（中华人民共和国国家经济贸易委员会令第47号已经国家经济贸易委员会主任办公会议审议通过，二○○二年十二月十三日公布，自2003年1月15日起施行）

　　第一章　　总则

　　第一条　为规范保障措施产业损害调查与裁决，根据《中华人民共和国保障措施条例》（以下简称保障措施条例），制定本规定。

　　第二条　依据保障措施条例提出的保障措施调查申请及保障措施产业损害调查与裁决相关活动，适用本规定。

　　第三条　国家经济贸易委员会（以下简称国家经贸委）负责保障措施产业损害的调查与裁决。涉及农产品的保障措施产业损害调查，由国家经贸委会同农业部进行。

　　第四条　国家经贸委产业损害调查局负责本规定的具体实施。

　　第二章　　损害与因果关系的认定

　　第五条　损害，是指由于进口产品数量增加，对生产同类产品或者直接竞争产品的国内产业造成严重损害或者严重损害威胁。

　　严重损害是国内产业受到的全面的和重大的减损。

　　严重损害威胁是明显迫近的严重损害，如果不采取措施将导致严重损害的发生。

　　第六条　在确定进口产品数量增加对国内产业造成的严重损害或严重损害威胁时，应当考虑以下因素：

　　（一）进口产品增长情况，包括进口产品的绝对和相对增长率和增长量；

　　（二）增加的进口产品在国内市场中所占的份额；

　　（三）进口产品对国内产业的影响，包括对国内产业在产量、销售水平、市场份额、生产率、设备利用率、利润与亏损、就业等方面的影响；

　　（四）造成国内产业损害的其他因素。

　　对严重损害威胁的确定，应当依据事实，审查被调查产品出口国的生产能力、库存情况、出口能力和对中国出口继续增加的可能性等因素，而不得仅依据指控、推测或者极小的可能性。

　　第七条　国家经贸委在确定进口增长对国内产业的影响时，应当依据确实的证据，客观、综合的评估影响国内产业状况的各种可量化的指标，而不得仅根据个别指标作出裁决。

　　第八条　国家经贸委在确定进口产品数量增加与损害之间的因果关系时，不仅要考虑进口产品数量增加对国内产业的影响，还应当考虑造成损害的其他因素。这些因素包括：

　　（一）影响国内市场同类产品价格的其他因素；

　　（二）产品需求的变化；

　　（三）消费模式的变化；

　　（四）国内外生产者限制贸易的做法和国内外生产者之间的竞争条件的变化；

　　（五）技术进步情况；

　　（六）国内同类产品出口情况；

　　（七）其他因素。

　　如进口增长以外的其他因素造成国内产业损害的，则此类损害不得归因于进口的增长。

　　第九条　同类产品，是指与被调查进口产品相同的产品；没有相同产品的，以与被调查进口产品的特性最相似的产品为同类产品。

　　直接竞争产品，是指与被调查进口产品虽然不是同类产品，但是与被调查进口产品具有相近的用途和较强的可替代性，且具有直接竞争关系的产品。

　　第十条　在确定同类产品和直接竞争产品时，可以考虑以下因素：产品的物理特征、化学性能、生产设备和工艺、产品用途、产品的可替代性、消费者和生产者的评价、销售渠道、价格等。

　　第十一条　国家经贸委可以在产业损害裁定中对未造成国内产业损害的被调查产品或调查产品中的部分产品予以排除。对被排除的产品，不适用保障措施。

　　第十二条　国家经贸委在产业损害调查与裁决时，应当考虑社会公共利益，可以就采取保障措施对公共利益可能产生的影响进行调查。

　　国家经贸委应当为进口产品的使用者、消费者等提供陈述意见、提交证据的机会。

　　第十三条　保障措施案件的产业损害调查期通常为立案调查开始前的3年。

　　第三章　　产业损害调查

　　第十四条　申请人应当自保障措施调查立案公告发布之日起3日内向国家经贸委提交保障措施调查申请书及相关证据材料。

　　申请人提交的证据材料应当包括以下内容：

　　（一）最近3至5年进口增长（包括绝对增长和相对增长）情况及相关证据；

　　（二）最近3至5年增加的进口产品在国内市场中所占的份额；

　　（三）最近3至5年进口产品对国内产业的影响及相关证据，包括对国内产业在产量、销售水平、市场份额、生产率、设备利用率、利润与亏损、就业等方面的影响情况；

　　（四）进口产品增长与国内产业损害因果关系及相关证据；

　　（五）影响国内产业的其他因素及相关证据。

　　第十五条　申请人提交申请的同时，应当向国家经贸委提交产业调整计划，该计划应当包括以下内容：

　　（一）国内产业现状描述；

　　（二）国内产业受到进口增长造成的损害状况的描述；

　　（三）对采取保障措施的具体建议；

　　（四）国内产业调整的目标；

　　（五）国内产业调整的方式方法；

　　（六）国内产业调整的时间安排；

　　（七）申请人认为需要说明的其他情况。

　　第十六条　利害关系方申请参加保障措施调查活动的，应当自保障措施调查立案公告发布之日起20日内向国家经贸委提出参加调查活动的申请，办理有关登记。同时，可以对保障措施调查中的产业损害及因果关系发表意见，提供相应证据。

　　第十七条　利害关系方包括以下范围：

　　（一）被调查产品的外国（地区）生产者、出口经营者、国内进口经营者，或者该产品生产者、出口经营者、进口经营者的行业组织或者其他组织；

　　（二）被调查产品的原产国（地区）、出口国（地区）的政府及其代表；

　　（三）国内同类产品的生产者，经营者，或者该产品生产者、经营者的行业组织或者其他组织。

　　（四）其他。

　　第十八条　利害关系方参加调查活动，应当出具相关身份证明。利害关系方为企业或者其他组织的，应当出具营业执照等登记证明、法定代表人身份证明。

　　委托代理人参加调查活动的，应当出具代理人身份证明及授权委托书；委托律师作代理人的，应当委托中国律师事务所及中国执业律师，并应当出具授权委托书、律师事务所营业执照、律师执业证明。

　　第十九条　国家经贸委保障措施产业损害调查的对象包括国内生产者、国内进口经营者、国内购买者、国内最终消费者、国外出口经营者、国外生产者等。

　　第二十条　国家经贸委认为有必要的，可以聘请有关产业、财会、经贸、法律等方面的专家提供咨询意见。有关专家应当承担相应的保密责任。

　　第二十一条　国家经贸委采取问卷、抽样、听证、技术鉴定、实地核查等调查方式进行产业损害调查。

　　第二十二条　国家经贸委向利害关系方发放的调查问卷包括国内生产者调查问卷，国内进口商调查问卷，国内用户调查问卷，国外生产者、国外出口商调查问卷或者其他类型的调查问卷。

　　第二十三条　利害关系方应当按问卷规定的方式和时间返回答卷。如需延期，应当在答卷截止日期的7日前向国家经贸委提出书面申请并说明理由。是否同意延期，由国家经贸委决定。

　　第二十四条　国家经贸委可以对利害关系方进行实地核查。实地核查前，应当将核查的主要目的和内容提前通知有关利害关系方。

　　第二十五条　应利害关系方请求或者根据调查需要，经有关国家（地区）同意，国家经贸委可以派出人员赴该国家（地区）对有关产品的生产能力、投资扩产、库存、原产或转口及企业间的关联关系等情况进行调查。

　　第二十六条　国家经贸委可以组织有关机构和人员对国内产业调整计划进行论证，论证内容包括调整计划规定的目标、措施及可行性等。

　　第二十七条　国家经贸委可以要求利害关系方按照规定提交或者补充书面材料，利害关系方也可以主动向国家经贸委提交书面材料。

　　第二十八条　应利害关系方的请求，或者国家经贸委认为有必要的，可以举行产业损害听证。产业损害调查听证会依据《产业损害调查听证规则》举行。

　　第二十九条　利害关系方认为其所提供的资料及相关证据有必要保密的，应当在提交资料的同时向国家经贸委提交该资料的非保密概要，或者分别提交该资料的保密文本和公开文本。

　　非保密概要和公开文本应当合理表达保密信息的实质内容。未表达实质内容的，国家经贸委可以要求其补充相关内容和证据资料。

　　第三十条　利害关系方不提供资料及相关证据的非保密概要或公开文本的，或者不提交非保密概要或公开文本理由不充分的，国家经贸委可以对该资料不予考虑。国家经贸委如果认为提供的资料不需要保密时，可以要求利害关系方撤销保密申请。

　　第三十一条　在产业损害调查与裁决过程中，利害关系方应当如实反映情况，提供有关资料。利害关系方不如实反映情况、提供有关资料的，或者没有在合理时间内提供必要信息的，或者以其他方式严重妨碍调查的，国家经贸委可以根据已经获得的事实和可获得的最佳信息作出裁定。

　　第三十二条　在保障措施调查立案后、最终裁定公布之前，任何利害关系方均可以到国家经贸委查阅与本案调查有关的公开信息。最终裁定公布后合理时间内，有关利害关系方也可以查阅有关公开信息。

　　第三十三条　利害关系方查阅公开信息时，应当出具相关证明文件并依据规定办理查阅手续。

　　第三十四条　利害关系方可以摘抄、复制公开信息，但不得将公开信息原件带离国家经贸委。

　　国家经贸委应当向利害关系方提供必要的查阅条件。

　　第四章　　产业损害裁决

　　第三十五条　国家经贸委可以根据国内产业提出的产业调整计划及调查中获取的相关信息，提出国内产业调整的政策性建议。

　　国家经贸委应对拟采取的保障措施对促进国内产业调整的效果和时间进行评估。

　　第三十六条　国家经贸委根据初步调查结果，就损害以及进口产品数量增加与损害之间的因果关系是否成立作出初裁决定。

　　第三十七条　初步裁定确定进口产品数量增加对国内产业造成损害、数量增加与损害之间的因果关系成立的，国家经贸委应当对损害及损害程度继续进行调查。国家经贸委根据调查结果就损害和数量增加与损害之间的因果关系是否成立作出终裁决定。

　　第三十八条　保障措施实施期限超过1年的，根据国内产业调整的需要和进展，国家经贸委可以提出逐步放宽保障措施的建议。

　　第三十九条　保障措施实施期限超过3年的，国家经贸委应当对该项保障措施对国内产业的影响以及国内产业调整状况等进行期中复审。对期中复审案件，国家经贸委应当作出复审裁决。

　　第四十条期　中复审程序参照保障措施调查的有关规定执行。

　　第四十一条　在最终裁定规定的保障措施到期日前60日，国家经贸委可以根据国内产业情况就是否取消或延长保障措施提出意见。

　　第五章　　附则

　　第四十二条　利害关系方在向国家经贸委提交任何文件及证据材料时，均应提交中文正本一式5份，并同时提交相应的电子文本（计算机软盘或光盘）一式3份。

　　第四十三条　国家经贸委产业损害调查与裁决，依据国家语言文字主管部门规定的规范中文为正式语言和文字。利害关系方所提供的任何文件、资料、信息应当为规范中文。非中文资料应提交中文译文及原文，并以中文译文为准。非中文资料如未附有中文译文将不被视为有效的和合法的证据材料。

　　第四十四条　本规定由国家经贸委负责解释。

　　第四十五条　本规定自2003年1月15日起施行。

Provisions on Safeguards Investigation¹ And Award of Industry Injury
Order of the State Economic and Trade Commission of the People's Republic of China No.47

　　The Provisions on Safeguards Investigation and Award of Industry Injury, which have been adopted at the director''s executive meeting of the State Economic and Trade Commission, are hereby promulgated² and shall come into force on January 15, 2003.

Director of the State Economic and Trade Commission: Li Rongrong
December 13, 2002

Provisions on Safeguards Investigation and Award of Industry Injury

　　Chapter I General Provisions

　　Article 1 In order to regulate and guarantee the safeguards investigation and award of industry injury, these Provisions have been enacted³ in accordance with the Safeguards Regulations of the People''s Republic of China （hereinafter referred to as Safeguards Regulations）.

　　Article 2 The applications for safeguards investigation filed pursuant to the Safeguards Regulations, as well as the activities relating to safeguards investigation and award of industry injury, shall be governed by these Provisions.

　　Article 3 The State Economic and Trade Commission （hereinafter referred to as SETC） shall be in charge of the investigation and award of safeguards industry injury. Safeguards investigation of industry injury involving agriculture products shall be carried out by SETC in conjunction with the Ministry⁴ of Agriculture.

　　Article 4 The Bureau of Industry Injury Investigation under SETC is responsible for the concrete implementation⁵ of these Provisions.

　　Chapter II Determination of Injury and Causation

　　Article 5 Injury refers to the serious injury or threat caused by the increase of import products to the domestic industries that produce the same kind of products or the direct competitive products.

　　Serious injury refers to the all-around and major derogation suffered by the domestic industries.

　　Serious threat refers to the obvious impendent serious injury, which will occur if no measures are taken.

　　Article 6 The following factors shall be taken into consideration in the determination of serious injury or threat caused to the domestic industries by increase of import products:

　　1） Increase of import products, including the absolute and relative increase rate and the amount of import products;

　　2） Share of domestic market occupied by the increased import products;

　　3） Impact of the import products on the domestic industries, in terms of output, sale level, market share, productivity, equipment utilization⁶ rate, profit and loss, and employment etc;

　　4） Other facts that cause injury to the domestic industries.

　　Determination of serious threat shall be based on the examination of, according to the facts, the production capacity, reserve, export capacity and possibility of continual increase of export to China etc of the export country, and shall not be based on charges, supposition or minimal⁷ possibility.

　　Article 7 When determining the impact of import increase on domestic industries, SETC shall objectively and comprehensively evaluate the various quantitative⁸ indexes that affect the domestic industries according to the conclusive⁹ evidence, and shall not make the award only on the basis of very few indexes.

　　Article 8 When determining the causation between the increase of import products and the injury, SETC shall not only take into consideration the impact of the increase of import products on domestic industries, but also other factors causing the injury. Such other factors shall include:

　　1） Other factors affecting the price of the same kind of products in the domestic market;

　　2） Change of need for the products;

　　3） Change of consumption pattern;

　　4） Restriction¹⁰ on trade implemented¹¹ by the domestic and foreign manufacturers and the change of the competitive conditions between the domestic and foreign manufacturers;

　　5） Progress of technology;

　　6） Export of the same kind of domestic products;

　　7） Other factors.

　　If any factors other than the import increase cause injury to the domestic industries, such injury shall not be attributed to the import increase.

　　Article 9 The same kind of products refer to the products identical with the import products under investigation; where there are no identical products, the products that have the most similar characteristics as those of the import products under investigation shall be the same kind of products.

　　Direct competitive products refer to the products that, though not of the same kind of products as the import product under investigation, have the similar usage as that of the import products under investigation and may easily replace the import products, and they also have direct competitive relationship.

　　Article 10 When determining the same kind of products and direct competitive products, the following factors may be taken into consideration: physical characteristics, chemical nature, production equipment and technics, usage, replaceable nature, comment of the consumers and manufacturer, sale channels and price of the products etc.

　　Article 11 SETC may exclude the products under investigation or part of those products that haven''t caused the industrial injury to the domestic industries in the award of industry injury. No safeguards will be applied¹² to the excluded products.

　　Article 12 In the investigation and award of industry injury, SETC shall take the public interest into consideration, and may make the investigation on the possible impact of safeguards on the public interest.

　　SETC shall provide chances for the users and consumers of the import products to state their opinions and to submit evidence

　　Article 13 As a general principle, the period of industry injury investigation of a safeguards case is 3 years before the case is put on file.

　　Chapter III Industry Injury Investigation

　　Article 14 The applicant¹³ shall, within 3 days from the proclamation of the filing of the case of safeguards investigation, submit the application form for safeguards investigation and the relevant evidence to SETC.

　　Evidence and materials submitted by the applicant shall include the following matters:

　　1） Increase of import （including the absolute and relative increase） in the last 3 to 5 years and the relevant evidence;

　　2） Share of the import products increased in the last 3 to 5 years in the domestic market;

　　3） Causation between the increase of import products and the injury to the domestic industries, and the relevant evidence;

　　4） Other factors affecting the domestic industries and the relevant evidence.

　　5） Impact of the import products increased in the last 3 to 5 years on the domestic industries, and the relevant evidence, in terms of output, sale level, market share, productivity, equipment utilization rate, profit and loss, and employment etc;

　　Article 15 The applicant shall also submit to SETC an industry adjustment plan together with the application, the plan shall include the following matters:

　　1） Description of the present status of the domestic industries;

　　2） Description of the injury suffered by the domestic industries due to the import increase;

　　3） Specific suggestions on safeguards;

　　4） Target of the adjustment of domestic industries;

　　5） Forms and methods for adjustment of domestic industries;

　　6） Schedule for the adjustment of domestic industries;

　　7） Other matters that the applicant deems as necessary to be explained.

　　Article 16 Where any interested party applies for participating in the safeguards investigation activities, it shall file the application with SETC and make the relevant registration¹⁴ within 20 days from the day of proclamation of case-filing of the safeguards investigation. And the party may at the same time give opinions on the industry injury and causation in the safeguards investigation, and provide the corresponding evidence.

　　Article 17 Interested parties shall include:

　　1） Foreign （region） manufactures, exporters and domestic importers of the product under investigation, or the industrial or other organization of the manufacturers, exporters, and importers of that product;

　　2） Governments and the government representatives of the country （region） of origin and the export country （region） of the product under investigation;

　　3） Manufactures and sellers of the same kind of domestic product, or the industrial or other organizations of the manufactures and sellers of that product.

　　4） Others.

　　Article 18 Where any interested parties participate in the investigation activities, they shall present the relevant identification certificates. Where the interested party is an enterprise or other organization, it shall present the registration certificate, the business license¹⁵, and the identification certificate of the legal representative.

　　Where any agent participates in the investigation activities upon entrustment¹⁷, the agent''s identification certificate and trust deed shall be presented; where a party entrusts¹⁸ any lawyer to act as an agent, it shall entrust¹⁶ one who is a licensed¹⁹ lawyer from a Chinese law firm, and shall present the trust deed, the business license of the law firm and the practice certificate of the lawyer.

　　Article 19 Objects of the safeguards investigation of industry injury by SETC include domestic manufacturers, domestic importers, domestic purchasers, domestic final users, foreign exporters and foreign manufacturers etc.

　　Article 20 SETC may retain experts in the fields of industry, finance and accounting²⁰, trade and law etc to provide consultation²¹ if it deems necessary. The relevant experts are obliged to keep the secret concerned.

　　Article 21 SETC employs such investigation methods as questionnaire, sample, hearing, technical appraisal²² and on-spot inspection²³ in the industry injury investigation.

　　Article 22 Questionnaires issued by SETC to the interested parties include: questionnaires for domestic manufacturers, questionnaires for domestic importers, questionnaires for domestic users, questionnaires for foreign manufacturers, foreign exporters or other kinds of questionnaires.

　　Article 23 The interested parties shall return the answer sheets pursuant to the method and time provided for by the questionnaires. Where any party needs an extension, it shall, within 7 days prior to the deadline for the answer, file a written application with SETC and explain the reasons. Whether to grant the extension shall be decided²⁴ by SETC.

　　Article 24 SETC may make an on-spot inspection over the interested parties. Before the on-spot inspection, the main purpose and contents of the inspection shall be notified to the relevant interested parties in advance.

　　Article 25 At the request of an interested party or according to the need of investigation, SETC may, with the consent of the relevant country （region）, send personnel to that country （region） to investigate, with respect to the relevant product, the production capacity, investment and expansion, storage, origin or transit²⁵, as well as the association relationship among the enterprises.

　　Article 26 SETC may organize relevant agencies and personnel to demonstrate the adjustment plan of domestic industries, including the aim, measures and feasibility etc provided for by the adjustment plan.

　　Article 27 SETC may ask the interested parties to submit or supplement written materials pursuant to the provisions, or the interested parties may voluntarily submit the written materials to SETC.

　　Article 28 Industry injury hearings may be held at the request of the interested parties or where SETC deems necessary. Industry injury investigation hearings shall be held in accordance with the Rules for Industry Investigation Hearings.

　　Article 29 Where any interested party deems necessary to keep confidential²⁶ the materials and the relevant evidence provided, it shall, when submitting those materials to SETC, submit a non-confidential outline thereof together, or submit the confidential version and open version of those materials separately.

　　The non-confidential outline and open version shall reasonably present the substantial contents of the confidential information. If this requirement is not met, SETC may request the party to supplement the relevant contents and evidence materials.

　　Article 30 Where an interested party fails to provide the non-confidential outline or open version of the materials and relevant evidence, or the reasons for failure to do so are insufficient²⁷, SETC may give no consideration to those materials. If SETC deems unnecessary to keep confidential the materials provided, it may request the interested party to cancel the application for keeping confidential.

　　Article 31 In the course of industry injury investigation and award, an interested party shall tell the truth and provide the relevant materials. If the interested party fails to do so or fails to provide the necessary information within a reasonable time, or seriously interferes²⁸ with the investigation by other means, SETC may make the award on the basis of the facts already obtained and the superior information available.

　　Article 32 After a safeguards investigation is put on file and before the final award is proclaimed, any interested party may consult the open information relating to the investigation of this case with SETC. Within a reasonable time after the final award is proclaimed, the relevant interested party may also consult the relevant open information.

　　Article 33 To consult the open information, an interested party shall present the relevant certifications and go through the formalities for consulting pursuant to the provisions.

　　Article 34 An interested party may extract and duplicate the open information, but may not take the original of the open information outside of SETC.

　　Chapter IV Industry Injury Award

　　Article 35 SETC may give policy suggestions for the adjustment of domestic industries according to the industry adjustment plans filed by the domestic industries and the relevant information obtained through the investigation.

　　SETC shall evaluate the effect of the safeguards to be taken on promoting the adjustment of domestic industries and the time it will take.

　　Article 36 SETC shall, according to the initial investigation results, make a preliminary award on the injury and whether there is causation between the injury and the increased import products.

　　Article 37 Where the preliminary award determines that the increased import products has caused injury to the domestic industries and there is causation between the increased amount and the injury, SETC shall continue to make an investigation on the injury and the degree thereof. SETC shall, according to the investigation results, make the final award on injury and whether there is causation between the injury and the increased import products.

　　Article 38 Where a safeguard measure has been implemented for more than 1 year, SETC may suggest to gradually ease that measure according to the need and development of domestic industries.

　　Article 39 Where a safeguard measure has been implemented for more than 3 years, SETC shall make a midterm review of the impact of that safeguard on domestic industries and the adjustment of domestic industries. For a midterm review case, SETC shall make a review award.

　　Article 40 As to the procedures for midterm review, the relevant provisions on safeguards investigation shall be referred to.

　　Article 41 Within 60 days prior to the expiration²⁹ of a safeguard measure as stipulated³⁰ in the final award, SETC may give opinions on whether to cancel or extend that measure according to the situation of domestic industries.

　　Chapter V Supplementary³¹ Provisions

　　Article 42 When submitting any documents and evidence materials to SETC, an interested party shall submit the Chinese version in quintuplicate, and shall submit the corresponding electronic version in triplicate （computer disks or CD-ROM）.

　　Article 43 In the industry injury investigation and award of SETC, the normative Chinese provided for by the language authority of the state shall be used as the formal language and characters. Any documents, materials and information provided by the interested parties shall be normative Chinese. Non-Chinese materials shall be accompanied by Chinese translations and the original text, and the Chinese translation shall be superior to the others. Non-Chinese materials without Chinese translation accompanies shall not be regarded as valid³² and legal evidence materials.

　　Article 44 The power to interpret these Provisions shall remain with SETC.

　　Article 45 These Provisions shall enter into force on January 15, 2003

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