《技术性贸易壁垒协定》释义

目录
第一部分 TBT协定回顾
一 协定的背景
1 技术性贸易壁垒与关贸总协定(GATT)
2 《东京回合TBT协定》和世界贸易组织《TBT协定》的主要区别
二 协定的框架结构
三 协定的适用性
1 范围
2 例外
(1) 排除SPS措施
(2) 排除政府采购要求
3 机构的范围
4 协定适用的时间范围
5 相关定义
第二部分 关于技术法规、合格评定程序和标准的原则
一 技术法规
1 技术法规的范围
(1) 定义
(2) 技术法规中第2条的时间范围
2 主要原则
(1) 非歧视原则
(2) 避免对国际贸易的不必要障碍
(3) 技术法规的协调
3 除了中央政府机构以外与其他实体有关的义务
二 合格评定程序
1 合格评定程序的范围
(1) 定义
(2) 合格评定程序的类型
2 主要原则
(1) 非歧视原则
(2) 避免对国际贸易的不必要障碍
(3) 深化非歧视原则和避免不必要贸易壁垒的具体要求
(4) 合格评定程序的协调
(5) 除了中央政府机构以外与其他实体有关的特殊义务
3 有助于接受合格评定结果的方法
(1) 单方面承以国外合格评定结果为等效
(2) 相互承以协议与合格评定安排
(3) 供应商的合格声明(SDoC)
PART ONE OVERVIEW OF THE TBT AGREEMENT
Ⅰ CONTEXT OF THE AGREEMENT
(A) Technical Barriers to Trade and the GATT
(B) Main Differences between the Tokyo Round and the WTO TBT Agreements
Ⅱ STRUCTURE OF THE AGREEMENT
Ⅲ APPLICABILITY OF THE AGREEMENT
(A) Coverage
(B) Exceptions
1 Exclusion of SPS Measures
2 Exclusion of Government Procurement Requirements
(C) Institutional Coverage
(D) Temporal Scope of Application of the Agreement
(E) Relevant Definitions
PART TWO DISCIPLINES IN RELATION TO TECHNICAL REGULATIONS, CONFORMITY ASSESSMENT PROCEDURES AND STANDARDS
Ⅰ TECHNICAL REGULATIONS
(A) Scope of a Technical Regulation
1 Definitions
2 Temporal Scope of Article 2 on Technical Regulations
(B) Main Disciplines
1 The Non-Discrimination Principle
2 Avoidance of Unnecessary Obstacles to International Trade
3 Harmonization of Technical Regulations
(C) Obligations in Relation to Entities other than Central Government Bodies
Ⅱ CONFORMITY ASSESSMENT PROCEDURES
(A) Scope of a Conformity Assessment Procedure
1 Definitions
2 Types of Conformity Assessment Procedures
(B) Main Disciplines
1 The Non-Discrimination Principle
2 Avoidance of Unnecessary Obstacles to International Trade
3 Specific Requirements Furthering the Principles of Non-Discrimination and Avoidance of Unnecessary Barriers to Trade
4 Harmonization of Conformity Assessment Procedures
5 Obligations Specific to Entities other than Central Government Bodies
(C) Approaches to Facilitate the Acceptance of Conformity Assessment Results
1 Unilateral Recognition of Results of Foreign Conformity Assessment as Equivalent
2 Mutual Recognition Agreements and Arrangements for Conformity Assessment
3 Supplier's Declaration of Conformity (SDoC)
三 标准
1 标准的范围
(1) 《TBT协定》中的定义
(2) ISO／IEC指南2：1991中的定义
2 第4条和《良好行为规范》
(1) 义务的层级
(2) 《良好行为规范》的开放性
3 主要原则
(1) 非歧视原则
(2) 避免对国际贸易不必要的障碍
(3) 标准的协调
4 国际标准、指南和建议
(1) 经协商一致采纳为“国际标准”的标准是否适合《TBT协定》的目的?
(2) 什么是国际标准化机构?
(3) TBT委员会有关国际标准、指南和建议制定原则的决议
第三部分 《TBT协定》中的横向原则
一 发展中国家成员和最不发达国家成员
1 对其他成员，特别是发展中国家成员的技术援助
(1) 《TBT协定》的规定
(2) 谁提供援助?
2 特殊与差别待遇
(1) 特殊与差别待遇(S&D)的一般义务
(2) 特殊与差别待遇(S&D)和协调一致
(3) 特殊与差别待遇(S&D)及技术法规、标准与合格评定程序的制定与采纳
(4) 特殊与差别待遇(S&D)以及TBT委员会的作用
(5) 特殊与差别待遇(S&D)和磋商
3 TBT委员会就技术援助和特殊与差别待遇进行的讨论
二 透明度要求和程序
1 一般问题
(1) TBT委员会信息交流负责人特别会议
(2) 《TBT协定》的管理和实施声明
2 通报
(1) 与技术法规和合格评定程序有关的通报义务
(2) 关于标准的通报义务
(3) 关于技术法规、标准或合格评定程序相关问题所达成的协议的通报
3 信息的适用与散发
(1) 公布
(2) 副本的提供
(3) 译文的提供
(4) 电子工具的使用
4 咨询点
(1) 咨询点的设立
(2) 咨询点的职能
Ⅲ STANDARDS
(A) Scope of a Standard
1 In the TBT Agreement
2 In ISO/IEC Guide 2:1991
(B) Article 4 and the Code of Good Practice
1 Level of Obligations
2 Openness of the Code of Good Practice
(C) Main Disciplines
1 The Non-Discrimination Principle
2 Avoidance of Unnecessary Obstacles to International Trade
3 Harmonization of Standards
(D) International Standards, Guides and Recommendations
1 Are Standards Adopted by Consensus "International Standards" for the Purpose of the TBT Agreement?
2 What is an International Standardizing Body?
3 Decision of the TBT Committee Regarding the Principles for the Development of International Standards, Guides and Recommendations
PART THREE HORIZONTAL DISCIPLINES OF THE TBT AGREEMENT
Ⅰ DEVELOPING AND LEAST DEVELOPED COUNTRY MEMBERS
(A) Technical Assistance to Other Members, Especially Developing Country Members
1 TBT Provisions
2 Who Provides Assistance?
(B) Special and Differential Treatment
1 General obligation of S&D
2 S&D and Harmonization
3 S&D and the Preparation and Application of Technical Regulations, Standards and Conformity Assessment Procedures
4 S&D and the Role of the TBT Committee
5 S&D and Consultations
(C) Discussions in the TBT Committee on Technical Assistance and Special and Differential Treatment
Ⅱ TRANSPARENCY REQUIREMENTS AND PROCEDURES
(A) General Issues
1 Special Meetings of the TBT Committee of Persons Responsible for Information Exchange
2 Statement on the Implementation and Administration of the TBT Agreement
(B) Notifications
1 Notification Obligations Relating to Technical Regulations and Conformity Assessment Procedures
2 Notification Obligations Related to Standards
3 Notification of Agreements on Issues Related to Technical Regulations, Standards or Conformity Assessment Procedures
(C) Availability and Dissemination of Information
1 Publication
2 Provision of Copies
3 Provision of Translations
4 Use of Electronic Tools
(D) Enquiry Points
1 Establishment of Enquiry Points
2 Functioning of Enquiry Points
第四部分 制度性规定
一 TBT委员会
1 机构事务
2 《TBT协定》的执行和管理
(1) 年度审议
(2) 三年审议
3 TBT委员会中提出的具体贸易关注概述
(1) 处理具体贸易关注的通常程序
(2) 一些统计数据
二 争端解决
1 《TBT协定》的规定
(1) GATT与DSU的关联
(2) 技术专家小组
(3) 争端解决和除了中央政府机构之外其他实体的活动
2 与《TBT协定》有关的案例
(1) 欧共体—影响石棉和含石棉产品的措施
(2) 欧共体—沙丁鱼商品名称
附件1 《TBT协定》条款索引
附件2 提交到TBT委员会的部分文件清单
PART FOUR INSTITUTIONAL PROVISIONS
Ⅰ THE TBT COMMITTEE
(A) Institutional Issues
(B) Implementation and Administration of the TBT Agreement
1 Annual Reviews
2 Triennial Reviews
(C) Overview of Specific Trade Concerns Raised in the TBT Committee
1 Usual Process of Dealing with Specific Trade Concerns
2 Some Statistics
Ⅱ DISPUTE SETTLEMENT
(A) TBT Provisions
1 Link to GATT and DSU
2 Technical Expert Group
3 Dispute Settlement and Activities by Entities Other Than Central Government Bodies
(B) Cases related to the TBT Agreement
1 European Communities—Measures Affecting Asbestos and Asbestos Containing Products
2 European Communities—Trade Description of Sardines
ANNEXES
ANNEX 1 INDEX OF TBT PROVISIONS
ANNEX 2 LIST OF SELECTED DOCUMENTS SUBMITTED IN THE TBT COMMITTEE
文本框
文本框1 《TBT协定》的条款
文本框2 SPS措施目标(SPS协定，附求A)
文本框3 世界贸易组织案例法：三叉检测
文本框4 世界贸易组织案例法：第2条的时间范围
文本框5 世界贸易组织案例法：同类的确定
文本框6 《关贸总协定》意义范围内必要性概念：一系列因素权衡的过程
文本框7 欧共体—沙丁鱼案中术语“作为依据”的定义
文本框8 《TBT协定》和ISO／IEC指南2：1991对标准定义的不同之处
文本框9 欧共体—沙丁鱼案中的国际标准与协商一致
文本框10 TBT委员会历任主席名单
文本框11 TBT委员会中拥有观察员地位的政府问组织(截止到2006年1月)
文本框12 TBT委员会会议典型议程表
文本框13 解决争端所需要的时间
图示
图示1 东京回合TBT协定与世界贸易组织TBT协定之间的主要区别
图示2 《TBT协定》的适用性
图示3 不受辖于TBT条款的各种措施
图示4 TBT还是SPS?一个例子
图示5 什么是技术法规?
图示6 合理目标清单
图示7 合格评定的技术基础结构
图示8 标准的主要准则
图示9 《良好行为规范》的开放性
图示10 与实施有关的声明的内容
图示11 与技术法规和合格评定程序有关的不同透明度义务的时间表
图示12 通报义务的两种情形
图示13 通报的处理和分发
图示14 在线文档-简单搜索功能
图示15 “合理时间间隔”的定义
图示16 译文共享
图示17 第10．1条和第10．3条项下的义务
图示18 WTO的结构
图示19 处理具体贸易关注的步骤
图示20 1995年～2005年间在委员会上提出的主要贸易关注
Boxes
BOX 1 PROVISIONS OF THE TBT AGREEMENT
BOX 2 SPS OBJECTIVES(SPS Agreement,Annex A)
BOX 3 WTO CASE LAW: A THREE-PRONGED TEST
BOX 4 WTO CASE LAW: TEMPORAL SCOPE OF ARTICLE 2
BOX 5 WTO CASE LAW: DETERMINATION OF IAKENESS
BOX 6 THE CONCEPT OF NECESSITY IN THE GATT CONTEXT: A PROCESS OF WEIGHING AND BALANCING A SERIES OF FACTORS
BOX 7 DEFINITION OF THE TERM "USE AS A BASIS" IN THE EC-SARDINES CASE
BOX 8 DIFFERENCES BETWEEN THE DEFINITION OF A STANDARD IN THE TBT AGREEMENT AND IN ISO/IEC GUIDE 2
BOX 9 INTERNATIONAL STANDARDS AND CONSENSUS IN THE EC-SARDINES CASE
BOX 10 CHAIRPERSONS OF THE TBT COMMITTEE
BOX 11 INTERGOVERNMENTAL ORGANIZATIONS WITH OBSERVER STATUS IN THE TBT COMMITTEE(as of January 2006)
BOX 12 AGENDA FOR A TYPICAL TBT COMMITTEE MEETING
BOX 13 How LONG TO SETTLE A DISPUTE?
Figures
FIGURE 1 MAIN DIFFERENCES BETWEEN THE TOKYO ROUND AND THE WTO TBT AGREEMENTS
FIGURE 2 APPLICABILITY OF THE TBT AGREEMENT
FIGURE 3 MEASURES NOT SUBJECT TO TBT PROVISIONS
FIGURE 4 TBT OR SPS? AN EXAMPLE
FIGURE 5 WHAT IS A TECHNICAL REGULATION?
FIGURE 6 LIST OF LEGITIMATE OBJECTIVES
FIGURE 7 THE TECHNICAL INFRASTRUCTURE OF CONFORMITY ASSESSMENT
FIGURE 8 MAIN CRITERIA OF A STANDARD
FIGURE 9 OPENNESS OF THE CODE OF GOOD PRACTICE
FIGURE 10 CONTENT OF A STATEMENT ON IMPLEMENTATION
FIGURE 11 TIMING OF THE DIFFERENT TRANSPARENCY OBLIGATIONS RELATED TO TECHNICAL REGULATIONS AND CONFORMITY ASSESSMENT PROCEDURES
FIGURE 12 THE TWO CIRCUMSTANCES OF THE OBLIGATION TO NOTIFY
FIGURE 13 PROCESSING AND CIRCULATION OF NOTIFICATIONS
FIGURE 14 DOCUMENTS ONLINE-SIMPLE SEARCH FACILITY
FIGURE 15 DEFINITION OF THE "REASONABLE INTERVAL"
FIGURE 16 SHARING OF TRANSLATIONS
FIGURE 17 OBLIGATIONS UNDER ARTICLES 10.1 AND 10.3
FIGURE 18 WTO STRUCTURE
FIGURE 19 STEPS IN DEALING WITH A SPECIFIC TRADE CONCERN
FIGURE 20 MAIN SPECIFIC TRADE CONCERNS RAISED IN THE COMMITTEE DURING 1995—2005
表格
表格1 技术法规与合格评定程序的通报
表格2 根据第C款接受良好行为规范的通报
表格3 根据第C款退出良好行为规范的通报
表格4 据《良好行为规范》第C款对现行工作计划的通报
图表
图表1 已通报的关于合格评定结果MRAs的地理分布，按照协议所涉及区域划分(1995年～2005年)
图表2 按国家组划分已通报的关于合格评定结果的MRAs(1995年～2005年)
图表3 散发的TBT通报总数(1995年～2005年)
图表4 在通报表格第7栏中提到的目标(1995年～2005年)
图表5 允许提交评议意见的平均天数(1995年～2005年)
图表6 已接受《良好行为规范》的标准化机构类型(1995年～2005年)
图表7 已接受《良好行为规范》的标准化机构数目(1995年～2005年)
图表8 据第10．7条提交的通报数量(1995年～2005年)
图表9 据第10．7条通报的协议的地理划分，按协议覆盖区域(1995年～2005年)
图表10 拥有一个或多个TBT咨询点的成员的数目
图表11 每年新贸易关注的数量
图表12 提出具体贸易关注的同家分组(1995年～2005年)
图表13 具体贸易关注的类型
图表14 提出具体贸易关注所针对的措施分类
Formats
FORMAT 1 NOTIFICATION OF TECHNICAL REGULATIONS AND CONFORMITY ASSESSMENT PROCEDURES
FORMAT 2 NOTIFICATION OF ACCEPTANCE UNDER PARAGRAPH C OF THE CODE OF GOOD PRACTICE
FORMAT 3 NOTIFICATION OF WITHDRAWAL UNDER PARAGRAPH C OF THE CODE OF GOOD PRACTICE
FORMAT 4 NOTIFICATION OF EXISTENCE OF WORK PROGRAMME UNDER PARAGRAPH C OF THE CODE OF GOOD PRACTICE
Graphs
GRAPH 1 GEOGRAPHICAL DISTRIBUTION OF NOTIFIED MRAS ON CONFORMITY ASSESSMENT RESULTS, BY REGION INVOLVED IN THE AGREEMENT(1995—2005)
GRAPH 2 NOTIFIED MRAS ON CONFORMITY ASSESSMENT RESULTS BY COUNTRY GROUP(1995—2005)
GRAPH 3 TOTAL NUMBER OF TBT NOTIFICATIONS CIRCULATED(1995—2005)
GRAPH 4 OBJECTIVES MENTIONED IN SECTION 7 OF THE NOTIFICATION FORM (1995—2005)
GRAPH 5 AVERAGE NUMBER OF DAYS ALLOWED FOR COMMENTS (1995—2005)
GRAPH 6 TYPE OF STANDARDIZING BODIES HAVING ACCEPTED THE CODE (1995—2005)
GRAPH 7 NUMBER OF STANDARDIZING BODIES HAVING ACCEPTED THE CODE (1995—2005)
GRAPH 8 NUMBER OF NOTIFICATIONS SUBMITTED UNDER ARTICLE 10.7 (1995—2005)
GRAPH 9 GEOGRAPHICAL REPARTITION OF AGREEMENTS NOTIFIED UNDER ARTICLE 10.7, BY REGION INVOLVED IN THE AGREEMENT (1995—2005)
GRAPH 10 NUMBER OF MEMBERS WITH ONE OR MORE TBT ENQUIRY POINTS
GRAPH 11 NUMBER OF NEW CONCERNS PER YEAR
GRAPH 12 SPECIFIC TRADE CONCERNS BY COUNTRY GROUP (1995—2005)
GRAPH 13 TYPES OF SPECIFIC TRADE CONCERNS
GRAPH 14 TYPES OF MEASURES AGAINST WHICH A SPECIFIC TRADE CONCERN WAS RAISED
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