《对外贸易壁垒调查规则》已经2005年1月21日商务部第1次部务会议讨论通过。现予发布，自2005年3月1日起施行。

部　长　薄熙来
二○○五年二月二日

对外贸易壁垒调查规则
（商务部令2005年第4号）

　　第一章　总则

　　第一条　为了开展和规范对外贸易壁垒调查工作，消除国外贸易壁垒对我国对外贸易的影响，促进对外贸易的正常发展，根据《中华人民共和国对外贸易法》，制定本规则。

　　第二条　商务部负责对国外贸易壁垒的调查工作。

　　商务部指定进出口公平贸易局负责实施本规则。

　　第三条　外国（地区）政府采取或者支持的措施或者做法，存在下列情形之一的，视为贸易壁垒：

　　（一）违反该国（地区）与我国共同缔结或者共同参加的经济贸易条约或者协定，或者未能履行与我国共同缔结或者共同参加的经济贸易条约或者协定规定的义务；

　　（二）造成下列负面贸易影响之一：

　　对我国产品或者服务进入该国（地区）市场或者第三国（地区）市场造成或者可能造成阻碍或者限制；

　　对我国产品或者服务在该国（地区）市场或者第三国（地区）市场的竞争力造成或者可能造成损害；

　　对该国（地区）或者第三国（地区）的产品或者服务向我国出口造成或者可能造成阻碍或者限制。

　　第四条　商务部可以应申请人的申请立案，进行贸易壁垒调查。

　　商务部认为有必要的，可以自行立案，进行贸易壁垒调查。

　　第二章　调查申请

　　第五条　国内企业、国内产业或者代表国内企业、国内产业的自然人、法人或者其他组织（以下统称申请人），可以向商务部提出贸易壁垒调查的申请。

　　前款所称的“国内企业、国内产业”，是指与被诉贸易壁垒涉及的产品生产或者服务供应有直接关系的企业或者产业。

　　第六条　贸易壁垒调查的申请必须以书面形式提交。

　　第七条　申请书应当包括以下内容：

　　（一）申请人的名称、地址及有关情况；

　　（二）被申请调查的措施或者做法的说明；

　　（三）被申请调查的措施或者做法所针对的产品或者服务的说明；

　　（四）国内相关产业基本情况的说明；

　　（五）被申请调查的措施或者做法造成负面贸易影响的，关于负面贸易影响的说明；

　　（六）申请人认为需要说明的其他内容。

　　第三章　审查和立案

　　第八条　申请书应当尽可能附具下列证据材料并说明其来源：

　　（一）证明被申请调查的措施或者做法存在的证据材料；

　　（二）证明被申请调查的措施或者做法造成的负面贸易影响的证据材料。

　　申请人无法提供上述证据材料的，应当以书面形式说明理由。

　　第九条　申请人可以在商务部作出立案决定之前撤回申请。

　　第十条　商务部应当自收到申请人提交的申请书及有关证据材料之日起60天内，对申请材料进行审查，作出立案或者不予立案的决定。

　　第十一条　商务部在审查申请材料的过程中，可以要求申请人按照规定的时限提供补充材料。

　　第十二条　如果申请人提交的申请材料符合本规则第六条　和第七条　的规定，并且不存在本规则第十六条　第（一）、（三）和（四）项规定的情形，商务部应当决定立案调查并发布公告。

　　商务部决定自行立案的，也应当发布立案公告。

　　第十三条　立案公告应当载明被调查的措施或者做法、被调查的措施或者做法涉及的产品或者服务以及实施被调查的措施或者做法的国家（地区）（以下简称“被调查国（地区）”）等内容，简要介绍已有的信息，并说明利害关系方陈述意见及公众提出评论的期限。

　　第十四条　商务部应当在发布立案公告后，将立案决定通知申请人、已知的出口经营者和进口经营者、被调查国（地区）政府以及其他利害关系方。

　　第十五条　立案公告发布之日为立案日期。

　　第十六条　出现以下情形之一的，商务部可以作出不予立案的决定：

　　（一）申请人提交的申请材料所描述的情况与事实明显不符；

　　（二）申请人提交的申请材料不完整，并且未在商务部规定的时限内提供补充材料；

　　（三）申请人申请调查的措施或者做法明显不属于本规则第三条　所指的贸易壁垒；

　　（四）商务部认为不应立案的其他情形。

　　第十七条　商务部应当以书面形式将不予立案的决定通知申请人，并说明理由。

　　第四章　调查和认定

　　第十八条　商务部应当通过调查认定被调查的措施或者做法是否构成本规则第三条　所称的贸易壁垒。

　　第十九条　在调查中，商务部可以使用主动收集的任何相关信息。

　　第二十条　商务部认为必要时，可以成立由国务院有关部门、专家、学者组成的专家咨询组。专家咨询组负责对调查中涉及的技术性和法律性问题提供咨询意见。

　　第二十一条　商务部可以采用问卷、听证会等方式向利害关系方了解情况，进行调查。

　　第二十二条　商务部认为必要时，可以在征得被调查国（地区）政府同意后，派出工作人员赴该国（地区）进行调查取证。

　　第二十三条　利害关系方认为其提供的资料泄露后将产生严重不利影响的，可以向商务部申请对该资料按照保密资料处理。

　　第二十四条　商务部认为保密申请有正当理由的，应当对利害关系方提供的资料按照保密资料处理，同时要求利害关系方提供一份非保密的资料概要。

　　未经提供资料的利害关系方同意，商务部不得将按照保密资料处理的资料用于该贸易壁垒调查以外的用途。

　　第二十五条　商务部在调查过程中，可以就被调查的措施或者做法与被调查国（地区）政府进行磋商。

　　第二十六条　出现以下情形之一的，商务部可以决定中止调查并发布公告：

　　（一）被调查国（地区）政府承诺在合理期限内取消或者调整被调查的措施或者做法；

　　（二）被调查国（地区）政府承诺在合理期限内向我国提供适当的贸易补偿；

　　（三）被调查国（地区）政府承诺履行经济贸易条约或者协定的义务；

　　（四）商务部认为可以中止调查的其他情形。

　　第二十七条　被调查国（地区）政府未在合理期限内履行本规则第二十六条　第（一）至（三）项承诺的，商务部可以恢复调查；商务部根据本规则第二十六条　第（四）项决定中止调查的，在该情形消除后，也可以恢复调查。

　　第二十八条　应申请人的请求，商务部可以终止调查程序，除非认为终止调查程序不符合公共利益。

　　第二十九条　出现以下情形之一的，商务部应当终止调查并发布公告：

　　（一）被调查国（地区）政府已经取消或者调整被调查的措施或者做法；

　　（二）被调查国（地区）政府已经向我国提供适当的贸易补偿；

　　（三）被调查国（地区）政府已经履行经济贸易条约或者协定的义务。

　　第三十条　出现下列情况之一的，商务部可以终止调查并发布公告：

　　（一）申请人在调查中不提供必要的合作；

　　（二）商务部认为可以终止调查的其他情形。

　　第三十一条　通过调查，商务部应就被调查的措施或者做法是否构成本规则第三条　所称的贸易壁垒作出决定，并发布公告。

　　第三十二条　贸易壁垒调查应当自立案决定公告之日起6个月内结束；特殊情况下可以延长，但延长期不得超过3个月。

　　第三十三条　如果被调查的措施或者做法被认定构成本规则第三条　所称的贸易壁垒，商务部应当视情况采取以下措施：

　　（一）进行双边磋商；

　　（二）启动多边争端解决机制；

　　（三）采取其他适当的措施。

　　第五章　附则

　　第三十四条　依照本规则作出的公告，应当载明重要的情况、事实、理由、依据、结果和结论等内容。

　　第三十五条　对国外投资壁垒的调查，参照本规则进行。

　　第三十六条　本规则由商务部负责解释。

　　第三十七条　本规则自2005年3月1日起施行。

Investigation¹ Rules of Foreign Trade Barrier

　　Chapter I General Principles

　　Article 1 For the purposes of developing and regulating the investigation on foreign trade barrier, eliminating the influences of foreign trade barrier on our country's trade to foreign countries, promoting normal development of foreign trade, these rules are formulated² in accordance with Foreign Trade Law of the People's Republic of China.

　　Article 2 Ministry³ of Commerce is responsible for the investigation on foreign trade barrier.

　　Ministry of Commerce designates Fair Trade Bureau of Import and Export to be responsible for the implementation⁵ of these rules.

　　Article 3 The measures or activities made or supported by the government of foreign countries （regions） are regarded as trade barrier in case of one of following circumstances:

　　1. Violate the economic treaty or agreement that the country （region） concluded or participated together with our country, or fails to implement⁴ the obligations stipulated⁶ by economic trade treaty or agreement that the country （region） concluded or participated together with our country;

　　2. Create one of following unfavorable influences:

　　Cause or may cause hamper⁷ or restriction⁸ of the products or service of our country to entry the market of the country （region） or the third country （region）;

　　Cause or may cause injury to the competitiveness of the products or service of our country in the market of the country （region） or the third country （region）;

　　Cause or may cause hamper or restriction of the export of the products or service of the country （region） or the third country （region） to our country.

　　Article 4 Ministry of Commerce may place the case on file for trade barrier investigation at the request of the applicant⁹.

　　Ministry of Commerce may place the case on file for trade barriers investigation on its free will as it deems necessary.

　　Chapter II Investigation Application

　　Article 5 Domestic enterprises and industries or natural persons, legal persons on behalf of domestic enterprises and industries or other organizations （hereinafter referred to as “the applicants¹⁰”） may make an application for trade barrier investigation to Ministry of Commerce.

　　Domestic enterprises and industries in terms of above paragraph mean the enterprises or industries that have a direct bearing with the products or service under trade barrier investigation.

　　Article 6 The application for trade barrier investigation must be submitted in the form of writing.

　　Article 7 The application letter should include following information:

　　1. Name, address and related information of the applicant;

　　2. The explanation of measures or ways applied¹¹ for investigation;

　　3. The explanation of the products or service that the measures or ways applied for investigation aim at;

　　4. General explanation of relevant domestic industries;

　　5. The explanation of unfavorable influences if the measures or ways applied for investigation have caused unfavorable influences;

　　6. Other content the applicant deems it necessary to explain.

　　Chapter III Examination and Put a Case on File

　　Article 8 The application letter should attach following evident materials and explain the source:

　　1. The evident materials that prove the existence of the measures or ways applied for investigation;

　　2. The evident materials that prove the unfavorable influence caused by the measures or ways applied for investigation;

　　Any applicant who could not submit above materials should explain the reason by writing.

　　Article 9 The applicant may recall the application before Ministry of Commerce makes the decision of the investigation.

　　Article 10 Ministry of Commerce should examine the application materials and makes the decision on starting an investigation or not within 60 days at the receipt of the application letter and relevant evident materials.

　　Article 11 Ministry of Commerce may request the applicant to provide supplementary¹² materials within a set time limit during the examination of the application materials.

　　Article 12 Ministry of Commerce should decide to start an investigation and publish it by announcement if the application materials submitted by the applicant accord with the provisions of Article 6 and 7 of these rules and are not the circumstances in terms of Article 16, Section 1, 3 and 4.

　　To the cases that Ministry of Commerce decides to put on a file should also be published by announcement.

　　Article 13 The announcement for investigation should make clear the measures or ways under investigation, the products or service relating to the measures and ways under investigation, and the country （region） where the measures and ways are under investigation （hereinafter referred to as “the country （region） under investigation”）, introduce briefly¹³ the available information and make clear the time limit that the interested parties set out their views and the public make comments.

　　Article 14 Ministry of Commerce should inform the applicant, known export and import managers, the government of the country （region） under investigation and other interested parties after the publication of the announcement for the investigation.

　　Article 15 The publication day of the announcement is the date that the investigation starts.

　　Article 16 Ministry of Commerce may make a decision not to start an investigation in case of one of following circumstances:

　　1. The description in terms of the application materials submitted by the applicant do not accord with the facts;

　　2. The application materials submitted by the applicants are not complete and the applicant does not provide supplementary materials within the time limit set by Ministry of Commerce.

　　3. The measures or ways applied for investigation by the applicant are obviously not subjected to trade barrier in terms of Article 3 of these Rules;

　　4. Other circumstances that Ministry of Commerce deems unnecessary to start an investigation on.

　　Article 17 Ministry of Commerce should inform the applicant by writing and make clear the reason why it does not start an investigation.

　　Chapter IV Investigation and Confirmation¹⁴

　　Article 18 Ministry of Commerce should confirm by investigation whether the measures or ways under investigation has constituted trade barrier in terms of Article 3 of these Rules.

　　Article 19 Ministry of Commerce may use any information collected initiatively during the investigation.

　　Article 20 Ministry of Commerce may establish expert consultation¹⁵ group constituted by relevant departments, experts and scholars of State Council when it deems necessary. The expert consultation group is responsible for providing comments on technical and lawful¹⁶ issues relating to the investigation.

　　Article 21 Ministry of Commerce may seize up the situation and make the investigation by questionnaires, hearings and other ways.

　　Article 22 Ministry of Commerce may send staffs to the country （region） to make investigations¹⁷ and gather evidence with the agreement of the government of the country （region） under investigation when it deems necessary.

　　Article 23 The interested parties may apply to Ministry of Commerce for dealing¹⁸ with their materials as classified ones if they think it will cause harmful influence in case of the disclosing of the materials they submitted.

　　Article 24 If Ministry of Commerce thinks the application for keeping secrete¹⁹ is proper, it should treat the materials provided by the interested parties as classified ones and ask the interested parties for an un-classified summary of the materials.

　　Without the agreement of the interested parties who provide the materials, Ministry of Commerce should not use the materials treated as confidential²⁰ ones beyond the use of trade barrier investigation.

　　Article 25 During the investigation, Ministry of Commerce may make consultations²¹ with the country （region） under investigation about the measures and ways under investigation.

　　Article 26 Ministry of Commerce May decide to terminate the investigation and publish it by announcement in case of one of following circumstances:

　　1. The government of the country （region） under investigation promises to cancel or readjust the measures or ways within proper time limit;

　　2. The government of the country （region） under investigation promises to provide our country with proper trade compensation within proper time limit;

　　3. The government of the country （region） promises to perform the obligations of economic trade treaty or agreement;

　　4. Other circumstances that Ministry of Commerce thinks the investigation may be ended.

　　Article 27 If the government of the country （region） under investigation does not perform the promises in Article 26, Section 1 to 3 of these rules, Ministry of Commerce may resume its investigation. As for the investigation that Ministry of Commerce decided²² to end in accordance with Article 26, Section 4 of these Rules, the investigation may be resumed after the elimination²³ of the circumstances……

　　Article 28 Ministry of Commerce may terminate the procedure of the investigation except that it deems the termination of the investigation procedure does not accord with public interests.

　　Article 29 Ministry of Commerce should terminate the investigation and publish it by announcement in case of one of following circumstances:

　　1. The government of the country （region） has canceled or readjusted the measures or ways under investigation;

　　2. The government of the country （region） has provided our country with proper trade compensation;

　　3. The government of the country （region） has performed the obligations of economic trade treaty or agreement;

　　Article 30 Ministry of Commerce may terminate the investigation and make an announcement in case of one of following circumstances:

　　1. The applicant does not provide proper cooperation during investigation;

　　2. Other circumstances that Ministry of Commerce thinks the investigation may be terminated.

　　Article 31 Ministry of Commerce should make a decision and announcement on whether the measures or ways constitute the trade barrier in terms of Article 3 of these Rules.

　　Article 32 Trade barrier investigation should be finished within 6 months as of the day of announcement for the investigation. It may be prolonged in case of special circumstances, but it should not exceed 3 months.

　　Article 33 If the measures or ways under investigation are confirmed to constitute trade barrier in terms of Article 3 of these Rules, Ministry of Commerce should take following measures according to the circumstances:

　　1. Hold bilateral²⁴ consultations;

　　2. Start settlement mechanism²⁵ of multilateral dispute;

　　3. Take other proper measures.

　　Chapter 5 supplementary Articles

　　Article 34 The announcement made in accordance with these Rules should make clear Important conditions, facts, reasons, foundations, results and conclusions.

　　Article 35 The investigation on foreign investment barrier should be implemented²⁶ according to these Rules.

　　Article 36 The interpretation²⁷ of these Rules should be vested in Ministry of Commerce.

　　Article 37 These Rules come into effect as of March 1, 2005

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