中国和技术性贸易壁垒协定外文翻译.docx

中国和技术性贸易壁垒协定外文翻译.docx

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中国和技术性贸易壁垒协定外文翻译

外文翻译

原文

ChinaandtheAgreementonTechnicalBarrierstoTrade

MaterialSource:

RIETIDiscussionPaperSeries02-E-008July2002

Author:

IchiroARAKI

Abstract

ChinabecameaMemberoftheWorldTradeOrganization（WTO）inDecember2001,aftermorethan15yearsofdifficultnegotiations.ThispaperreviewsthenegotiatinghistoryofChina’saccessionwithspecialemphasisontheAgreementonTechnicalBarrierstoTrade,whichdealswithstandardsandtechnicalregulationsaswellasconformityassessmentprocedures.BecauseoftheuniquedomesticsysteminChina,thenegotiationsregardingtheTBTAgreementposedspecialdifficultiesbothforChinaandtheexistingMembersoftheWTO.AcloseexaminationofthenegotiationprocessrevealsthatChina’snegotiatingpositionwasasophisticatedone,withfullunderstandingofthecuttingedgeofthedevelopingjurisprudenceintheWTO.

Keywords:

China,WorldTradeOrganization,AgreementonTechnicalBarrierstoTradeandIndustry

Theauthorpresentedanearlierversionofthispaperataconferenceentitled“ChinaandtheWTO”heldbytheAustralianNationalUniversityinMarch2001.ThispaperwillbepublishedaspartofavolumeresultingfromthatconferencebytheCambridgeUniversityPress（Cass,DeborahandBrettWilliams,eds.ChinaandtheWTO,forthcoming）.SpecialthanksareduetoBrettWilliams（UniversityofSydney）forhishelpfulcommentsandassistanceinupdatingtheinformation.

Introduction

TheAgreementonTechnicalBarrierstoTrade（TBTAgreement）setsoutrulestobeobservedbyWTOMembersintheiradministrationoftechnicalregulationsandstandards,aswellasconformityassessmentprocedures.

UndertheTBTAgreement,technicalregulationisdefinedasa“documentwhichlaysdownproductcharacteristicsortheirrelatedprocessesandproductionmethods,includingtheapplicableadministrativeprovisions,withwhichcomplianceismandatory”.TheAgreementfurthernotesthattechnicalregulations“mayalsoincludeordealexclusivelywithterminology,symbols,packaging,markingorlabellingrequirementsastheyapplytoaproduct,processorproductionmethod”.

TheTBTAgreementdefinesstandardasa“documentapprovedbyarecognizedbodythatprovides,forcommonandrepeateduse,rules,guidelinesorcharacteristicsforproductsorrelatedprocessesandproductionmethods,withwhichcomplianceisnotmandatory”.Asinthecaseoftechnicalregulations,theAgreementfurthernotesthatstandards“mayalsoincludeordealexclusivelywithterminology,symbols,packaging,markingorlabellingrequirementsastheyapplytoaproduct,processorproductionmethod”.

Conformityassessmentproceduresaredefinedas“anyprocedureused,directlyorindirectly,todeterminethatrelevantrequirementsintechnicalregulationsorstandardsarefulfilled”.TheAgreementfurthernotesthat“conformityassessmentproceduresinclude,interalia,proceduresforsampling,testingandinspection;evaluation,verificationandassuranceofconformity;registration,accreditationand

approvalaswellastheircombinations”.

Tradenegotiatorshavelongbeenawarethatnationalandlocalrulesgoverningtechnicalregulations,standardsandconformityassessmentprocedurescanbeused,intentionallyorunintentionally,astradebarriersagainstforeignproducts.ThisisthereasonwhytheoldAgreementonTechnicalBarrierstoTrade（StandardsCode）wasnegotiatedintheTokyoRound.

AttheconclusionoftheTokyoRound,theDirector-GeneraloftheGeneralAgreementonTariffsandTrade（GATT）observedasfollows,explainingtherationalebehindthenewlynegotiatedStandardsCode:

Technicalregulationsareessentialinmodernsociety.Theyareadoptedtoprotecthumanandanimallifeandhealth;toensurethatproductsofferedtotheconsumermeetthenecessarylevelsofquality,purity,technicalefficiencyandadequacytoperformthefunctionforwhichtheyareintended;toprotecttheenvironment;andforreasonsconnectedwithsafety;nationalsecurity;andthepreventionofdeceptivepractices.

However,internationaltradecanbecomplicatedandinhibitedbydisparitiesbetweenregulations,adoptedatlocal,State,nationalorregionallevels;byinsufficientinformationontheoftencomplexanddetailedrequirements;bytheintroductionofregulationswithoutallowingtimeforproducers,especiallyforeignones,toadjusttheirproduction;byfrequentchangestoregulationswhichcreateuncertainty;bythedrawingupofregulationsintermsofdesignratherthanperformanceinordertosuittheproductionmethodsofdomesticsuppliers,thuscausingdifficultiestosuppliersusingdifferenttechniques;byexactingtestingrequirements;bythedenialofaccesstocertificationsystems;andfinallybythemanipulationofregulations,testingorcertificationtodiscriminateagainstimports.Theproblemhasbeentostrikeabalancebetweentheessentialneedsreferredtointheprecedingparagraphandthedemandofexportersthattheirgoodsshouldnotunreasonablyorunfairlybeexcludedfromthemarket.

Thisexplanationisstillvalidtoday.TheseconsiderationswerealsothedrivingforcebehindthenewAgreementonTechnicalBarrierstoTrade,negotiatedintheUruguayRound.

ThenewTBTAgreementbuildsupontheoldStandardsCode,makingitamoreeffectivetoolforpreventingtechnicalregulations,standardsandconformityassessmentproceduresfrombeingusedasameansofarbitraryorunjustifiablediscriminationbetweencountrieswherethesameconditionsprevailoradisguisedrestrictiononinternationaltrade.

ThemostsignificantfeatureofthenewTBTAgreementisthatthenewdisputesettlementmechanismundertheDisputeSettlementUnderstandingwithenhancedautomaticityandstrongerenforcementisapplicabletoit.5OnemightquestionthenwhytherehasbeensofewdisputesinvolvingtechnicalbarrierstotradeadjudicatedundertheDSU.ThispresentsastarkcontrastwiththeAgreementontheApplicationofSanitaryandPhytosanitaryMeasures（SPSAgreement）.TheSPSAgreement,whichwasnewlynegotiatedintheUruguayRoundasacompaniontotheTBTAgreement,hasbeeninvokedinanumberofcontroversialdisputes,includingthefamousHormonescase.

ThisisnottosaythattherehasbeennocomplaintwheretheTBTAgreementwasformallyinvoked.StartingwiththeGasolinecase,theveryfirstcasetoreachtheAppellatestage,anumberofcomplainingpartiesallegedviolationsoftheTBTAgreementaspartoftheirclaims.However,todate,therehasbeennocasewhereadisputesettlementpanelfoundviolationoftheTBTAgreement.Inmanycases,partiesreachedamutuallyagreedsolutionbeforethepanelwasestablishedorevenwhenitwasestablished,beforeitmadeadefinitiverulingonTBTissues.Inothercases,panelsdeclinedtoruleonTBTissuesforthesakeofjudicialeconomy.

Mostrecently,CanadaallegedviolationoftheTBTAgreementinitscomplaintagainsttheEuropeanCommunitiesonasbestos.Again,thepanelavoidedarulingontheTBTAgreementarguingthatageneralbanonasbestoswasnota“technicalregulation”withinthemeaningoftheTBTAgreement.9Althoughthispartofthepanel’sfindingwasreversedbytheAppellateBody,whichfoundthatthemeasure,viewedasanintegratedwhole,constituteda“technicalregulation”undertheTBTAgreement,theAppellateBodydeclinedfromexaminingCanada’sspecificclaimsregardingtheviolationoftheTBTAgreementduetothelackofadequatefactualbasis.

However,thefactthattherehavebeennoviolationfindingsontheTBTAgreementdoesnotdiminishitsutility.AsThornandCarlsonargue,“themostimportantprovisionsoftheTBTAgreementarethoserelatingtoproceduralrequirements,andtheAgreement’sprincipal（notinsignificant）contributiontotheinternationaltradingsystemhasbeentopromotetransparencyandinformationexchange”.

TBTIssuesinChina

InviewofChina’slonghistoryofstatecontrolovereconomicactivities,itisnotsurprisingthatmanyforeigntradersdoingbusinessinChinahavecomplainedaboutthelackoftransparencyin,andthediscriminatorynatureof,China’stechnicalregulations,standardsandconformityassessmentsystems.

Forinstance,theUnitedStatesTradeRepresentativepointedoutanumberofTBTissuesastradebarriersofChinainthe2000NTEReport:

Itisoftendifficulttoascertainwhatinspectionrequirementsapplytoaparticularimport,asChina’sframeworkofimportstandardsisnotfullydeveloped.Moreover,theUnitedStatesandothercountrieshavecomplainedthatsafetyandinspectionproceduresappliedtoforeignproductsaremorerigorousthanthoseappliedtodomesticproducts.Foreignsuppliershavealsohaddifficultyinlearningexactlyhowandwhoconductsinspections.

InspectionStandards

Chineselawprovidesthatallgoodssubjecttoinspectionbylaworaccordingtothetermsofacontractmustbeinspectedpriortoimportation.Chinamaintainsstatutoryinspectionrequirementsknownas“conformityassessmentprocedures”onabout800importedgoods,andanevengreaternumberofexportedproducts.Chinesebuyersortheirpurchaseagentsmustregisterforinspectionofimportedgoodsattheportofentry.Thescopeofinspectionincludesquality,technicalspecifications,quantity,weight,packaging,andsafetyrequirements.

QualityLicenses

Formanufacturedgoods,ChinarequiresthataqualitylicensebeissuedbeforethegoodscanbeimportedintoChina.Obtainingqualitylicensesisatime-consumingprocess.Whilerequirementsvaryaccordingtotheproduct,U.S.exportershavecomplainedthattheyareburdensomeandcontrarytoprinciplesofnationaltreatment.

SafetyLicenses

Chinaalsoimposessafetylicensingrequirementsoncerta