马拉喀什建立世界贸易组织协定-附件1A：货物贸易多边协定-进口

1、.：.；【法规分类号】W82001199423【标题】马拉喀什建立世界贸易组织协定附件：货物贸易多边协定进口答应程序协定【时效性】有效【签署地点】马拉喀什【签署日期】1994.04.15【生效日期】1994.05.15【失效日期】【内容分类】【文号】【题注】关于附件的总体解释性阐明：如的条款与附件所列各协定中称“附件中另一协定的条款产生抵触，那么以该另一协定的条款为准。【正文】各成员，留意到多边贸易谈判；期望促进目的的实现；思索到开展中国家成员特殊的贸易、开展和财政需求；认识到用于某些目的的自动进口答应的有用性，且此种答应不运用以限制贸易；认识到进口答应可用以管理根据的有关规定采取的措施；认识

2、到的规定可适用于进口答应程序；期望保证进口答应的运用方式不违背的原那么和义务；认识到进口答应的不适当运用可以妨碍国际贸易的流动；确信进口答应、特别是非自动进口答应，应以透明和可预测的方式实施；认识到非自动进口答应程序的行政负担不应超越为管理有关措施所绝对必需的限制；期望简化国际贸易中运用的行政程序和做法，并使之具有透明度，并保证公平、公正地实施和管理此类程序和做法；期望规定一磋商机制，并迅速、有效和公正地处理本协定项下产生的争端；特此协议如下：第条 总那么就本协定而言，进口答应定义为用以实施进口答应制度的行政程序注，该制度要求向有关行政机关提交恳求或其他文件报关所需文件除外，作为货物进入进口成

3、员关税领土的先决条件。注：包括被称为“答应的程序及其他类似行政程序。各成员应保证用以实施进口答应制度的行政程序符合本协定解释的的有关规定，包括其附件和议定书，以期防止因不适当实施这些程序而产生的贸易扭曲，同时思索开展中国家成员的经济开展目的及财政和贸易需求。注注：本协定的任何规定不得解释为意味着经过答应程序所实施措施的根据、范围或期限在本协定项下可遭到质疑。进口答应程序规那么的实施应坚持中性，并以公平、公正的方式进展管理。与提交恳求的程序有关的规那么和一切信息，包括个人、公司和机构提出恳求的资历、受理的一个或多个管理机关以及受答应要求限制的产品清单，均应在向第条规定的进口答应程序委员会本协定中

4、称“委员会作出通知的信息来源中予以公布，以使政府注和贸易商知晓。只需可行，此类公布应在该要求的生效日期前天作出，但无论如何不得迟于该生效日期。对于有关答应程序的规那么或受进口答应限制的产品清单的任何例外、减损或变卦，也应以同样方式在上述一样时限内予以公布。这些出版物的副本应可使秘书处获得。注：就本协定而言，“政府一词被视为包括欧洲共同体的主管机关。应恳求，应给予希望提出书面意见的成员讨论这些意见的时机。有关成员应对这些意见和讨论结果给予应有的思索。恳求表格和在适用情况下的展期恳求表格应尽能够简单。凡被以为属答应制度的正常运转所绝对必要的文件和信息均可在恳求时要求提供。恳求程序和在适用情况下的展

5、期恳求程序应尽能够简单。应允许恳求者有一段合理的期限提交答应证恳求。如有截止日期，那么该期限应至少为天，并应规定如在此期限内未收到足够的恳求，那么该期限可以延伸。恳求者应只需接洽与恳求有关的一个行政机关。如确实不可防止而需接洽一个以上的行政机关，那么恳求者应无需接洽三个以上的行政机关。任何恳求不得由于文件中出现的未呵斥所含根本数据改动的微小错误而被回绝。对于在文件或程序中出现的显然不是由于欺骗意图或艰苦过失而呵斥的任何脱漏或过失，所给予的处分不得超越提出警告所必需的限制。得到答应的进口产品不得由于运输过程中产生的差别、散装货装载时偶尔产生的差别以及其他与正常商业做法一致的微小差别而导致货物的价

6、值、数量或分量与答应证标明的数额有微小差别而被回绝。答应证持有者用以支付得到答应证的进口产品所必需的外汇，应与无需进口答应证货物的进口商在一样根底上获得。对于平安例外，适用第条的规定。本协定的规定不得要求任何成员披露会妨碍执法或违背公共利益或损害特定公私企业合法商业利益的信息。第条 自动进口答应注注：要求交纳对进口产品无限制造用的保证金的进口答应程序应被视为属第款和第款的范围。自动进口答应定义为在一切情况下均同意恳求，且符合第款项规定的进口答应。除第条第款至第款和本条第款的规定适用于自动进口答应程序外，以下规定注也适用于该程序：注：不属年月日订立的参与方的一开展中国家成员，如对项目和项目的要求

7、有详细困难，那么在通知委员会后，可在不超越对其生效之日起年内推迟适用以上两目的规定。自动答应程序的管理方式不得对受自动答应管理的进口产品产生限制造用。除非符合以下条件，否那么自动答应程序应被视为对贸易有限制造用：任何个人、公司或机构只需满足进口成员有关从事受自动答应管理产品的进口运营的法律要求，均有同等资历进展恳求，并获得进口答应证；答应证恳求可在货物结关前任何一任务日提交；以适当和完好的表格提交的答应证恳求，在管理上可行的限制内，应在收到后立刻同意，最多不超越个任务日；各成员认识到，只需不能获得其他适当程序，自动进口答应程序即能够是必要的。只需导致采用自动进口答应的情况存在，且只需其管理目的

8、无法以更适当的方式实现，那么自动答应程序即可予以维持。第条 非自动进口答应除第条第款至第款的规定适用于非自动进口答应外，以下规定也适用于该程序。非自动进口答应程序定义为不属第条第款定义范围的进口答应。除实行限制所呵斥的贸易限制造用或贸易扭曲作用之外，非自动答应不得对进口产品产生此类作用。非自动答应程序在范围和期限上应符合运用该程序所实施的措施，且其行政负担不得超越为管理该措施所绝对必要的限制。在答应要求的目的不是实施数量限制的情况下，各成员应公布充分的信息，以使其他成员和贸易商了解发放和或分配答应证的根据。如一成员规定个人、公司或机构可恳求例外于或背叛答应证要求，那么该成员应将此现实包括在根据

9、第条第款公布的信息中，还应包括如何提出该恳求的信息，且在能够的情况下，应指出在何种情况下该恳求可予以思索。应对有关产品的贸易有利害关系的任何成员恳求，各成员应提供关于以下内容的一切有关信息：限制的管理情况；近期发放的进口答应证；答应证在供应国之间的分配情况；如可行，有关受进口答应管理产品的进口统计数字即价值和或数量。开展中国家成员不需因此承当额外的行政或财政负担；经过答应管理配额的成员应在第条第款指定的期限内，并以使政府和贸易商知晓的方式，公布按数量和或价值实施的配额总量、配额的发放和截止日期以及有关的任何变卦；对于配额在供应国之间进展分配的情况，实施限制的成员应将目前分配的配额中给予各供应国

10、份额的数量或价值迅速通知对有关产品的供应有利害关系的一切其他成员，并应在第条第款指定的期限内，以使政府和贸易商知晓的方式公布此信息；如出现有必要提早配额发放日期的情况，那么第条第款所指的信息应在该条指定的期限内，以使政府和贸易商知晓的方式公布此信息；任何满足进口成员的法律和管理要求的个人、公司或机构均有同等资历恳求答应证并予以思索。如答应证恳求未获同意，那么应恳求，恳求人应被告知其中的缘由，且恳求人有权按照进口成员的国内立法或程序进展上诉或进展审查；除因该成员无法控制的缘由而不能做到外，如收到恳求即应予以思索，即以先来先领的方式进展管理，那么处置恳求的期限不得超越天，如一切恳求同时予以思索，那

11、么处置恳求的期限不得超越天。在后一种情况下，处置恳求的期限应被视为自宣布的恳求期限的截止日期的次日开场；答应证的有效期应合理，不得过短而妨碍进口。答应证的有效期不得妨碍自远地来源的进口，但进口产品需满足无法预料的短期要求的情况除外；在管理配额时，各成员不得阻止按照已发放的答应证明施进口，也不得妨碍对配额的充分运用；在发放答应证时，各成员应思索宜对到达经济数量的产品发放答应证；分配答应证时，各成员应思索恳求人的进口实绩。在这方面，应思索以往对恳求人发放的答应证能否在最近一代表期内得到充分运用。如答应证未得到充分运用，那么该成员应审查其中的缘由，并在分配新的答应证时思索这些缘由。还应思索保证答应证

12、合理地分配给新的进口商，同时思索宜对到达经济数量的产品发放答应证。在这方面，应特别思索自开展中国家成员、特别是最不兴隆国家成员进口产品的进口商；在配额经过不在供应国之间进展分配的答应管理的情况下，答应证持有者注有权选择进口产品的来源。对于配额在供应国之间分配的情况，答应证应明确规定国别一国或多国；注：有时称为“配额持有者。在适用第条第款的规定时，如进口超越前一答应证程度，那么可在以后的答应证分配中做出补偿性调整。第条 机构特此设立进口答应程序委员会，由每一成员的代表组成。委员会应选举本人的主席和副主席，并在必要时召开会议，为各成员提供就与本协定的运用或促进其目的的实现有关的任何事项进展磋商的时

13、机。第条 通知制定答应程序或更改这些程序的成员应在公布后天内就此通知委员会。关于制定进口答应程序的通知应包括以下信息：受答应程序管理的产品清单；有关资历信息的联络点；恳求书提交的一个或多个行政机关；如公布答应程序，公布日期和出版物称号；阐明答应程序根据第条和第条所含定义属自动答应程序还是非自动答应程序；对于自动进口答应程序，其管理目的；对于非自动进口答应程序，阐明经过答应程序所实施的措施；答应程序的估计期限，如该期限可有一定能够性进展估计，如不能进展估计，那么阐明不能提供此信息的缘由。如上述要素发生变卦，那么应在关于进口答应程序变卦的通知中予以阐明。各成员应将公布第条第款所要求信息的一种或多种

14、出版物通知委员会。任何利害关系成员，如以为另一成员未按照第款至第款的规定将制定答应程序或其变卦的情况通知委员会，那么可将此问题提请该另一成员留意。如以后通知未迅速作出，那么该成员可自行将答应程序或其变卦情况，包括一切有关和可获得的信息作出通知。第条 磋商和争端处理有关影响本协定运用的任何事项的磋商和争端处理，应遵守由详述和适用的第条和第条的规定。第条 审议委员会应在必要时，但至少每年一次，对本协定的实施和运用进展审议，同时思索本协定的目的及其中包含的权益和义务。作为委员会审议的根据，秘书处应根据第条的规定提供的信息、对年度进口答应程序问卷注的回答以及可获得的其他有关可靠信息，预备一份现实报告。

15、该报告应提供上述信息的提要，特别应阐明审议所涉期间内的任何变卦或情况开展，包括委员会赞同的任何其他信息。注：该文件最初于年月日以号文件分发。各成员承诺迅速和全面地完成关于进口答应程序的年度问卷。委员会应向货物贸易理事会通知在此类审议所涉期间的开展情况。第条 最后条款保管未获其他成员赞同，不得对本协定的任何规定提出保管。国内立法每一成员应在不迟于对其生效之日，保证其法律、法规和行政程序符合本协定的规定。每一成员应将与本协定有关的国内法律和法规及这些法律和法规管理方面的任何变卦通知委员会。AGREEMENT ON IMPORT LICENSING PROCEDURESANNEX, 1A, OF,

16、ANNEX, 1, OF, MARRAKESH, AGREEMENT, ESTABLISHING, THE, WORLDTRADE, ORGANIZATIONAGREEMENT ON IMPORT LICENSING PROCEDURESMembers,Having regard to the Multilateral Trade Negotiations;Desiring to further the objectives of GATT 1994;Taking into account the particular trade, development and financialneeds

17、 of developing country Members;Recognizing the usefulness of automatic import licensing for certainpurposes and that such licensing should not be used to restrict trade;Recognizing that import licensing may be employed to administermeasures such as those adopted pursuant to the relevant provisions o

18、fGATT 1994;Recognizing the provisions of GATT 1994 as they apply to importlicensing procedures;Desiring to ensure that import licensing procedures are not utilizedin a manner contrary to the principles and obligations of GATT 1994;Recognizing that the flow of international trade could be impeded byt

19、he inappropriate use of import licensing procedures;Convinced that import licensing, particularly non-automatic importlicensing, should be implemented in a transparent and predictablemanner;Recognizing that non-automatic licensing procedures should be nomore administratively burdensome than absolute

20、ly necessary to administerthe relevant measure;Desiring to simplify, and bring transparency to, the administrativeprocedures and practices used in international trade, and to ensure thefair and equitable application and administration of such procedures andpractices;Desiring to provide for a consult

21、ative mechanism and the speedy,effective and equitable resolution of disputes arising under thisAgreement;Hereby agree as follows:Article 1 General Provisions 1. For the purpose of this Agreement,import licensing is defined as administrative procedures(Notes 1) usedfor the operation of import licens

22、ing rgimes requiring the submissionof an application or other documentation (other than that required forcustoms purposes) to the relevant administrative body as a priorcondition for importation into the customs territory of the importingMember.Notes 1: Those procedures referred to as licensing as w

23、ell asother similar administrative procedures.2. Members shall ensure that the administrative procedures used toimplement import licensing rgimes are in conformity with the relevantprovisions of GATT 1994including its annexes and protocols, asinterpreted by this Agreement, with a view to preventing

24、tradedistortions that may arise from an inappropriate operation of thoseprocedures, taking into account the economic development purposes andfinancial and trade needs of developing country Members. (Notes 2)Notes 2: Nothing in this Agreement shall be taken as implying thatthe basis, scope or duratio

25、n of a measure being implemented by alicensing procedure is subject to question under this Agreement.3. The rules for import licensing procedures shall be neutral inapplication and administered in a fair and equitable manner.4. (a) The rules and all information concerning procedures for thesubmissio

26、n of applications, including the eligibility of persons, firmsand institutions to make such applications, the administrative body(ies)to be approached, and the lists of products subject to the licensingrequirement shall be published, in the sources notified to the Committeeon Import Licensing provid

27、ed for in Article 4 (referred to in thisAgreement as the Committee), in such a manner as to enable governments(Notes 3) and traders to become acquainted with them. Such publicationshall take place, whenever practicable, 21 days prior to the effectivedate of the requirement but in all events not late

28、r than such effectivedate. Any exception, derogations or changes in or from the rulesconcerning licensing procedures or the list of products subject toimport licensing shall also be published in the same manner and withinthe same time periods as specified above. Copies of these publicationsshall als

29、o be made available to the Secretariat.Notes 3: For the purpose of this Agreement, the term governmentsis deemed to include the competent authorities of the EuropeanCommunities.(b) Members which wish to make comments in writing shall be providedthe opportunity to discuss these comments upon request.

30、 The concernedMember shall give due consideration to these comments and results ofdiscussion.5. Application forms and, where applicable, renewal forms shall be assimple as possible. Such documents and information as are consideredstrictly necessary for the proper functioning of the licensing rgimema

31、y be required on application.6. Application procedures and, where applicable, renewal proceduresshall be as simple as possible. Applicants shall be allowed a reasonableperiod for the submission of licence applications. Where there is aclosing date, this period should be at least 21 days with provisi

32、on forextension in circumstances where insufficient applications have beenreceived within this period. Applicants shall have to approach only oneadministrative body in connection with an application. Where it isstrictly indispensable to approach more than one administrative body,applicants shall not

33、 need to approach more than three administrativebodies.7. No application shall be refused for minor documentation errorswhich do not alter basic data contained therein. No penalty greater thannecessary to serve merely as a warning shall be imposed in respect ofany omission or mistake in documentatio

34、n or procedures which isobviously made without fraudulent intent or gross negligence.8. Licensed imports shall not be refused for minor variations invalue, quantity or weight from the amount designated on the licence dueto differences occurring during shipment, differences incidental to bulkloading

35、and other minor differences consistent with normal commercialpractice.9. The foreign exchange necessary to pay for licensed imports shallbe made available to licence holders on the same basis as to importersof goods not requiring import licences.10. With regard to security exceptions, the provisions

36、 of Article XXIof GATT 1994apply.11. The provisions of this Agreement shall not require any Member todisclose confidential information which would impede law enforcement orotherwise be contrary to the public interest or would prejudice thelegitimate commercial interests of particular enterprises, pu

37、blic orprivate.Article 2 Automatic Import Licensing (Notes 4)Notes 4: Those import licensing procedures requiring a securitywhich have no restrictive effects on imports are to be considered asfalling within the scope of paragraphs 1 and 2.Automatic import licensing is defined as import licensing whe

38、reapproval of the application is granted in all cases, and which is inaccordance with the requirements of paragraph 2(a).The following provisions (Notes 5), in addition to those inparagraphs 1 through 11 of Article 1 and paragraph 1 of this Article,shall apply to automatic import licensing procedure

39、s:Notes 5: A developing country Member, other than a developingcountry Member which was a Party to the Agreement on Import LicensingProcedures done on 12 April 1979, which has specific difficulties withthe requirements of subparagraphs (a)(ii) and (a)(iii) may, uponnotification to the Committee, del

40、ay the application of thesesubparagraphs by not more than two years from the date of entry intoforce of the WTO Agreement for such Member.(a) automatic licensing procedures shall not be administered in sucha manner as to have restricting effects on imports subject to automaticlicensing. Automatic li

41、censing procedures shall be deemed to havetrade-restricting effects unless, inter alia:(i) any person, firm or institution which fulfils the legalrequirements of the importing Member for engaging in import operationsinvolving products subject to automatic licensing is equally eligible toapply for an

42、d to obtain import licences;(ii) applications for licences may be submitted on any working dayprior to the customs clearance of the goods;(iii) applications for licences when submitted in appropriate andcomplete form are approved immediately on receipt, to the extentadministratively feasible, but wi

43、thin a maximum of 10 working days;(b) Members recognize that automatic import licensing may benecessary whenever other appropriate procedures are not available.Automatic import licensing may be maintained as long as thecircumstances which gave rise to its introduction prevail and as long asits under

44、lying administrative purposes cannot be achieved in a moreappropriate way.Article 3 Non-Automatic Import LicensingThe following provisions, in addition to those in paragraphs 1through 11 of Article 1, shall apply to non-automatic import licensingprocedures. Non-automatic import licensing procedures

45、are defined asimport licensing not falling within the definition contained inparagraph 1 of Article 2.Non-automatic licensing shall not have trade-restrictive ordistortive effects on imports additional to those caused by theimposition of the restriction. Non-automatic licensing procedures shallcorre

46、spond in scope and duration to the measure they are used toimplement, and shall be no more administratively burdensome thanabsolutely necessary to administer the measure.3. In the case of licensing requirements for purposes other than theimplementation of quantitative restrictions, Members shall pub

47、lishsufficient information for other Members and traders to know the basisfor granting and/or allocating licences.4. Where a Member provides the possibility for persons, firms orinstitutions to request exceptions or derogations from a licensingrequirement, it shall include this fact in the informati

48、on publishedunder paragraph 4 of Article 1 as well as information on how to makesuch a request and, to the extent possible, an indication of thecircumstances under which requests would be considered.5. (a) Members shall provide, upon the request of any Member having aninterest in the trade in the pr

49、oduct concerned, all relevant informationconcerning:(i) the administration of the restrictions;(ii) the import licences granted over a recent period;(iii) the distribution of such licences among supplying countries;(iv) where practicable, import statistics (i.e. value and/or volume)with respect to t

50、he products subject to import licensing. Developingcountry Members would not be expected to take additional administrativeor financial burdens on this account;(b) Members administering quotas by means of licensing shall publishthe overall amount of quotas to be applied by quantity and/or value, theo

51、pening and closing dates of quotas, and any change thereof, within thetime periods specified in paragraph 4 of Article 1 and in such a manneras to enable governments and traders to become acquainted with them;(c) in the case of quotas allocated among supplying countries, theMember applying the restr

52、ictions shall promptly inform all other Membershaving an interest in supplying the product concerned of the shares inthe quota currently allocated, by quantity or value, to the varioussupplying countries and shall publish this information within the timeperiods specified in paragraph 4 of Article 1

53、and in such a manner as toenable governments and traders to become acquainted with them;(d) where situations arise which make it necessary to provide for anearly opening date of quotas, the information referred to in paragraph 4of Article 1 should be published within the time periods specified inpar

54、agraph 4 of Article 1 and in such a manner as to enable governmentsand traders to become acquainted with them;(e) any person, firm or institution which fulfils the legal andadministrative requirements of the importing Member shall be equallyeligible to apply and to be considered for a licence. If th

55、e licenceapplication is not approved, the applicant shall, on request, be giventhe reason therefor and shall have a right of appeal or review inaccordance with the domestic legislation or procedures of the importingMember;(f) the period for processing applications shall, except when notpossible for

56、reasons outside the control of the Member, not be longerthan 30 days if applications are considered as and when received, i.e.on a first-come first-served basis, and no longer than 60 days if allapplications are considered simultaneously. In the latter case, theperiod for processing applications sha

57、ll be considered to begin on theday following the closing date of the announced application period;(g) the period of licence validity shall be of reasonable durationand not be so short as to preclude imports. The period of licencevalidity shall not preclude imports from distant sources, except inspe

58、cial cases where imports are necessary to meet unforeseen short-termrequirements;(h) when administering quotas, Members shall not prevent importationfrom being effected in accordance with the issued licences, and shallnot discourage the full utilization of quotas;(i) when issuing licences, Members s

59、hall take into account thedesirability of issuing licences for products in economic quantities;(j) in allocating licences, the Member should consider the importperformance of the applicant. In this regard, consideration should begiven as to whether licences issued to applicants in the past have been

60、fully utilized during a recent representative period. In cases wherelicences have not been fully utilized, the Member shall examine thereasons for this and take these reasons into consideration whenallocating new licences. Consideration shall also be given to ensuring areasonable distribution of lic