WTO规则中英文教程第十章 保障措施
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第十章 WTO保障措施适用 规则
WTO Rules on Applying Safeguard Measures
一、概述
WTO《保障措施协定》(Agreement on Safeguards)[1]确定了WTO关于保障措施的适 用规则。《保障措施协定》的主要目标是规范 《GATT 1994》第19条“对某些产品进口的紧 急措施”的实施，加强对保障措施(safeguards or safeguard measures)的多边控制，消除逃避 此类控制的措施，推动而非限制国际市场上的 竞争。 [1] This Agreement consists of 14 articles and 1 annex.
（二）确定“严重损害”和“严重损害威胁”应考虑的主要 因素
在确定增加的进口是否对一国内产 业已经造成严重损害或正在威胁造成严 重损害的调查中，实施保障措施的职能 机关应评估与该产业状况有关的所有客 观和可量化的因素，特别是有关产品进 口绝对和相对增加率和增加量，增加的 进口占国内市场的份额以及销售水平、 产量、生产率、设备利用率、利润和亏 损及就业变化。
与WTO反倾销规则和反补贴规则中的“国内产业” 定义不同，WTO《保障措施协定》下的“国内产 业”明确包括生产与进口产品直接竞争产品的国内 生产商。该协定第4.1(c)条规定：
Domestic industry shall be understood to mean the producers as a whole of the like or directly competitive products operating within the territory of a Member, or those whose collective output of the like or directly competitive products constitutes a major proportion of the total domestic production of those products.
对于源自一个发展中国家成员的 产品，只要其有关产品的进口在 进口成员中所占份额不超过3%， 即不应对该产品实施保障措施。 但是进口份额不超过3%的多个发 展中国家成员份额总计不应超过 有关产品总进口的9%，否则仍要 对这些成员适用保障措施。
A developing country Member may extend the period of
been previously applied, provided that the period of non-
application is at least two years.
一个发展中国家成员可将一保障措施的实施期在 前述8年期限基础上再延长2年，也可对已经受在 《WTO协定》生效之日后采取的保障措施约束的产品 的进口，在等于以往实施该措施期限一半的期限后， 再次实施保障措施，但两次保障措施之间时间间隔至 少为2年。
product if (a) at least one year has elapsed since the
date of introduction of a safeguard measure on the
import of that product; and (b) such a safeguard
measure has not been applied on the same product
more than twice in the five-year period
immediately preceding the date of introduction of
the measure.
实施期等于或少于180天的保障措施仍可再适用于 一产品的进口，若(1)自上一次对该产品的进口适 用保障措施之日起已至少过了1年；且(2)自上一次 适用该保障措施之日前的5年期间内，该措施未对 同一产品实施2次以上。
二、宗旨
A WTO member may take a “safeguard” action (i.e., restrict imports of a product temporarily) to protect a specific domestic industry from an increase in imports of any product which is causing, or which is threatening to cause, serious injury to the industry.
六、保障措施的实施期限
A safeguard measure should not last more than four years, although this can be extended up to eight years, subject to a determination by competent national authorities that the measure is needed and that there is evidence the industry is adjusting. Measures imposed for more than a year must be progressively liberalized.
可见，在WTO《保障措施协定》中， “公共利益”也是决定是否实施保 障措施的一个因素。在WTO《反倾 销协定》或《补贴与反补贴协定》 中并无此明确规定。
Threat of serious injury means serious injury that is clearly imminent, which is determined based on facts and not merely on allegation, conjecture or remote possibility. “严重损害威胁”是指明显的迫近的严重损害。 对存在严重损害威胁的认定应根据有关的事实， 而非仅凭指控、推测或存在极小的可能性.
The WTO Safeguards Agreement broke new ground in prohibiting “grey area” measures and setting time limits (“sunset clause”) on all safeguard actions.
四、保障措施中的“国内产业”定义
根据WTO《保障措施协定》第7.1 条和第7.3条，在正常情况下，保 障措施的适用期限不超过4年。一 种保障措施的全部实施期，包括 临时措施的实施期、最初实施期 及其任何延长，不得超过8年。
A safeguard measure with a duration of 180 days
or less may be applied again to the import of a
小结
WTO《保障措施协定》第4条所定义的上 述“严重损害”和“严重损害威胁”与 WTO反倾销、反补贴规则中定义的“实质 性损害”（material injury）和“实质性 损害威胁”(a threat of material injury)除 造成损害的原因不同外，其决定损害的 因素并无实质性的差别。
七、对发展中国家成员的特殊规定
To some extent developing countries’ exports are shielded from safeguard actions. An importing country can only apply a safeguard measure to a product from a developing country if the developing country is supplying more than 3% of the imports of that product, or if developing country members with less than 3% import share collectively account for more than 9% of total imports of the product concerned.
has been subject to such a measure, taken after the date of
entry into force of the WTO Agreement, after a period of
time equal to half that during which such a measure has
“国内产业”应理解为在一成员 领土内进行业务活动的相同产品 或直接竞争产品的所有生产商， 或指那些生产的相同产品或直接 竞争产品的累积产量占该产品国 内总产量大部分的生产商。
五、“严重损害”和“严重损害威胁”的 定义
（一）定义
Serious injury means a significant overall impairment in the position of a domestic industry; “严重损害”是指对一国内产业状况的重大全面 的损伤；
application of a safeguard meawenku.baidu.comure for a period of up to
two years beyond the maximum period, and may apply a
safeguard measure again to the import of a product which
八、适用保障措施的主要程序
（一）保障措施调查
This investigation includes reasonable public notice to all interested parties and public hearings or other appropriate means in which importers, exporters and other interested parties could present evidence and their views, including the opportunity to respond to the presentations of other parties and to submit their views, inter alia, as to whether or not the application of a safeguard measure would be in the public interest.
保障措施调查包括对所有利益相关方发出必要的公告， 举行公开听证会或其他合适的方式。进口商、出口商和 其他利害关系方可藉此提出证据和意见，特别是关于保 障措施的实施是否符合公共利益的意见。
Transparency and Public Interest
The emphasis is on transparency and on established rules and practices — avoiding arbitrary methods. The authorities conducting investigations have to announce publicly when hearings are to take place and provide other appropriate means for interested parties to present evidence. The evidence must include arguments on whether a measure is in the public interest.
WTO Rules on Applying Safeguard Measures
一、概述
WTO《保障措施协定》(Agreement on Safeguards)[1]确定了WTO关于保障措施的适 用规则。《保障措施协定》的主要目标是规范 《GATT 1994》第19条“对某些产品进口的紧 急措施”的实施，加强对保障措施(safeguards or safeguard measures)的多边控制，消除逃避 此类控制的措施，推动而非限制国际市场上的 竞争。 [1] This Agreement consists of 14 articles and 1 annex.
（二）确定“严重损害”和“严重损害威胁”应考虑的主要 因素
在确定增加的进口是否对一国内产 业已经造成严重损害或正在威胁造成严 重损害的调查中，实施保障措施的职能 机关应评估与该产业状况有关的所有客 观和可量化的因素，特别是有关产品进 口绝对和相对增加率和增加量，增加的 进口占国内市场的份额以及销售水平、 产量、生产率、设备利用率、利润和亏 损及就业变化。
与WTO反倾销规则和反补贴规则中的“国内产业” 定义不同，WTO《保障措施协定》下的“国内产 业”明确包括生产与进口产品直接竞争产品的国内 生产商。该协定第4.1(c)条规定：
Domestic industry shall be understood to mean the producers as a whole of the like or directly competitive products operating within the territory of a Member, or those whose collective output of the like or directly competitive products constitutes a major proportion of the total domestic production of those products.
对于源自一个发展中国家成员的 产品，只要其有关产品的进口在 进口成员中所占份额不超过3%， 即不应对该产品实施保障措施。 但是进口份额不超过3%的多个发 展中国家成员份额总计不应超过 有关产品总进口的9%，否则仍要 对这些成员适用保障措施。
A developing country Member may extend the period of
been previously applied, provided that the period of non-
application is at least two years.
一个发展中国家成员可将一保障措施的实施期在 前述8年期限基础上再延长2年，也可对已经受在 《WTO协定》生效之日后采取的保障措施约束的产品 的进口，在等于以往实施该措施期限一半的期限后， 再次实施保障措施，但两次保障措施之间时间间隔至 少为2年。
product if (a) at least one year has elapsed since the
date of introduction of a safeguard measure on the
import of that product; and (b) such a safeguard
measure has not been applied on the same product
more than twice in the five-year period
immediately preceding the date of introduction of
the measure.
实施期等于或少于180天的保障措施仍可再适用于 一产品的进口，若(1)自上一次对该产品的进口适 用保障措施之日起已至少过了1年；且(2)自上一次 适用该保障措施之日前的5年期间内，该措施未对 同一产品实施2次以上。
二、宗旨
A WTO member may take a “safeguard” action (i.e., restrict imports of a product temporarily) to protect a specific domestic industry from an increase in imports of any product which is causing, or which is threatening to cause, serious injury to the industry.
六、保障措施的实施期限
A safeguard measure should not last more than four years, although this can be extended up to eight years, subject to a determination by competent national authorities that the measure is needed and that there is evidence the industry is adjusting. Measures imposed for more than a year must be progressively liberalized.
可见，在WTO《保障措施协定》中， “公共利益”也是决定是否实施保 障措施的一个因素。在WTO《反倾 销协定》或《补贴与反补贴协定》 中并无此明确规定。
Threat of serious injury means serious injury that is clearly imminent, which is determined based on facts and not merely on allegation, conjecture or remote possibility. “严重损害威胁”是指明显的迫近的严重损害。 对存在严重损害威胁的认定应根据有关的事实， 而非仅凭指控、推测或存在极小的可能性.
The WTO Safeguards Agreement broke new ground in prohibiting “grey area” measures and setting time limits (“sunset clause”) on all safeguard actions.
四、保障措施中的“国内产业”定义
根据WTO《保障措施协定》第7.1 条和第7.3条，在正常情况下，保 障措施的适用期限不超过4年。一 种保障措施的全部实施期，包括 临时措施的实施期、最初实施期 及其任何延长，不得超过8年。
A safeguard measure with a duration of 180 days
or less may be applied again to the import of a
小结
WTO《保障措施协定》第4条所定义的上 述“严重损害”和“严重损害威胁”与 WTO反倾销、反补贴规则中定义的“实质 性损害”（material injury）和“实质性 损害威胁”(a threat of material injury)除 造成损害的原因不同外，其决定损害的 因素并无实质性的差别。
七、对发展中国家成员的特殊规定
To some extent developing countries’ exports are shielded from safeguard actions. An importing country can only apply a safeguard measure to a product from a developing country if the developing country is supplying more than 3% of the imports of that product, or if developing country members with less than 3% import share collectively account for more than 9% of total imports of the product concerned.
has been subject to such a measure, taken after the date of
entry into force of the WTO Agreement, after a period of
time equal to half that during which such a measure has
“国内产业”应理解为在一成员 领土内进行业务活动的相同产品 或直接竞争产品的所有生产商， 或指那些生产的相同产品或直接 竞争产品的累积产量占该产品国 内总产量大部分的生产商。
五、“严重损害”和“严重损害威胁”的 定义
（一）定义
Serious injury means a significant overall impairment in the position of a domestic industry; “严重损害”是指对一国内产业状况的重大全面 的损伤；
application of a safeguard meawenku.baidu.comure for a period of up to
two years beyond the maximum period, and may apply a
safeguard measure again to the import of a product which
八、适用保障措施的主要程序
（一）保障措施调查
This investigation includes reasonable public notice to all interested parties and public hearings or other appropriate means in which importers, exporters and other interested parties could present evidence and their views, including the opportunity to respond to the presentations of other parties and to submit their views, inter alia, as to whether or not the application of a safeguard measure would be in the public interest.
保障措施调查包括对所有利益相关方发出必要的公告， 举行公开听证会或其他合适的方式。进口商、出口商和 其他利害关系方可藉此提出证据和意见，特别是关于保 障措施的实施是否符合公共利益的意见。
Transparency and Public Interest
The emphasis is on transparency and on established rules and practices — avoiding arbitrary methods. The authorities conducting investigations have to announce publicly when hearings are to take place and provide other appropriate means for interested parties to present evidence. The evidence must include arguments on whether a measure is in the public interest.