. INTRODUCTION
1. Les accords internationaux d'investissement reposent sur deux piliers, la libéralisation de
l'investissement et la protection de l'investissement, appuyés par des mécanismes de règlement desdifférends. La protection de l'investissement est généralement assurée par trois clauses de base
couvrant l'expropriation et l'indemnisation, les transferts et la protection contre les conflits. La clause
sur l'expropriation et l'indemnisation est la disposition fondamentale la plus traditionnelle dans
l'histoire des accords internationaux d'investissement. Les clauses générales de protection de
l'investissement ont pour objet de protéger le droit de propriété des investisseurs étrangers, alors que
la clause sur l'expropriation et l'indemnisation vise à maximiser la protection du droit de propriété de
l'investisseur contre les mesures d'expropriation ou de nationalisation prises par le pays d'accueil.
2. En regard de son importance, la clause sur l'expropriation et l'indemnisation est relativement
peu comprise. L'accroissement du nombre de différends donne à penser que la clause sur
l'expropriation et l'indemnisation peut recevoir une interprétation plus large que celle prévue à
l'origine, conduisant ainsi à des ambiguïtés substantielles. De plus, les problèmes reliés à cette clause
donnent souvent naissance à des critiques des accords internationaux d'investissement par desreprésentants de la société civile, c'est-à-dire les ONG (organisations non gouvernementales).
Toutefois, les experts internationaux en matière d'investissement ne se sont encore jamais penchés de
façon approfondie sur cette disposition dans des forums internationaux. Dans une tentative de jeter un
peu de lumière sur cette question, la présente communication vise à favoriser une interprétation
commune de la signification de la clause sur l'expropriation et l'indemnisation au sein des Étatsmembres de l'OMC.WT/WGTI/W/91
Page 2
II. CONTENU DE LA CLAUSE SUR L'EXPROPRIATION
A. DÉFINITION DE L 'EXPROPRIATION
3. Les accords internationaux d'investissement appliquent des clauses d'expropriation aux
mesures directes ou indirectes d'expropriation ou de nationalisation.1 Les spécifications qui placent
les mesures d'expropriation indirecte dans la catégorie de l'expropriation adoptent des formulationsdifférentes qui font souvent appel à des expressions telles que "mesures ayant un effet équivalent à
l'expropriation ou à la nationalisation" et "toute autre mesure ayant un effet équivalent à
l'expropriation ou à la nationalisation".
B. C
ONDITIONS DE L 'EXPROPRIATION
4. Les quatre conditions définitives de l'expropriation stipulent que l'expropriation doit être faite
1) pour une raison d'intérêt public; 2) sur une base non discriminatoire; 3) en conformité avec
l'application régulière de la loi; et 4) moyennant une indemnisation.
C. INDEMNISATION
5. De façon générale, les accords internationaux d'investissement acceptent des normes
d'indemnisation semblables à celles adoptées dans la formule de Hull, qui prévoit que l'indemnisation
doit être "rapide, adéquate et effective".
III. EXPROPRIATION INDIRECTE
6. À l'heure actuelle, c'est la définition qui pose le problème le plus difficile, puisqu'il n'existe
toujours pas de définition largement acceptée de l'expression "expropriation indirecte" ou
"expropriation rampante". Ce problème se retrouve à la base de beaucoup de différends
internationaux. Bien qu'il n'existe pas de définition reconnue de l'expropriation indirecte, on entend
généralement par là des mesures qui réduisent substantiellement la valeur d'un investissement sansaffecter les droits de propriété relatifs à cet investissement. La vente forcée de la totalité ou d'une
partie de l'investissement, la cession forcée des actions, la localisation forcée, l'ingérence dans les
droits de propriété, le rejet d'un permis ou d'une certification requise dans le cadre des activités de la
société, l'imposition de taxes excessives, la déportation illégale, le gel des actifs bancaires,
l'encouragement aux grèves et d'autres mesures menaçantes sont souvent considérés comme uneexpropriation indirecte.
2
7. La négociation de l'AMI (Accord multilatéral su r l'investissement) a renouvelé l'intérêt porté à
l'interprétation de cette clause, qui était auparavant acceptée de fait. Le sujet le plus chaudement
discuté dans le cadre de la négociation de l'AMI était la question de l'imposition d'une réglementation
contraignante. La question est de savoir si l'imposition d'une réglementation contraignante
(c'est-à-dire de mesures de politique gouvernementale affectant la valeur de l'investissement
d'investisseurs étrangers) devait être considérée comme équivalant à une expropriation. Si c'était lecas, le pays d'accueil aurait l'obligation d'indemniser.
1 L'expropriation est une mesure qui fait passer le droit de propriété ou les autres droits d'une personne
sur une chose à l'État ou à un tiers, pour des motifs d'utilité publique. Alors que l'expropriation traite de chaquecas individuellement, la nationalisation est généralement une mesure appliquée en tout ou en partie àl'économie. L'expropriation résulte d'une ordonnance administrative, la nationalisation est affaire de politiquenationale.
2 Sornarajah, M., The International Law on Foreign Investment , 1994.WT/WGTI/W/91
Page 3
8. Cette question a été soulevée par des ONG dans le s cas biens connus des différends relatifs à
l'ALENA et a suscité une controverse qui a ensuite alimenté l'opposition croissante à l'AMI.
Malheureusement, en raison de l'échec de la négociation de l'AMI, cette question importante n'avait
pas pu être réglée, nonobstant le fait que les négociateurs étaient d'accord sur la nécessité de préciser
la notion d'expropriation.
IV. VERS UN CADRE MULTILATÉRAL DE L'INVESTISSEMENT
9. On peut considérer que la clause d'expropriation est celle qui souffre le plus du manque d'une
interprétation commune à tous les pays. Bien qu'elle figure dans tous les traités d'investissements
bilatéraux, son interprétation commune au regard des accords internationaux d'investissement est
cruciale. Il pourrait être utile d'axer le débat sur trois questions:
a) Lorsque les États concluent des traités d'investissement bilatéraux, quel est en général
le genre d'expropriation qu'ils sont disposés à indemniser?
b) Quelle importance attachent les investisseurs étrangers à la nécessité d'obtenir une
protection de leurs investissements dans le pays d'accueil au moyen d'une clause
relative à l'expropriation?
c) Dans le cas des organisations non gouvernementales, quelles doivent être la nature et
la portée des expropriations indemnisables?
10. Il est indispensable, afin de créer un environnement transparent et prévisible pour
l'investissement international, d'élaborer un cadre acceptable tant pour les autorités des pays d'accueil
et des pays d'origine que pour les investisseurs ét rangers et les organisations non gouvernementales.
La Corée croit qu'il n'est pas possible d'obtenir un tel résultat en se fondant sur d'innombrables
réseaux de traités d'investissements bilatéraux contenant toutes sortes de définitions, de normes et deconditions différentes.
Annexe A: Clause d'expropriation du traité bilatéral d'investissement entre la Corée et le
pays A
Article 5: Nationalisation ou expropriation
1. Les investissements des ressortissants ou des sociétés de l'une ou l'autre des Parties
contractantes ne sont pas nationalisés, expropriés ou assujettis à des mesures équivalant à la
nationalisation ou à l'expropriation (ci-après dénommées "expropriation") sur le territoire de l'autre
Partie contractante, sauf pour un motif d'utilité publique lié aux besoins internes de ladite Partie et
contre indemnisation rapide, adéquate et efficace, à la condition que de telles mesures soient prises sur
une base non discriminatoire et conformément à ses lois.
2. L'indemnité doit correspondre à la valeur marchande de l'investissement immédiatement
avant que l'expropriation ou l'expropriation imminente ne soit connue de tous, doit comporter des
intérêts jusqu'à la date de paiement, au taux commercial en vigueur, et doit être versée sans retard, être
effectivement réalisable et librement transférable. Le ressortissant ou la société touché doit avoir le
droit, en vertu des lois de la Partie contractante procédant à l'expropriation, de demander un examende son cas et de l'évaluation de son investissement par une instance judiciaire ou un autre organe
indépendant de la Partie contractante, conformément aux principes énoncés au présent paragraphe.
3. Lorsqu'une Partie contractante exproprie l'actif d'une société incorporée ou constituée en vertu
des lois de toute partie de son territoire et dans laquelle des ressortissants ou des sociétés de l'autre
Partie contractante détiennent des actions ou des obligations, ladite Partie doit s'assurer que lesWT/WGTI/W/91
Page 4
dispositions des paragraphes 1) et 2) du présent article sont appliquées dans la mesure nécessaire pour
garantir une indemnisation rapide, adéquate et effective à l'égard de l'investissement desdits
ressortissants ou sociétés de l'autre Partie contractante propriétaires de ces actions ou obligations.
Annexe B: Clause d'expropriation de l'ALENAArticle 1110: Expropriation et indemnisation
1. Aucune des Parties ne pourra, directement ou indirectement, nationaliser ou exproprier un
investissement effectué sur son territoire par un investisseur d'une autre Partie, ni prendre une mesure
équivalant à la nationalisation ou à l'expropriation d'un tel investissement ("expropriation"), sauf:
a) pour une raison d'intérêt public;
b) sur une base non discriminatoire;
c) en conformité avec l'application régulière de la loi et le paragraphe 1105 1); etd) moyennant le versement d'une indemnité en conformité avec les paragraphes 2 à 6.
2. L'indemnité devra équivaloir à la juste valeur marchande de l'investissement exproprié,
immédiatement avant que l'expropriation n'ait lieu ("date d'expropriation"), et elle ne tiendra compte
d'aucun changement de valeur résultant du fait que l'expropriation envisagée était déjà connue. Les
critères d'évaluation seront la valeur d'exploitation, la valeur de l'actif, notamment la valeur fiscale
déclarée des biens corporels, ainsi que tout autre critère nécessaire au calcul de la juste valeur
marchande, selon que de besoin.
3. L'indemnité sera versée sans délai et elle sera pleinement réalisable.
4. Si le paiement est effectué dans une devise du Groupe des Sept, l'indemnité comprendra les
intérêts, calculés selon un taux commercial raisonnable pour cette devise à compter de la dated'expropriation jusqu'à la date du paiement de l'indemnité.
5. Si une Partie choisit de verser l'indemnité dans une devise autre qu'une devise du Groupe des
Sept, la somme versée à la date du paiement, si elle est convertie en une monnaie du Groupe des Sept
au taux de change du marché en vigueur à cette date, ne pourra être inférieure au montant de
l'indemnité due à la date de l'expropriation si ce montant avait été converti en une monnaie du Groupe
des Sept au taux de change du marché en vigueur à cette date, et que les intérêts avaient couru, à un
taux commercial raisonnable pour cette monnaie du Groupe des Sept à compter de la dated'expropriation jusqu'à la date du paiement.
6. Au moment du paiement, l'indemnité sera librement transférable ainsi qu'il est prévu à
l'article 1109.
7. Le présent article ne s'applique pas à la délivrance de licences obligatoires accordées
relativement à des droits de propriété intellectuelle, ni à l'annulation, à la limitation ou à la création dedroits de propriété intellectuelle, pour autant que soient respectées les dispositions du chapitre 17
(Propriété intellectuelle).
8. Il demeure entendu, aux fins du présent article, qu'une mesure non discriminatoire
d'application générale ne sera pas considérée comme une mesure équivalant à l'expropriation d'un titre
de créance ou d'un prêt couvert par le présent chapitre au seul motif que la mesure impose au débiteurdes coûts qui le forcent à faire défaut au remboursement de la dette.WT/WGTI/W/91
Page 5
Annexe C: Clause sur l'expropriation des principes directeurs pour le traitement de
l'investissement étranger direct de la Banque mondiale
IV
EXPROPRIATION ET MODIFICATIONS OU RÉSILIATION
UNILATÉRALE DES CONTRATS
1. Un État ne peut exproprier un investissement privé étranger ou s'en approprier autrement la
totalité ou une partie, ou prendre des mesures ayant même effet si ce n'est conformément aux
procédures juridiques en vigueur, quand il poursuit de bonne foi un but d'utilité publique, sans faire de
discrimination pour cause de nationalité et moyennant une indemnisation appropriée.
2. L'indemnisation sera en pareil cas réputée "appropriée" si elle est adéquate, effective et rapide
au sens des dispositions qui suivent.
3. L'indemnisation sera réputée "adéquate" si elle est calculée à partir de la juste valeur
marchande de l'actif exproprié telle que celle-ci est déterminée juste avant l'expropriation ou la
publication de la décision d'expropriation.
4. La détermination de la "juste valeur marchande" est acceptable si elle est faite selon une
méthode agréée par l'État et l'investisseur étranger (ci-après dénommés les parties) ou par un tribunal
ou une autre instance désignée par les parties.
5. À défaut d'accord entre les parties sur la méthode d'évaluation ou sur l'évaluation elle-même,
la juste valeur marchande est acceptable si elle est déterminée par l'État sur la base de critères
raisonnables en rapport avec la valeur marchande de l'investissement, c'est-à-dire si elle correspond auprix qu'un acheteur de bonne foi serait normalement disposé à payer à un vendeur de bonne foi,
compte tenu de la nature de l'investissement, des circonstances où se ferait son exploitation à l'avenir
et de ses caractéristiques propres, en particulier de son ancienneté, de la proportion des actifs
corporels dans l'investissement total et des autres facteurs en jeu dans le cas d'espèce.
6. Étant entendu qu'il ne faut pas y voir l'affirmation de la validité exclusive d'une norme unique
d'équité pour la détermination de l'indemnité à verser et comme exemple de détermination raisonnable
par l'État de la valeur marchande de l'investissement au sens de la section 5 ci-dessus, une évaluation
sera réputée raisonnable si elle est faite selon l'une des méthodes suivantes:
a) s'il s'agit d'une affaire rentable dont la rentabilité est bien établie: sur la base de la
valeur actualisée des flux financiers;
b) s'il s'agit d'une entreprise qui fait la preuve de son manque de rentabilité; sur la base
de sa valeur de liquidation;
c) s'il s'agit d'autres actifs: sur la base de a) la valeur de remplacement ou de b) la valeur
comptable si celle-ci a été établie récemment ou déterminée au jour de l'expropriation
et peut dès lors être considérée comme une estimation raisonnable de la valeur de
remplacement.WT/WGTI/W/91
Page 6
Au sens de la présente disposition:
- une " affaire rentable " est une affaire constituée d'actifs générateurs de revenus qui existe
depuis suffisamment longtemps pour générer les informations nécessaires pour calculer ce
que serait son revenu futur et dont on aurait pu raisonnablement penser qu'elle aurait, s'il n'y
avait pas eu expropriation, continué à produire un juste revenu pendant la durée de sa vieéconomique dans la conjoncture d'après l'expropriation;
-l a " valeur actualisée des flux financiers " est la différence entre les rentrées qu'il est réaliste
d'attendre de l'entreprise pour chaque année future de sa vie économique raisonnablement
projetée et les dépenses attendues pour cette année, après application d'un taux d'actualisation
qui prend en compte la valeur actualisée de la monnaie, l'inflation prévue et les risques
inhérents aux flux de trésorerie. Le taux d'actualisation peut se mesurer en considérant lestaux de rentabilité qui seraient ceux d'autres investissements possibles sur le même marché à
niveau de risque égal, sur la base de leur valeur actuelle;
-l a " valeur de liquidation " est la différence entre le prix qu'un acheteur serait disposer à payer
pour les différents actifs de l'entreprise ou pour l'ensemble et le passif;
-l a " valeur de remplacement " est le prix qu'il faudrait payer pour remplacer les actifs de
l'entreprise dans l'état où ils se trouvent à la date de l'expropriation;
-l a " valeur comptable " est la différence entre l'actif et le passif de l'entreprise telle qu'elle
ressort de ses états financiers, ou encore la valeur des actifs corporels expropriés inscrits au
bilan de l'entreprise, c'est-à-dire leur coût, déduction faite, suivant les règles comptables
généralement admises, de l'amortissement cumulé.
7. L'indemnisation est réputée "effective" lorsque l'indemnité est versée dans la monnaie
importée par l'investisseur pour autant qu'elle reste convertible, dans une autre devise désignée par le
Fonds monétaire international comme librement utilisable ou dans une devise acceptée par
l'investisseur.
8. L'indemnisation est réputée "rapide" en temps normal si elle est effectuée sans retard. Dans
les cas où l'État fait face à une situation exceptionnelle ayant donné lieu à la conclusion d'un accord en
vue de l'utilisation des ressources du Fonds monétaire international ou dans des circonstances
objectivement similaires caractérisées par une pénurie de devises, le paiement dans la monnaiedésignée à la section 7 peut être étalé sur une certaine période qui sera aussi courte que possible et qui
ne peut en aucun cas dépasser cinq ans à compter de la date d'expropriation, étant entendu que les
paiements différés donneront lieu au paiement, dans la même monnaie, d'intérêts à des taux
raisonnables, liés à ceux du marché.
9. L'investisseur n'aura pas droit à l'indemnité ainsi définie ou n'aura droit qu'à une indemnité
réduite si l'expropriation dont il est frappé sanctionne une violation, dûment établie par un tribunal,
des lois et règlements avant l'expropriation. Les litiges qui pourraient naître de l'introduction d'un
recours en réparation en pareil cas seront réglés conformément aux dispositions de l'article V des
présents principes directeurs.
10. Dans le cas de nationalisations générales non discriminatoires effectuées dans le cadre de
grandes transformations sociales nées d'événements exceptionnels - révolution, guerre et autres états
d'urgence -, l'indemnité sera fixée par voie de négociations entre le pays d'accueil et le pays d'origine
et, en cas de désaccord persistant, par voie d'arbitrage international.WT/WGTI/W/91
Page 7
11. Les dispositions de la section 1 du présent principe directeur sont applicables lorsqu'un État,
agissant unilatéralement, résilie ou modifie un contrat passé avec un investisseur privé étranger, ou ne
se reconnaît pas d'obligations au titre dudit contrat pour des raisons autres que commerciales,
c'est-à-dire lorsque l'État agit dans l'exercice de son pouvoir souverain et non pas en tant que partie
contractante. L'indemnité due en pareil cas sera calculée conformément aux dispositions dessections 2 à 9 du présent principe directeur. La réparation due pour rupture de contrat pour des
raisons commerciales, c'est-à-dire lorsque l'État agit en tant que partie contractante, est déterminée par
application de la loi du contrat.
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. /.ORGANIZACIÓN MUNDIAL
DEL COMERCIOG/TBT/N/SWE/27
14 de marzo de 2003
(03-1496)
Comité de Obstáculos Técnicos al Comercio Original: inglés
NOTIFICACIÓN
Se da traslado de la notificación siguiente de conformidad con el artículo 10.6.
1. Miembro del Acuerdo que notifica: SUECIA
Si procede, nombre del gobierno local de que se trate (artículos 3.2 y 7.2):
2. Organismo responsable: Dirección General del Entorno Laboral de Suecia
Nombre y dirección (incluidos los números de teléfono y de telefax, así como las
direcciones de correo electrónico y sitios Web, en su caso) del organismo o autoridad
encargado de la tramitación de observaciones sobre la notificación, en caso de que se
trate de un organismo o autoridad diferente: Dirección Nacional de Comercio
3. Notificación hecha en virtud del artículo 2.9.2 [ X ], 2.10.1 [ ], 5.6.2 [ ], 5.7.1 [ ], o
en virtud de:
4. Productos abarcados (partida del SA o de la NCCA cuando corresponda; en otro caso
partida del arancel nacional. Podrá indicarse además, cuando proceda, el número de
partida de la ICS): Tanques, tanques de vacío, contenedores de gas a baja presión,
tuberías de conducción e instalaciones con equipos de contención
5. Título, número de páginas e idioma(s) del documento notificado: Fabricación de
determinados contenedores, tuberías e instalaciones (18 páginas, en sueco)
6. Descripción del contenido: El texto objeto de la presente notificación hace referencia al
diseño y fabricación de tanques, tanques de vacío, contenedores de gas a baja presión y
tuberías de conducción, así como al diseño e instalación en establecimientos provistos de
esos equipos y de equipos a presión fabricad os de conformidad con la Directiva 97/23/CE.
La prescripción general estipula que estos equipos serán diseñados, fabricados y montados
de manera que se garantice un grado satisfactorio de seguridad. El siguiente nivel de
exigencia estipula que los equipos e instalaciones deben cumplir los requisitos esenciales de
seguridad que figuran en el Anexo I de la Directiva 97/23/CE. Esta prescripción se aplica,entre otros equipos, a los tanques de vacío y contenedores de gas a baja presión destinados a
productos peligrosos, de capacidad superior a 1.000 litros, a los tanques destinados a
productos peligrosos, de capacidad superior a 5.000 litros, y a los tubos de conducción que
se habrían clasificado en las categorías I, II y III si se hubieran incluido en la Directiva
97/23/CE. Se aplica también a las instalaciones montadas por el usuario que incorporen losequipos de que se trata o equipos de presión de las categorías I, II y III, con arreglo a la
Directiva 97/23/CE, así como a las instalaciones destinadas a líquidos peligrosos en
cantidades superiores a las especificadas en la columna 2 del Anexo I de la Directiva
96/82/CE relativa al control de los riesgos inherentes a los accidentes graves. El nivel de
exigencia más elevado prevé que una entidad independiente reconocida lleve a cabo elexamen del diseño, la fabricación y el montaje. Esta prescripción se aplica a los tanques de
vacío y contenedores de gas a baja presión destinados a productos peligrosos, de capacidad
superior a 5.000 litros, a los tanques destinados a productos peligrosos, de capacidad
superior a 10.000 litros, y a los tubos de conducción que se habrían clasificado en lasG/TBT/N/SWE/27
Página 2
categorías II y III si se hubieran incluido en la Directiva 97/23/CE. Se aplica también a las
instalaciones montadas por el usuario que incorporen los equipos de que se trata o equipos
de presión de las categorías II y III, con arreglo a la Directiva 97/23/CE, así como a las
instalaciones destinadas a líquidos peligrosos en cantidades superiores a las especificadas en
la columna 3 del Anexo I de la Directiva 96/82/CE. Por último, se prescribe que sólo lasempresas especialmente certificadas por una entidad independiente pueden efectuar
determinadas tareas (por ejemplo, soldar ramales de tuberías) sobre sistemas en
funcionamiento y despresurizados.
7. Objetivo y razón de ser, incluida, cuando pr oceda, la índole de los problemas urgentes:
El texto notificado tiene por objeto mantener las disposiciones relativas a la fabricación de
equipos que figuran en la norma AFS 1999:6 pero a los que no se aplica la Directiva
97/23/CE sobre equipos a presión. Una parte de las disposiciones de la norma AFS 1999:6
de la Dirección General de Seguridad e Higiene en el Trabajo sobre recipientes a presión se
ha suprimido (29 de mayo de 2002) habida cuenta de que esas disposiciones contienenprescripciones relativas a la fabricación de equipos contemplados en la Directiva 97/23/CE.
Los riesgos inherentes a la presencia de cantidades importantes de sustancias peligrosas es
la razón principal por la que deben mantenerse las disposiciones relativas a los equipos no
contemplados en la Directiva 97/23/CE porque no presentan peligros debidos a la presión.
Sin embargo, se propone la actualización de esas disposiciones así como su armonizacióncon aquellas que se aplican a los equipos contemplados en la Directiva. Además, las
prescripciones tienen por objeto el establecimiento de una reglamentación para el montaje
de instalaciones bajo la responsabilidad del usuario, iniciativa que la Directiva 97/23/CE
deja a cada Estado miembro.
8. Documentos pertinentes: -
9. Fecha propuesta de adopción: Septiembre de 2003
Fecha propuesta de entrada en vigor: Enero de 2004
10. Fecha límite para la presentación de observaciones: 19 de mayo de 2003
11. Textos disponibles en: Servicio nacional de información [ X ] o dirección, números de
teléfono y de telefax, correo electrónico y dirección del sitio Web, en su caso, de otra
institución:
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RESTRICTED
WORLD TRADE WT/COMTD/W/14/Add.1
8July1996
ORGANIZATION(96-2625)
Original: English Committee onTrade andDevelopment
Seventh Session
12July1996
REPORT ONTECHNICAL COOPERATION
Addendum
Astatus report oftechnical cooperation activities wascirculated totheCommittee onTrade
andDevelopment indocument WT/COMTD/W/14. Atthemeeting oftheCommittee on7June1996,
several Members requested further information concerning thedifferent technical cooperation activities.
Thepresent addendum responds tothisrequest.
InthedocumentpresentedtotheCommitteeitwasemphasizedthattheWTOexercisedflexibility
tobesttailor thetechnical cooperation activities totheneeds andpriorities ofindividual countries,
groups ofcountries orregions, taking intaccount theirlevelofdevelopment. Thisflexibility canbe
exercised through avariety ofinstruments thattheWTO hasatitsdisposal fordelivering suchassistance,
including seminars, workshops, technical missions, briefing session, andtraining through tradepolicy
courses. Theintention istorespond specifically totherequirements ofMembers bothonthecontents
andontheformat.
Each typeofactivity differs innature andinduration, andisdetermined onacasebycase
basis. While some activities, bytheirverynature, arecarried outinthecountry orregion concerned,
others takeplace attheWTO headquarters. Except fortraining courses, thedifferent activities carried
outabroad havesimilar human resource implication, generally twoWTO officials participating ina
given mission. Thefinancial resources involved aredirectly related totheduration andthegeographical
location oftheactivity.
Themain typeofactivities canbesummarized asfollows:
1. Seminars areorganized onanational orregional levelandtheirprogrammes areeither general
orspecialized. Some seminars maycover abroad range ofaspects ofthemultilateral trading
systemincludingthefunctioningoftheWTOandtheAgreements,UnderstandingsandDecisions
which resulted fromtheUruguay Round negotiations. Others mayfocus onanarrowly defined
subject, e.g.customs matters, anti-dumping, subsidies andcountervailing measures. Seminars
generally lastsome threetofiveworking daysdepending onwhether itisspecialized orgeneral.
2. Workshops generally focus ononeparticular areaoftrade policy andaimatdeepening the
understanding ofofficials whoholdresponsibilities inthearea. Inaddition totheoretical
explanations ofthesubject, workshops haveapractical orientation, e.g.through casestudies
andsimulations tofacilitate theimplementation oftheUruguay Round commitments andthe
enforcement ofMember 'srights andobligations under theWTO Agreements. Theduration
ofworkshops varyandgenerally lastbetween twodaysandoneweek. Workshops canbe
heldeither inGeneva orabroad.WT/COMTD/W/14/Add.1
Page2
3. Thepurpose oftechnical missions isonehand, toassist countries indrafting andpreparing
legislation, regulations andnotification requirements and,ontheother hand, tofacilitate
understanding ofissues sothatbenefits canmaterialize, bothinterms oftaking advantage of
newmarket opportunities andinterms offuller participation inthemultilateral decision making
process.
4. Briefing sessions aregenerally heldforGeneva-based delegations andvisiting officials ofleast-
developed countries, developing countries andeconomies intransition including those inthe
process ofaccession. These briefings areprovided either toindividual delegations ortoseveral
delegations atonetime. Asindicated inthemain document, briefing sessions areimportant,
notonlybecausetheyallowtoaddressspecificconcerns,butalsobecausetheyassureafollow-up
ofmissions, seminars andworkshops thatareheldinthedifferent countries. Moreover, it
allows smaller delegations thatdonothavethecapacity toattend allWTO meetings aswell
asMembers thatarenotrepresented inGeneva, tobebriefed andup-dated onrecent
developments inareas ofinterest tothem.
5. Trade policy courses, including special courses, aimatenhancing participants 'understanding
inabroad range oftrade andtrade-related issues covered bythemultilateral trading system,
international trade lawandtrade policy. Until now, theyhavemostly beenheldinGeneva
aspartoftheGATT/WTO training activities. Under theterms ofsome ofthenewprogrammes,
national andregional training activities willalsobecarried out,inparticular under theIntegrated
Technical Assistance Programme forAfrican countries andthetraining programme forPacific
Island countries.
_______________________________________________________
AttachedisalistofalltechnicalcooperationactivitiesheldbetweenJanuary1995andMay1996.
Dataispresented inaregional breakdown, withrespect tothetypeofactivities covered (national and
regional seminars, technical missions, workshops andconferences). There isalsoindication ofthe
main subjects covered andoftheWTO Divisions andnumber ofofficials having participated.
Theabbreviations usedfortheidentification oftheWTO Divisions arethefollowing:
ACC - Accessions Division
AG - Agriculture andCommodities Division
DEV - Development Division
IP - Intellectual Property andInvestment Division
LAD - Legal Affairs Division
MA - Market Access Division
RULES - Rules Division
TCTD - Technical Cooperation andTraining Division
TEXT - Textiles Division
TSD - Trade inServices Division
TE - Trade andEnvironment DivisionWT/COMTD/W/14/Add.1
Page 9TYPE OF
ACTIVITY/
YEARAFRICA ASIA EUROPE LATIN AMERICAN AND THE CARIBBEAN MIDDLE EAST OCEANIA TOTAL
FOR THE
YEARCOUNTRY DATE SUBJECT/
DIVISION/
NO.OFOFFICIALSCOUNTRY DATE SUBJECT/
DIVISION/
NO.OFOFFICIALSCOUNTRY DATE SUBJECT/
DIVISION/
NO.OFOFFICIALSCOUNTRY DATE SUBJECT/
DIVISION/
NO.OFOFFICIALSCOUNTRY DATE SUBJECT/
DIVISION/
NO.OFOFFICIALSCOUNTRY DATE SUBJECT/
DIVISION/
NO.OFOFFICIALS
ETHIOPIA,
44ECA
COUNTRIES14-16/2 COMMITTEE OF
EXPERTS AND
FIRST SESSION OF
AFRICAN
MINISTERSPHILIPPINES,
18COUNTRIES18-19/1 WIPO SYMPOSIUM
ONTRIPS
(TCTD) (IP)
(3) (1)
SOUTH
AFRICA,
18COUNTRIES17-19/4 WIPO SYMPOSIUM
ONTRIPSCHINESE
TAIPEI22-24/4 MULTILATERAL
TRADE SYSTEM/
URUGUAY
ROUND, TEXTILES
AND CLOTHING
(IP) (TEXT)
(1) (1)
TOTAL 1995-1996
1.1-31.12.1995 20 18 17 16 6 2 79
1.1-31.5.1996 15 9 4 5 2 0 35
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WORLD TRADE
ORGANIZATIONWT/WGTCP/W/78
7 July 1998
(98-2702)
Working Group on the Interaction
between Trade and Competition PolicyOriginal: English
COMMUNICATION FROM THE EUROPEAN COMMUNITY
AND ITS MEMBER STATES
The following communication, dated 29 June 1998, has been received from the Permanent
Delegation of the European Commission with the request that it be circulated to Members.
_______________
Introduction
This submission by the European Community and its member States covers the two issues to
be discussed at the July meeting of the Working Gr oup: (a) the impact of state monopolies, exclusive
rights and regulatory policies on competition and international trade; and (b) the impact of trade
policy on competition. It should be noted that thes e topics are potentially broad and could encompass
the near totality of current WTO activities. It is therefore particularly important to focus on the
interaction between trade and competition policy and to avoid duplication with the work undertaken
in other WTO forums. While issues relating to the review and functioning of existing WTO
disciplines are for consideration in other specific WTO forums, this Group can contribute to a better
understanding of the interaction between different types of government intervention in the economy
and competition.
State monopolies, exclusive rights and regulatory policies often have a very real impact on
trade and competition. Similarly, competition can be affected by different types of trade policy
measures. This submission will focus on such interactions. A presentation is also made of theEuropean Union experience. While such experience is in many respects unique, in view of the
far-reaching market integration objectives and the broad scope envisaged for the application of
competition law, it may offer some useful insights for the work of the Group.
The application of competition law and policy could complement WTO disciplines so as to
better contribute to the objectives of trade liberalization. As rightly stated in the 1997 WTO
Secretariat Report on Trade and Competition Policy: "… any stance on competition law or
enforcement, including the decision not to have a co mpetition law at all, or not to enforce the existing
law, is a policy choice. This implies that it is often difficult to separate out private restraints from
government policy, since the fact that the private restraints exist might be attributable to thegovernment’s choice not to interfere, or not to implement laws under which it could intervene". The
issue is not therefore whether WTO rules should impose obligations on private firms, which they
should not, but rather whether governments should accept basic disciplines, on the basis of common
principles or rules, relating to the adoption of a competition law and its enforcement in order to
further the WTO trade liberalization objectives.WT/WGTCP/W/78
Page 2
I. THE IMPACT OF STATE MONOPOLIES, EXCLUSIVE RIGHTS AND
REGULATORY POLICIES ON COMPETITION AND INTERNATIONAL TRADE
I.1 The case for liberalizing monopolies and reforming regulation
(a) The case for liberalizing certain monopoly sectors
In some sectors which have traditionally fulfilled a key role in societies, public authorities
have granted special or exclusive privileges to designated operators, or have allowed other
restrictions of competition. Often , in exchange for these benefits, designated operators
provide universal supply of a service to all citizens on specific terms and at affordable prices.
For example, in all the member States of the EU, basic postal services, that is the collection,
sorting, transport and delivery of items of correspondence, have been operated by
monopolies. This organization of postal services has made it possible to meet certain specific
requirements. The services are provided on request throughout the national territory, at a
uniform level of quality or at a single tariff (that is irrespective of the distance to be covered
and the location of the place of dispatch or of destination) fixed at a level accessible to all.
Recent years, however, have seen significant technological progress, as well as an evolution
in the needs of consumers. Consequently, the case for maintaining monopolies has become
weaker. In parallel, the regulatory framework specifically developed for the operation of
these services has lost much of its justification.
At times the protection of state monopolies is also presented, including in developing
countries, as a means to develop the competitiveness of domestic firms or to improve
employment. This protection too may seri ously undermine an optimal allocation of
resources. In general, the problems stemming from protected state monopolies are:
- inefficiency. A firm with market power whose behaviour is not constrained
by actual or potential competition, will have less static incentive to produce at
its most efficient level and will also have less dynamic incentive to innovate.
- "dead-weight" loss. The higher prices charged by a monopoly result in a
transfer of wealth from consumers to producers but not all of the gain from
higher prices can be captured by producers. Therefore some of it is lost to
both producers and consumers, creating a "dead-weight" loss, as a result of
the lack of incentives to produce at the most efficient level.
- uncompetitive economies. The existence of a monopoly, for example in the
supply of electricity, may result in hi gher energy prices increasing production
costs of business and adversely affecting the competitiveness of the economy
as a whole.
A competitive market providing lower prices is therefore generally desirable and welfare
enhancing, unless the need to retain monopolistic structures can be clearly demonstrated.
It should also be noted that a monopoly is no prerequisite for the fulfilment of universal
service obligations. These may be imposed on companies that are exposed to competition.WT/WGTCP/W/78
Page 3
(b) The case for deregulation
Regulation in itself is ambivalent: while it is necessary it can also have harmful effects. On
the one hand, it may serve to provide companies with equivalent conditions, for example
through the establishment of transparent and non-discriminatory technical requirements,standards, and public procurement policies, or through regulations affecting the establishment
(e.g. zoning restrictions) or operation (e.g. advertising restrictions) of competing outlets.
Regulation can also be called for in the case of natural monopolies or of production
externalities. It may also be necessary to inform the consumer, or to respond to social and
other interests.
On the other hand, as is the case in relation to economic policy in general, regulation can
constitute a trade barrier. As the 1997 WTO annual report observes, justifications can bealibis for protecting incumbent firms: "there is an important distinction between the
expressed aim of laws and regulations, and the purposes they serve in practice. It may
sometimes be observed that economic policies, such as competition and trade policies, serve
certain well-organized interest groups rather than the public at large".
1
Inappropriate regulation may also affect competition, for instance by reducing market
contestability. It may have negative effects similar to those caused by the maintenance of
inappropriate monopolies (see above), leading to reduced economic growth and development.
In addition , regulation needs to be taken into account when determining the relevant market,
both in its geographic and product dimensions.
The OECD has undertaken extensive work on regulatory reform. The debates have, inter
alia, shown that regulatory measures should be in line with the principles of transparency,
non-discrimination and should not be more burdensome than strictly necessary.
(c) Economic efficiency gains of competition-enhancing reform
Recent analysis has shown that liberalization and deregulation can be expected to result in
major productivity gains, price reduction and economic growth. For example:
- in Europe, labour productivity grew twice as fast in those manufacturing
sectors most affected by competition-enhancing reforms of the Single Market
Programme, compared to other sectors2;
- in the telecommunications sector, elimination of monopolies helped stimulate
new technologies and increase the number of subscribers of cellular phones in
OECD countries from 700,000 in 1985 to 71 million in 1995. After reform,average prices for telephone services fell by 63 per cent in the UK and 41 per
cent in Japan, and long distance prices fell by 66 per cent in Finland
3.
I.2 The present WTO approach to regulatory policies, state monopolies, and firms with
exclusive rights
This section examines the approach taken in th e WTO so far towards regulatory policies, state
monopolies, and firms with exclusive rights.
1 p. 43
2 source: OECD : C/MIN(97)10
3 source: OECD : C/MIN(97)10WT/WGTCP/W/78
Page 4
Regarding regulatory policies, the WTO framework of rules has been based on the objective
of providing an equality of competitive opportunities between the products and services of companies,
regardless of their origin, once a tariff has been paid or, in the field of services, once a market access
commitment has been accepted by a government. In the field of goods, for example, the GATT
provisions on non-discrimination (MFN and national treatment) aim to ensure that governments shallnot legislate or otherwise adopt measures or polici es whose effect may be to restrict the supply of
foreign products or discriminate between them. Subsequent Rounds of negotiation have further
strengthened related provisions and reduced non-tariff barriers to trade, for example through the
elaboration of provisions in the field of technical barriers to trade
4.
For the purposes of the work of this Group, the interaction with competition policy and trade
would include, in particular, any situation where private anti-competitive practices are required,approved or supported by a government, and where their effect may be to foreclose foreign goods,
services or service suppliers. A number of GATT and WTO dispute settlement cases seem to indicate
that such government measures, whether undertaken on a formal or informal basis, would be subject
to WTO disciplines. The scope of WTO rules would not seem, in principle, to cover cases in which
such anti-competitive practices are undertaken autonomously by enterprises without a sufficientdegree of government involvement, even if such practices may have the same or greater restrictive
effect.
In connection with the activities of state trading enterprises with exclusive or special rights or
monopolies, WTO rules also aim at covering the autonomous activities of enterprises insofar as they
may result in obstacles to international trade in goods and services. The 1997 WTO Report on Trade
and Competition policy includes in section IV.I.C an excellent discussion of the current WTO
approach and highlights three types of market access problems that may arise through the operations
of enterprises enjoying a position of market power. Such market access problems relate to: (a) access
difficulties in relation to the market that is the subject of a monopoly or special or exclusiveprivileges; (b) access to downstream markets, in particular when such access depends on the use of
facilities that are the subject of a monopoly or a position of market power; and (c) access to the
upstream market for inputs into the production of goods and services by a dominant or privileged
enterprise. An overview of how the WTO has sought to tackle such market access problems
illustrates the importance of establishing a close relationship between trade liberalization and the
application of competition law disciplines.
The GATT has long recognized that state tradin g enterprises to which special or exclusive
rights have been granted (such as a monopoly right of import on a given product), can through their
activities influence the degree of market access of foreign products. Article XVII of the GATT was
drafted to ensure that the market access rights of trading partners would not be impaired by state
trading and requires enterprises with special or ex clusive rights to operate solely in accordance with
"commercial considerations", and discriminatory buying or selling is forbidden
5. GATT Parties are
further encouraged to engage in negotiations to reduce the obstacles created by state trading, for
example by limiting the exclusive nature of the rights given to the state trading firm.
4 The TBT Code includes provisions committing governments to take measures to ensure that non-
governmental (i.e. private) standardising bodies do not adopt technical regulations or standards whose effect isto create barriers to trade.
5 It has not yet been clarified whether the non-discrimination obligation of Article XVII is an MFN or
also a national treatment obligation. There are, howeve r, strong arguments to suggest that Article XVII also
imposes a national treatment obligation, as this is the only way in which a state trading firm could operate
according to "commercial considerations", as well as the fact that the Article would otherwise enable countries
to derogate from a market access obligation they have taken, for example if a tariff commitment has been taken.WT/WGTCP/W/78
Page 5
Article XVII of the GATT, how ever, contains fundamental weaknesses and is generally
considered to have exerted very little influence on the conduct of monopoly traders. It is interesting
to note that the EC Treaty, which was drafted ten years after the General Agreement, actually includes
an obligation on EC member States to phase out excl usive import or export rights in intra-EC trade.6
There are convincing arguments to consider favourably in the appropriate forums a future
strengthening of Article XVII GATT, for example through a (if necessary gradual) phasing out of
monopoly trading and the enabling of individual traders, at all times, to engage in parallel trade.
From the outset the WTO rules on trade in services have recognized that monopoly and
exclusive suppliers, as well as other suppliers can restrict international services trade, if they engage
in anti-competitive practices.7 The GATS imposes binding obligations on governments concerning
the conduct of such suppliers. Moreover, the GATS explicitly incorporates competition law concepts,for instance, by providing that WTO Members shall ensure that monopoly or exclusive service
suppliers, when supplying a service outside the scope of their rights, do not abuse their dominant
position to act in a manner inconsistent with such ma rket access obligations (Article VIII:2). In this
respect, the GATS Agreement already goes visibly further than the GATT, reflecting both its later
drafting and the greater presence, in the serv ices sector, of monopoly or exclusive providers.
The notion that international liberalization of services needs to be complemented by
provisions to protect the openness of a market from potential private anti-competitive practices has
been most explicitly recognized in the negotiations on basic telecommunications, which were
concluded in February 1997. Traditionally, the telecommunications sector has of course been
dominated by monopoly suppliers. The principles of the so-called reference paper, which were at the
heart of the negotiations, provide, inter alia, for appropriate measures to be maintained for the
prevention of anti-competitive practices in telecommunications, including on cross-subsidization,
access to essential facilities, non-discriminatory and cost-orientated interconnection, transparency, as
well as for the establishment of an independent re gulatory body to which complaints can be lodged.
Such disciplines are of course specific to the telecommunications sectors and to those WTO Members
which have included in their schedules the commitments of the "Reference Paper".
This brief overview of WTO rules, as they apply to government regulation and the activities
of certain enterprises in a position of market power, shows that: (a) the WTO has developed a
framework of rules to ensure that government regulation does not upset the equality of competitive
opportunities for the products and services of other WTO Members. Such framework would in
principle encompass action by governments to facilitate or support private anti-competitive practices;
(b) WTO rules have also sought to ensure that certain types of enterprises in a position of market
power do not act in a manner which detracts from the market opening commitments assumed by
WTO Members; (c) within the framework of GATS, the obligations assumed by Members in
connection with the activities of such enterprises make explicit reference to competition lawprinciples or concepts.
WTO rules therefore recognize that market-opening commitments can be undermined by
anti-competitive practices undertaken by certain firms in a position of market power. There are
however, gaps in the current framework of WTO rules. An anti-competitive practice can have amarket foreclosure effect even in the absence of government intervention. Market power may be
exercised by firms falling outside the scope of Article XVII of GATT and Article VIII of GATS or as
a result of anti-competitive agreements among undertakings. While in certain cases competition law
disciplines have been developed at the sectoral level, consideration should be given to the scope of an
appropriate horizontal framework of competition rules.
6 Article 37 EC Treaty
7 See Articles VIII and IX of the GATSWT/WGTCP/W/78
Page 6
I.3 State Monopolies and Regulated Sectors: the European Union experience
A number of problems arise in connection with the effective application of competition law in
heavily regulated sectors or sectors in which firms have a statutory monopoly position or have been
granted exclusive or special rights. Problems from both a trade and competition policy perspectivewould, in particular, arise if: (a) competition laws do not apply on the same basis to private and
public undertakings ; (b) a general exemption from the application of competition law applies to
such sectors; and (c) even in the absence of such a general exemption, a broad interpretation of the
"State action" doctrine would in practice imply that firms are not subject to competition law
disciplines.
Effective trade liberalization can only be achieved through a combination of disciplines
applicable to state regulation or other forms of government intervention and through limiting, to the
maximum extent feasible, the scope for exemptions from competition law disciplines.
The European Union experience in this regard is unique, since competition law disciplines
also apply, under certain conditions, to measures taken by the member States. This is, of course,closely linked to the legal and institutional framework of the Community and its market integration
objectives. It is not, therefore, suggested that the European Union experience can be simply
transposed at the multilateral level. Notwithstanding this, this experience can be of interest to other
WTO Members, in particular, those which are engaged in a process of regional economic integration.
Moreover, the WTO has increasingly recognized the importance of proceeding in parallel
with deregulation and a reinforcement of competition disciplines. Some elements of the Community
approach could therefore be of broader interest at the multilateral level.
I.3(i) Liberalization of State Monopolies
From the outset, the founders of the EC Treaty recognized that public enterprises or
enterprises with special or exclusive rights could affect intra-EC trade and the conditions of
competition in the European market. The Treaty therefore includes specific provisions applicable to
these enterprises and their governments.
The Commission has been pursuing a policy of liberalising certain sectors traditionally
subject to monopolies, such as telecommunications, energy, postal services and transport. Various
provisions of the EC Treaty are key instruments for this policy.8
(a) Prohibition: Articles 5 and 90(1) EC Treaty
Articles 85 and 86 of the Treaty of Rome apply to anti-competitive practices of enterprises
rather than to measures taken by the authorities of member States. However, Articles 5 and
90 of the Treaty require that these public authorities refrain from taking measures that may
render ineffective the competition rules applicable to undertakings.9 National regulation may
not require or favour anti-competitive behaviour contrary to EC competition rules, and does
not exempt enterprises from compliance.
The following developments will be limited to the more specific provisions of Article 90(1),
which makes it illegal for member States, in the case of public undertakings and undertakings
to which member States grant special or exclus ive rights, to enact or maintain in force any
8 Article 90 applies to measures adopted by a Member State but of course as monopolies have by
definition a dominant position, Article 86 is applicable if they abuse this position.
9 ECJ 17 November 1993, Meng C-2/91 (1993) ECR I-5791WT/WGTCP/W/78
Page 7
measure contrary to the rules contained in the Treaty. In other words, Article 90(1) is always
implemented in conjunction with another provision of the Treaty of Rome. For example:
- Article 90(1) in Conjunction with Competition Rules
In the case of public undertakings or undertakings to which member States grant special or
exclusive rights, member States may not resort to restrictive agreements in the sense of
Article 85 or to abusive behaviour in the sense of Article 86. For example, Article 90(1) in
combination with Article 86 prohibits a Member State from putting such undertakings in a
situation in which they, merely by exercising the exclusive rights granted them, cannot avoid
abusing a dominant position. For instance, a Member State may not give regulatory power
over their competitors to public undertakings or undertakings enjoying special or exclusiverights.
- Article 90(1) in Conjunction with Rules on Free Movement of Goods and
Services.
Articles 30, 34 and 59 prohibit member States from granting or maintaining, exclusive or
special rights that affect trade within the EU, unless it is necessary to guarantee respect of
certain imperative requirements. As already noted, Article 37 of the EC Treaty has been
interpreted as requiring member States to phase out exclusive import or export rights in intra-
EC trade.
The obligations upon member States resulting from Article 90(1), in combination with
Articles 30, 34, 59, 85 and 86 of the EC Treaty, have direct effect within the member States
and can therefore be challenged by individuals before national courts.
(b) Exception : Article 90(2)
Article 90(2) contains an exception to the provisions of Article 90(1), according to which
competition rules are not fully applicable to undertakings entrusted with the operation of
services of general economic interest or having the character of a revenue-producing
monopoly.
For example, Article 90(2) can be used to justify maintenance of certain exclusive rights when
they are necessary for the operation of certain public services; for instance, the European
Court of Justice10 admits the idea of the justification of certain monopolies by virtue of the
necessity to guarantee financial viability of certain activities of universal service.
However, the exception to the application of co mpetition law is applicable only if restriction
of competition is necessary to guarantee the performance of the particular tasks assigned to
these undertakings (Article 90(2), 1st sentence); and on condition that the development of
trade is not affected to such an extent as would be contrary to the interest of the Community
(2nd sentence).
The Court of Justice considers that Article 90(2), first sentence, has direct effect within the
member States. It can therefore be implemented before national courts.
10 ECJ, 13 May 1993, case n° C-320/91, (1993) ECR 2563 (postal services) ; ECJ, 27 April 1994, case
n° C-393/92, Almelo (1994) ECR 1477 (energy)WT/WGTCP/W/78
Page 8
The present system strikes a balance between the interest in an integrated and competitive
market and the interest to maintain public services. This balance is an expression of the
principle of proportionality, that is to say that the means used by member States should not be
more restrictive than necessary.11
Rodby Case 13 April 199412 - An Illustration of Application of Article 90(1) in Combination
with Article 86 : The Essential Facilities Principle
DSB is a public undertaking holding the exclusive right to organize rail transport in Denmark. It is
also the owner of the port of Rodby and is responsible for its management.
The Danish authorities refused to allow a competitor to build a private commercial port in the
immediate vicinity of the port of Rodby or to operate from the port of Rodby.
The Commission condemned this refusal under Artcles 90(1) and 86 after stating that an undertaking
that owns or manages and uses an essential facility itself, i.e. a facility or infrastructure without which
its competitors are unable to offer their services to customers, and refuses to grant them access to suchfacility on reasonable commercial terms, is abusing its dominant position.
The Commission also considered that the application of competition rules did not impede the
particular task entrusted to DSB, namely to organize rail services and manage the port facilities at
Rodby.
(c) Implementation of Article 90(1)
For the implementation of Article 90(1), Article 90(3) of the EC Treaty grants the
Commission power to adopt decisions and directives that are binding for member States.
* Decisions
When a member State infringes Article 90 (1) the Commission can, under Article 16913, bring
an action before the European Court of Justice for a judgement that the Member State has notcomplied with its obligations, or adopt a decision on the basis of Article 90(3) requiring the
Member State to put an end to the infringement.
This latter possibility is specific to infringements of Article 90(1). The decision is binding
and it is up to the State concerned to challenge it before the European Court of Justice if itconsiders that it is ill founded.
Most of problems are dealt with in an informal way between the Commission and the member
States (such an informal procedure has been carried out in relation to telecommunications,
transport and postal services).
11 See Commission notice of 11 September 1996 on services of general interest in Europe, OJ C 281,
26 September 1996
12 EC Com. Decision. n° 94/272, 13 April 1994, OJ L 117, 7 May 1994, p. 30
13 "If the Commission considers that a Member State has failed to fulfil an obligation under this Treaty,
it shall deliver a reasoned opinion on the matter after giving the state concerned the opportunity to submit its
observations. If the state concerned does not comply with the opinion within the period laid down by the
Commission, the latter may bring the matter before the Court of Justice."WT/WGTCP/W/78
Page 9
Brussels-National Airport (14)
The Commission adopted a decision under Article 90(3) concerning the system of discounts on
landing fees charged at Brussels-National Airport under the Royal Decree of 22 December 1989.
British Midland, the airline which lodged the complaint, considered that the system enabled the airlineSabena, its main competitor on the Brussels-London route, to benefit from a discount of 18% on its
landing fees while no other airlines qualified for a reduction.
After examining the complaint, the Commission co ncluded that the system constituted a State
measure within the meaning of Article 90(1), read in conjunction with Article 86, as it had the effect
of applying to the airlines dissimilar conditions for equivalent transactions connected with landing and
take-off and hence introducing distortions of compe tition. The Commission considered that such a
system could be justified solely by economies of scale achieved by the airport required operator. This
did not apply in the case in question. The Commission therefore requested the Belgian authorities to
put an end to the system.
* Directives
Article 90(3) also empowers the Commission to adopt directives. A directive is a provision
that is binding, as to the result to be achieved, upon each Member State to which it is
addressed, but the choice of form and methods is left to the national authorities of the member
States.
The Commission has adopted directives in the telecommunications sector. This policy of
liberalization in the European Union also contributed to the general trend towards
liberalization of telecommunications around the world and to the adoption of the WTO
telecommunication agreement of 15 February 1997.
Telecommunications
On 1 January 1998, the telecommunications market was opened to competition in the European
Union. This liberalization has been achieved through the use of two sets of legal instruments : an
Article 90(3) Commission Directive concerning the introduction of full competition into thetelecommunications market
15 and various Council directives based on Article 100A of the EC Treaty16
with a view to harmonising the rules for interconnection17, licensing18, etc. The package thus
demonstrates the need for competition policy to develop in close co-operation with the more general
aspects of Community telecommunications policy.
I.3(ii) European Single Market Policy
In order to foster economic integration, the European Union has developed a framework forconvergence and mutual recognition of law (information and labelling of goods, technical
specification, etc.) and procedure. As a result, for instance, goods legally marketed in theterritory of a Member State can move across the European Union without facing further
14 Brussels - National Airport, OJ L 216, 12 September 1995. An application for annulment of the
decision brought by Belgium is still pending before the Court of Justice (Case C-291/95)
15 Directive 96/19 EC of 13 March 1996, OJ L 74, 22 Marsh 1996, p. 13
16 Article 100A serves as the legal base for the adoption of Community legislation for the completion
of the internal market programme
17 Directive 97/33 EC of 30 June 1997, OJ L 199, 26 July 1997, p. 32
18 Directive 97/13 EC of 10 April 1997, OJ L 117, 7 May 1997, p. 15WT/WGTCP/W/78
Page 10
formalities or duplicate requirements. Exceptions to these principles are confined to a list of
mandatory requirements of general interest (public health, safety, consumer protection,
environment, etc.) and are subject to strict conditions (for example, proportionality). A
notification procedure has also been set up by the European Commission to make sure that
national regulatory measures are in line with the requirements of the single market.Individuals and companies may, under certain circumstances, claim damages before national
courts whenever a Member State has not complied with its obligations.
The following are some examples of how the single-market policy, which is based on the
provisions of the Treaty, has been applied in different sectors:
In the foodstuffs sector, the Commission has condemned in many cases national procedures
which provide that a product may be sold only if authorization has been obtained in advance.
Such procedures are sometimes designed to regulate the composition of foodstuffs and, in
particular, the presence of food supplements (nutrients, vitamins) or additives.
Other obstacles have been condemned in the pharmaceutical sector, involving for instance
marketing authorization procedures. Such procedures are legitimate where they aim to check,
for example, that a product is not harmful. It is the responsibility of member States to take all
necessary measures to protect public health. However, those measures should not constitute
an indirect means of protecting domestic markets. The Commission therefore examines very
carefully whether they are in fact necessary and proportionate to the aim in view.
The European authorities are also concerned about inappropriate use of standards. They make
sure that they are not used as a means to foreclose a market or to reinforce a dominant
position.
The single market policy is a key element for free trade and competition within the European
Union. Third countries also benefit from the European Union provisions. For instance, goods
imported by any Member State from a third country can freely move across the European
Union.
II. THE IMPACT OF TRADE POLICY ON COMPETITION
II.1 The Relationship Between Trade Liberalization and Competition Law and Policy
Competition in a market can be affected by a wide-array of trade policy measures. Of
particular concern are high tariffs, quantitative restrictions, domestic regulations designed so
as to favour domestic over imported products, restrictions of market access by state trading
enterprises, discrimination in public procurement or cases in which trade policy remedies are
not applied in accordance with multilateral rules. A high level of external protection, which
effectively insulates domestic markets from foreign competition, can contribute to a high
degree of concentration in the domestic market and facilitate cartel-type arrangements amongdomestic firms or abuses of a dominant position. Certain types of trade policy interventions,
in particular when foreign exporters benefit from quota rents, can also foster tacit or explicit
collusion among domestic and foreign firms. The impact on competition of trade policy
measures is likely to be harmful in the case of long-standing trade restrictions – such as high
tariffs or quotas – in particular if there is a lack of clear commitment to their progressivereduction or elimination.WT/WGTCP/W/78
Page 11
It can be seen from the above that the WT O/GATT system, through successive rounds of
trade negotiations to reduce obstacles to trade and the establishment of clear and enforceable
disciplines on different types of trade policy measures, has made an important contribution to
enhancing competition and ensuring the contestability of markets. While the implementation
of existing commitments is essential, it is clear that the momentum of trade liberalizationneeds to be sustained. It is for this reason that the EU is a strong advocate of the need to
launch, at the 1999 WTO Ministerial, a new round of comprehensive trade negotiations. The
work of this Group on the interaction between trade and competition policy has to be seen
within this broader framework.
In this connection, a key point to bear in mind is that, while the reduction of tariff and non-
tariff obstacles to trade and clear disciplines on trade policy measures makes a vitalcontribution to promoting a competitive environment, a policy of active competition law
enforcement remains essential to ensure effect ive competition and access to a market on the
basis of equality of competitive opportunities.
A key issue for this Working Group is to consider how existing WTO disciplines on
government measures could be effectively complemented by a commitment by governments
to adopt and enforce competition law disciplines in order to more effectively address anti-
competitive practices with a significant impact on trade and investment. The recently adopted
"Kodak-Fuji" panel has made it clear that WTO rules can apply to a wide range of
government measures, including non-binding meas ures or measures taken by private actors
when there is a sufficient degree of government involvement. The trade impact of an anti-
competitive practice with a market foreclosure effect does not depend, however, upon the
degree of government intervention. Indeed, it would be paradoxical if certain practices could
be actionable under the WTO, because of a certain degree of government involvement; while
the same or more restrictive practices would fall totally outside the scope of WTO disciplinesif a government had chosen not to intervene because of the lack of a competition law or
because the practice is not considered as an enforcement priority. It would also be clearly
undesirable if such issues were to be addressed on the basis of general non-violation standards
and in the absence of a common understanding among WTO Members about the type of
competition law disciplines which should be applicable. A multilateral approach could be
based on a commitment by WTO Members to adopt domestic competition regimes, based on
agreed common principles relating both to substantive law and its enforcement and throughinstruments of international co-operation to tackle anti-competitive practices with a
significant international dimension. Such an approach would reinforce the multilateral
trading system and help to address differences among Members concerning the impact of
anti-competitive practices on international trade. It should complement and support efforts to
reinforce bilateral co-operation among competition authorities and include appropriateflexibility and support for developing countries.
II.2 The Relationship Between Trade Policy Measures and Competition
The purpose of this section of the submission is to present an overview of the relationships
between competition and different types of trade policy interventions. An analysis of the
relationship between trade policy measures and competition would need to take into account
the nature and purpose of different types of trade policy measures. In this regard, this
document is based on the following typology of trade policy measures: (a) Border Measures
(tariffs and quantitative restrictions); (b) Internal Regulations (technical regulation, publicprocurement, subsidies); (c) Safeguard Measures; and (d) Measures to Counter UnfairWT/WGTCP/W/78
Page 12
Trading Practices (antidumping and countervailing duties).19 In considering different trade
policy measures attention is also drawn to their relationship with competition law. Such
interactions are considered in the next section of this submission.
2.1 Tariffs and Quantitative Restrictions
Both tariffs and quantitative restriction normally result in higher domestic prices and affect
the structure of competition in a market. If the domestic market is concentrated, a
quantitative restriction may have a more restrictive effect than its tariff equivalent since
increased imports may not constrain price increases from domestic producers. In addition,
there is a higher risk of collusion as foreign producers may benefit from the allocation of
quota rents. Apart from such differences, the key determinant for the effect of tariffs and
quantitative restrictions on competition is the level of external protection provided and the
extent to which there is a clear commitment to the reduction or elimination of such border
measures.
The WTO contains a clear prohibition on the application of quantitative restrictions, which
may only be applied in clearly defined circumstances, and has greatly contributed to the
reduction of tariffs through successive rounds of trade negotiations. Still, it should be noted
that many countries still maintain a high level of tariff protection in many different sectors.
Moreover, some countries have not bound their tariffs in some sectors or have only
undertaken ceiling bindings at levels which are much higher that applied rates. This impliesthat tariffs may be substantially raised without being subject to WTO constraints. Even in the
absence of an actual tariff increase, uncertainty about the level of external protection may
limit the pro-competitive impact of imports.
2.2 Internal Regulations
The WTO agreement on Technical Barriers to Trade has developed specific disciplines to
ensure that all technical regulations and standards, as well as conformity assessment
procedures, comply with key principles of transparency and non-discrimination, and that such
measures are not more trade restrictive than necessary to fulfil a legitimate policy objective.
Another important objective of the agreement is to promote the use of international standards.
Technical regulations and standards, as well as conformity assessment procedures, canimpose unnecessarily high compliance costs to foreign producers, thereby limiting
competition. WTO provisions play, therefore, an essential role in minimising the risk that
technical regulations and standards, which can be adopted for a number of legitimate policy
objectives, are used as an instrument of protection and limiting competition from foreign
suppliers. The TBT Committee has established a work-programme aimed at improvingtransparency of national regimes and at clarifying various TBTA provisions.
Anti-competitive practices by private bodies involved in the setting of standards and
conformity assessment procedures are a matter of particular concern and active enforcement
policy by competition authorities. For instance, a number of competition law cases in the EC
19 The WTO framework as regards state-trading has already been discussed in part I of this submission
and will not be repeated here. It should be noted that several of the general trade policy interventions discussedin this section may also have a particular incidence in relation to state enterprises. As regards internalregulations, this section focuses on those types of internal measures which are subject to specific WTOdisciplines in the field of trade in goods. Countervailing duty provisions under the WTO are not specificallydiscussed although similar considerations apply as in the case of antidumping. Measures taken in connection
with investment and intellectual property protection are not covered, since such issues can be discussed in the
September meeting of the Working Group.WT/WGTCP/W/78
Page 13
and its member States, as well as in other jurisdictions, have condemned activities by private
certification bodies through which domestic firms excluded foreign competitors from the
market. Similar problems have arisen regarding access to third country markets. The
disciplines of the TBT agreement also cover th e activities of private standardizing bodies and
include a Code of good practice for the preparation, adoption and application of standardsopen for acceptance by such bodies. The TBT Committee is currently reviewing the reasons
why many standardising bodies have not accepted the code. There appears, therefore, to be
scope for enhancing the complementarity between current WTO disciplines on technical
regulations and standards and competition law disciplines: (a) competition law would not
normally apply to regulation and standards established by public authorities; thus the
importance of effective WTO disciplines in this field and of the review being undertaken by
the TBT Committee; (b) equally effective disciplines should apply in relation to the activitiesof private standardising bodies. This is already recognized in the TBT Agreement and is also
being addressed in the TBT review; and (c) in addition, there appears to be scope for
complementing current discip lines with a commitment by governments to apply competition
law in relation to anti-competitive practices by standardising or certification bodies which
foreclose access to a market.
Government Procurement is currently exempted from the application of the GATT national
treatment principle and from the coverage of basic GATS disciplines, although in the latter
case multilateral negotiations are envisaged. At the Singapore Ministerial, a Working Group
was set up to discuss transparency in Government procurement with a view to developingelements for inclusion in an appropriate agreem ent. This situation implies that at present,
except for those WTO Members which are parties to the plurilateral Government
Procurement Agreement, a very significant mark et is not subject to effective competition by
imported products. The acceptance by WTO Members of disciplines on government
procurement would clearly have a beneficial impact on both trade and competition. Thus theimportance of the current WTO Work Programme in this regard.
Apart from this structural impact on competition, competition authorities have often been
concerned with anti-competitive practices which can develop in connection with tendering
procedures. Such practices can include, for instance, "bid rigging" or attempts by a dominant
firm to discredit products which are not in conformity with specific standards. A further issue
of concern from a trade and competition perspective is the purchasing policy of utilities which
enjoy a monopoly or a position of market power . The Government Procurement Agreement
includes a number of commitments relating to purchases by public enterprises in a number of
utility sectors. It is interesting to note that the Community regime on procurement by entities
operating in the water, energy, transport and telecommunication sectors also applies to private
enterprises which operate on the basis of special or exclusive rights, except for those activities
which are directly exposed to competition.
Government Subsidies can significantly distort competition both in domestic and foreign
markets. In certain cases, subsidies can be a legitimate instrument of government policy. The
WTO Subsidies Agreement has therefore established a comprehensive set of disciplines
which cover different types of subsidies (prohibited, actionable, non-actionable) and provides
specific remedies either in the form of recourse to WTO dispute settlement or through theapplication of countervailing duties. The Agreement includes a number of exceptions and
transitional provisions for developing countries. Effective disciplines on trade-distorting
subsidies are an essential component of the multilateral trading system. In recent years, many
countries have reviewed their policies with a view to limiting the use of subsidies as an
instrument of economic policy.WT/WGTCP/W/78
Page 14
Under most competition law regimes, subsidies are not subject to the jurisdiction of
competition authorities. In the case of the Community, however, specific competition law
disciplines apply to state-aid granted by the member States. Important features of the EC
state-aid disciplines are the following: (a) new state aids are illegal unless notified to and
approved by the Commission; (b) in the case of illegal aids, the Commission requires theState to recover the aid already granted; and (c) the requirement that member States notify
and obtain approval of state aid before granting it can be enforced before the national courts.
As a result of such a strict regime, countervailing duties may not be applied in intra-
Community trade.
2.3 Safeguards
From its inception, the GATT system has recognized the possibility for countries to adopt
temporary safeguard measures. A key concern has, however, been to ensure that such
measures were subject to clear multilateral disciplines. Such disciplines were substantially
reinforced through the conclusion in the Uruguay Round of the Safeguards Agreement. The
Community has repeatedly stressed, within the framework of the Safeguards Committee and
where necessary, through dispute settlement proceedings, the importance that it attaches tostrict compliance with the multilateral criteria for safeguard action. It is important to note that
safeguard measures are clearly intended as time-limited restrictions aimed at preventing or
remedying serious injury and facilitating adjustment. The preamble of the Safeguards
Agreement recognizes the need to enhance ra ther than limit competition in international
markets. Safeguard action should therefore clearly be exceptional in nature.
Of particular importance for the work of this Group is the prohibition in Article 11 of the
Safeguards Agreement of "voluntary export restraints, orderly marketing arrangements or any
other similar measures on the export or the import side". Such measures had been of
particular concern from both a trade and competition policy perspective because of their lack
of transparency and the incentives for domestic and foreign producers to enter into cartel typearrangements. It is significant in this respect that, under Article 11.3 of the Safeguards
Agreement, Members should not encourage or support equivalent measures adopted or
maintained by public and private enterprises.
The scope of the Safeguards Agreement would not, however, in principle, cover arrangements
to restrict imports or exports entered into by private or public enterprises in the absence of
government involvement. Such arrangements would, however, fall foul of competition law
disciplines. The Safeguards Agreement, therefore, clearly illustrates the interest ofcomplementing current WTO rules with a mu ltilateral competition law framework. A
commitment by WTO Members to treat "hard core" cartels as a serious breach of competition
law would significantly reinforce the prohibition of "grey-area mesures" and help to address a
potential loophole in current safeguard disciplines.
2.4 Measures to counter unfair trading practices
Antidumping and countervailing duty law aim at removing the trade-distorting effects of
dumped or subsidized imports and to restore effective competition in the market when injury
is being caused to a domestic industry.
Article VI of the GATT recognizes the right of WTO Members to apply antidumping duties
when a product is introduced into the commerce of another country at less than its normal
value and provided that material injury to a domestic industry can be established as a result of
such dumping. The specific conditions for the implementation of Article VI have been
developed in great detail in the Uruguay Round Antidumping Agreement, and suchWT/WGTCP/W/78
Page 15
disciplines are subject to monitoring in the Antidumping Committee. It may be useful,
however, to discuss in broad terms the relationships between antidumping and competition
law.
Antidumping law and competition law apply in different economic, legal and institutional
contexts. Competition law prohibits and subjects to strict penalties certain forms of pricingbehaviour by firms. While competition law applies in principle within the context of an
integrated market, Antidumping law applies in an economic setting which is still
characterized by border measures and other regulatory obstacles and distortions of trade.
That is to say, it applies to pricing practices between markets, rather than within them. To this
basic economic difference should be added the different legal and institutional setting under
which competition law applies. The effective application of competition law requires the
establishment of a competition authority with comprehensive powers of investigation andenforcement and a uniform interpretation of the law by a judicial body or common arbitrator.
The development of a multilateral framework of competition rules would clearly not envisage
attributing such powers to an international body.
At the multilateral level, competition law cannot therefore be seen as a substitute for
antidumping law; nor can the concepts developed under one legal framework be simplytransposed to the other. Concerns about possible incorrect application of the antidumping
instrument can best be addressed through a strict implementation of the disciplines of the
Uruguay Round Agreement. It can be expected, however, that in so far as countries apply a
stricter policy of competition law enforcement, and further progress is made in the integration
of markets, the need to have recourse to antidumping action would be reduced over time.
The experience of the Community illustrates the point that antidumping action loses its
raison d’être within the context of a fully integrated market.
20 This has implied not only the
elimination of all border measures, but also conditions to ensure full freedom of movement
for goods, services, investment and labour. At the same time, EC competition law is applied
effectively by an authority with autonomous powers of enforcement and investigation and
there is a judicial authority to ensure the uniform interpretation of the common competition
rules. Of course, each regional economic integration agreement has to reach its own
decisions as to the degree of market integration envisaged and the scope for common
competition law structures. In this context, consideration can be given to the issue of whether
or not antidumping action is compatible with the degree of integration achieved. The
Community experience is one amongst others and it would seem to be neither realistic nor
desirable to envisage a single model of general application.
It should be noted that WTO Members are encouraged to implement the WTO Anti-dumping
Agreement in a manner which does most to minimize competition concerns. Article 9.1 of the
Antidumping Agreement indicates that "it is desirable that the imposition (of anti-dumping
duties) be permissive in the territory of all Members, and that the duty be less than the margin
(of dumping) if such lesser duty would be ad equate to remove the injury to the domestic
industry". Under Community Antidumping la w, antidumping duties do not exceed the
minimum required to eliminate the injurious effects of dumping and, before any such measure
is imposed, consideration has to be given to whether such measures are in the Community
interest. In this regard attention is given to consumer concerns, the structure of competition
and restoring effective competition in the market.
20 The same principle applies to the European Econ omic Area, except for sectors falling outside the
scope of the market integration agreements.WT/WGTCP/W/78
Page 16
II.3 The Interaction Between Trade Policy Measures and Competition Law
An issue of particular interest for the Working Group is the interaction between trade policy
measures and the application of competition law. Trade policy measures, like other forms of
government action, are not subject to competition law. However, when considering and applying
these measures competition concerns should be duly taken into consideration. At the same time, the
application of trade policy measures in no way exempts firms from competition law disciplines. This
interaction is better understood by referring to different circumstances in which trade policy measures
may be relevant from a competition policy perspective:
(a) A trade restrictive agreement among domestic and foreign producers would be fully
subject to competition law disciplines, ev en if such an agreement may have been
entered into as an alternative to or in order to avoid the possible application of tradepolicy measures. The enforcement of competition law in such cases is of particular
importance, since it limits the risk that domestic producers may use the threat of
initiating action under domestic trade remedies law, or otherwise lobby for protection,
in order to induce foreign exporters to enter into restrictive agreements. It also
ensures that trade policy measures may only be taken by public authorities inaccordance with domestic procedures and in conformity with WTO obligations.
(b) Competition law is fully applicable if, following the adoption of a trade policy
measure, domestic and/or foreign producers engage in anti-competitive practices,
which further restrict trade or have a negative impact on consumer welfare. Thiswould include both agreements and concerted practices among competitors, whether
domestic or foreign, as well as possible abuses of a dominant position. The
application of competition law, under such circumstances, is an important guarantee
to limit the risk that trade policy measures foster an anti-competitive structure in the
market or result in non-transparent and permanent restraints on trade flows.
(c) The presence of trade policy measures – as well as other forms of government
intervention – is a factor taken into account in competition analysis, in particular for
the definition of the relevant market. Competition authorities will define such a
market in national terms if actual or potential import competition is limited as a result
of trade measures or other regulatory obstacles. Since this would make it easier to
establish the existence of a dominant position in the market, there is a greater risk fordomestic firms of being subject to competition law remedies or of a merger being
prohibited by competition authorities. Regulatory obstacles can also result in a more
narrow product definition of the market or enhance the restrictive effects of an
agreement among firms, such as certain types of vertical restraints (for instance, when
government regulation makes it more difficult to set up alternative distributionoutlets).
(d) Apart from those instances in which competition law applies, competition authorities
can also play a role in the trade policy field through competition advocacy. Such
advocacy can take different forms and its specific modalities depend on the domesticlegal and institutional framework. In some instances, competition authorities can
play a general advocacy role in support of an overall open trade policy stance by
highlighting the benefits of such liberalization for consumer welfare and enhancing
the structure of competition in the market. Competition authorities may be directly
involved in trade liberalization and deregulation initiatives, in particular whencomplementary competition law disciplines are seen as essential to ensure that the
benefits of such liberalization are not negated through anti-competitive practices
undertaken by dominant firms. Competition authorities may also be consulted when,WT/WGTCP/W/78
Page 17
within the framework of the application of trade remedies law, issues arise
concerning the structure of competition in the market.
A number of examples can illustrate the interaction between trade policy measures and the
application of competition law:
The Aluminium case :21 In this Decision, the European Commission condemned an agreement by
which the main western aluminium producers agreed to buy certain limited quantities of aluminium
from foreign trade organization of East European countries in exchange for their commitment not to
sell to other potential buyers in the Western European market. One of the arguments put forward as a
defence by the parties to the anti-competitive agreement was that the restriction was justified since
aluminium sales from the foreign trade organizations would have been at dumping prices. The
argument was dismissed by the Commission, which stat ed in its decision: "This argument assumes
that private parties may arrogate to themselves public functions. It obscures a clear difference
between the regulation of trade by a public authority and regulation by cartels. A public authority
must take into account the rights and interests of third parties as well as a general public interest. A
cartel is habitually for the benefit of the participants and takes no account of the other two concerns".
The Soda Ash case:22 The Commission condemned as an abuse of a dominant position a policy of
progressive fidelity rebates and supply contracts tying up its major customers undertaken by Solvay,
the dominant producer of Soda Ash in part of the Community market. Several aspects of this case are
of interest. At the time of the investigation, antidumping duties were in force on US and Eastern
European producers. At the same time, the Commission Decision notes that, as a result of changes in
exchange parities, Solvay was well aware that US producers could sell in Europe at prices
substantially below average EC prices without being guilty of dumping and that the duties were under
review. In establishing that Solvay had a dominant position in the market, the application of
antidumping duties was one of the factors taken into account by the Commission. Moreover, the
Commission found that the effect of the system of progressive rebates applied by Solvay was to make
it difficult or impossible for other suppliers to enter the market for the marginal tonnage without
selling at unprofitable or dumping prices. The Commission issued a termination order requiring
Solvay to abandon its system of fidelity rebates and applied a fine of ECU 20 million.
Competition law can therefore play an important role in limiting the risk that private restraints
are either substituted for trade policy measures or developed under the cover of such measures. An
issue that could be considered under a multilatera l framework of competition rules would be how to
promote a strict enforcement of competition law in such circumstances. Moreover, such a multilateral
framework should also contribute towards closer cooperation between trade and competitionauthorities, which is an important condition for the effectiveness of their advocacy role.
III. SUMMARY AND CONCLUSIONS
This submission should be seen together with previous submissions by the EC and its member
States, where the case has been presented for the development of a multilateral framework of
competition rules within WTO as a complement to current WTO disciplines. In this submission, we
draw particular attention to the following issues:
21 Commission Decision of 19 December 1984, OJ 1985 L/92/1.
22 Commission Decision of 19 December 1990, OJ 1991 L/152/21.WT/WGTCP/W/78
Page 18
− In order to ensure effective access to markets including in those sectors which are subject to
widespread government regulations and/or where enterprises have been granted special orexclusive rights, it is generally recognized that trade liberalization needs to be complemented
by the application of competition law disciplines.
− As regards government regulation, the interaction between trade and competition policy
would, in particular, arise when the government requires, facilitates or supports anti-
competitive practices by firms with a market foreclosure effect. While WTO jurisprudence in
this regard is still evolving, it would appear , in principle, that such forms of government
intervention are subject to WTO disciplines. An issue for consideration is how a competition
law framework could back up and complement such disciplines.
− Certain activities by enterprises in a dominant position can hinder market access. Concerning
certain enterprises with monopoly or exclusive rights, specific disciplines have beendeveloped within the WTO. As regards state-trading, the contribution of this Group could
focus on clarifying how commitments by governments to apply competition law disciplines
could complement the current framework of rules applying to monopolies and firms with
exclusive rights. Another issue for consideration is the commitments which governments
could undertake as regards the application of competition law to anti-competitive practices
with a market foreclosure effect by other firms in a dominant position or as a result of anti-competitive agreements.
− In order to achieve its market integration objectives, the European Union has developed a
unique framework in which competition law disciplines also apply, under certain conditions,to measures taken by the member States. This framework may be of interest to other WTO
Members engaged in a process of regional inte gration. It is not suggested, however that a
similar framework could be applied at the multila teral level. In considering the interaction
between trade and competition policy, the following issues could require specific attention:
(a) the application of competition law on the same basis to private and public undertakings;
(b) consideration of the scope for reducing or eliminating sectoral derogations to the
application of competition law; and (c) clarifying that government intervention does notjustify broad derogations from the competition la w disciplines applicable to firms. In this
context, it may also be useful to further clarify the relationship between WTO disciplines and
government action to foster and support anti-competitive practices.
− This submission has discussed how the impact of trade policy on competition encompasses a
wide range of trade policy measures. These include high tariffs, quantitative restrictions,
regulations favouring domestic products, restraints on market access by state trading
enterprises, discrimination in public procurement or cases in which trade policy remedies are
not applied in accordance with multilateral rules. WTO Members must ensure strict respectof WTO disciplines, further liberalize their trade regimes and endeavour to avoid or minimize
adverse effects on competition.
− Measures to counter unfair trading practices aim at restoring effective competition in a
market under the conditions provided in the relevant WTO Agreements. In the absence of full
market integration and common institutions fo r competition law enforcement, there is a
distinct and complementary role for competition law disciplines and specific trade remedies
to deal with unfair competition in intern ational trade. The Antidumping Agreement
encourages WTO Members to implement the Agreement in a manner that does most to
minimize competition concerns.WT/WGTCP/W/78
Page 19
− As regards trade policy measures, the interaction between trade and competition law would
arise in particular in those instances in which private restraints substitute for, or develop underthe cover of, trade policy measures. In further discussing the possible development of a
multilateral framework of competition rules, it could be useful to consider how such a
framework could contribute to a strict enforcement of competition law in such cases.
− Competition authorities also have a role to play in the trade policy field through competition
advocacy. The specific modalities for such advocacy depend on the domestic legal andinstitutional framework of each WTO Member. This Working Group has already contributed
to a closer dialogue between trade and competition authorities. It can be expected that such
dialogue and co-operation would be significantly enhanced through the development of a
multilateral framework on competition within the WTO.
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