世界贸易组织法律文件


PROTOCOL ON THE ACCESSION OF
THE PEOPLE'S REPUBLIC OF CHINA


Preamble

The World Trade Organization ("WTO"), pursuant to the approval of the Ministerial Conference of the WTO accorded under Article XII of the Marrakesh Agreement Establishing the World Trade Organization ("WTO Agreement"), and the People's Republic of China ("China"),

Recalling that China was an original contracting party to the General Agreement on Tariffs and Trade 1947,

Taking note that China is a signatory to the Final Act Embodying the Results of the Uruguay Round of Multilateral Trade Negotiations,

Taking note of the Report of the Working Party on the Accession of China in document WT/ACC/CHN/49 ("Working Party Report"),

Having regard to the results of the negotiations concerning China's membership in the WTO,

Agree as follows:

Part I - General Provisions

1. General

1. Upon accession, China accedes to the WTO Agreement pursuant to Article XII of that Agreement and thereby becomes a Member of the WTO.

2. The WTO Agreement to which China accedes shall be the WTO Agreement as rectified, amended or otherwise modified by such legal instruments as may have entered into force before the date of accession. This Protocol, which shall include the commitments referred to in paragraph 342 of the Working Party Report, shall be an integral part of the WTO Agreement.

3. Except as otherwise provided for in this Protocol, those obligations in the Multilateral Trade Agreements annexed to the WTO Agreement that are to be implemented over a period of time starting with entry into force of that Agreement shall be implemented by China as if it had accepted that Agreement on the date of its entry into force.

4. China may maintain a measure inconsistent with paragraph 1of Article II of the General Agreement on Trade in Services ("GATS") provided that such a measure is recorded in the List of Article II Exemptions annexed to this Protocol and meets the conditions of the Annex to the GATS on Article II Exemptions.

2. Administration of the Trade Regime

(A) Uniform Administration

1. The provisions of the WTO Agreement and this Protocol shall apply to the entire customs territory of China, including border trade regions and minority autonomous areas, Special Economic Zones, open coastal cities, economic and technical development zones and other areas where special regimes for tariffs, taxes and regulations are established (collectively referred to as "special economic areas").

2. China shall apply and administer in a uniform, impartial and reasonable manner all its laws, regulations and other measures of the central government as well as local regulations, rules and other measures issued or applied at the sub-national level (collectively referred to as "laws, regulations and other measures") pertaining to or affecting trade in goods, services, trade-related aspects of intellectual property rights ("TRIPS") or the control of foreign exchange.

3. China's local regulations, rules and other measures of local governments at the sub-national level shall conform to the obligations undertaken in the WTO Agreement and this Protocol.

4. China shall establish a mechanism under which individuals and enterprises can bring to the attention of the national authorities cases of non-uniform application of the trade regime.

(B) Special Economic Areas

1. China shall notify to the WTO all the relevant laws, regulations and other measures relating to its special economic areas, listing these areas by name and indicating the geographic boundaries that define them. China shall notify the WTO promptly, but in any case within 60 days, of any additions or modifications to its special economic areas, including notification of the laws, regulations and other measures relating thereto.

2. China shall apply to imported products, including physically incorporated components, introduced into the other parts of China's customs territory from the special economic areas, all taxes, charges and measures affecting imports, including import restrictions and customs and tariff charges, that are normally applied to imports into the other parts of China's customs territory.

3. Except as otherwise provided for in this Protocol, in providing preferential arrangements for enterprises within such special economic areas, WTO provisions on non-discrimination and national treatment shall be fully observed.

(C) Transparency

1. China undertakes that only those laws, regulations and other measures pertaining to or affecting trade in goods, services, TRIPS or the control of foreign exchange that are published and readily available to other WTO Members, individuals and enterprises, shall be enforced. In addition, China shall make available to WTO Members, upon request, all laws, regulations and other measures pertaining to or affecting trade in goods, services, TRIPS or the control of foreign exchange before such measures are implemented or enforced. In emergency situations, laws, regulations and other measures shall be made available at the latest when they are implemented or enforced.

2. China shall establish or designate an official journal dedicated to the publication of all laws, regulations and other measures pertaining to or affecting trade in goods, services, TRIPS or the control of foreign exchange and, after publication of its laws, regulations or other measures in such journal, shall provide a reasonable period for comment to the appropriate authorities before such measures are implemented, except for those laws, regulations and other measures involving national security, specific measures setting foreign exchange rates or monetary policy and other measures the publication of which would impede law enforcement. China shall publish this journal on a regular basis and make copies of all issues of this journal readily available to individuals and enterprises.

3. China shall establish or designate an enquiry point where, upon request of any individual, enterprise or WTO Member all information relating to the measures required to be published under paragraph 2(C)1 of this Protocol may be obtained. Replies to requests for information shall generally be provided within 30 days after receipt of a request. In exceptional cases, replies may be provided within 45 days after receipt of a request. Notice of the delay and the reasons therefor shall be provided in writing to the interested party. Replies to WTO Members shall be complete and shall represent the authoritative view of the Chinese government. Accurate and reliable information shall be provided to individuals and enterprises.

(D) Judicial Review

1. China shall establish, or designate, and maintain tribunals, contact points and procedures for the prompt review of all administrative actions relating to the implementation of laws, regulations, judicial decisions and administrative rulings of general application referred to in Article X:1 of the GATT 1994, Article VI of the GATS and the relevant provisions of the TRIPS Agreement. Such tribunals shall be impartial and independent of the agency entrusted with administrative enforcement and shall not have any substantial interest in the outcome of the matter.

2. Review procedures shall include the opportunity for appeal, without penalty, by individuals or enterprises affected by any administrative action subject to review. If the initial right of appeal is to an administrative body, there shall in all cases be the opportunity to choose to appeal the decision to a judicial body. Notice of the decision on appeal shall be given to the appellant and the reasons for such decision shall be provided in writing. The appellant shall also be informed of any right to further appeal.

3. Non-discrimination

Except as otherwise provided for in this Protocol, foreign individuals and enterprises and foreign-funded enterprises shall be accorded treatment no less favourable than that accorded to other individuals and enterprises in respect of:

(a) the procurement of inputs and goods and services necessary for production and the conditions under which their goods are produced, marketed or sold, in the domestic market and for export; and

(b) the prices and availability of goods and services supplied by national and sub-national authorities and public or state enterprises, in areas including transportation, energy, basic telecommunications, other utilities and factors of production.

4. Special Trade Arrangements

Upon accession, China shall eliminate or bring into conformity with the WTO Agreement all special trade arrangements, including barter trade arrangements, with third countries and separate customs territories, which are not in conformity with the WTO Agreement.

5. Right to Trade

1. Without prejudice to China's right to regulate trade in a manner consistent with the WTO Agreement, China shall progressively liberalize the availability and scope of the right to trade, so that, within three years after accession, all enterprises in China shall have the right to trade in all goods throughout the customs territory of China, except for those goods listed in Annex 2A which continue to be subject to state trading in accordance with this Protocol. Such right to trade shall be the right to import and export goods. All such goods shall be accorded national treatment under Article III of the GATT 1994, especially paragraph 4 thereof, in respect of their internal sale, offering for sale, purchase, transportation, distribution or use, including their direct access to end-users. For those goods listed in Annex 2B, China shall phase out limitation on the grant of trading rights pursuant to the schedule in that Annex. China shall complete all necessary legislative procedures to implement these provisions during the transition period.

2. Except as otherwise provided for in this Protocol, all foreign individuals and enterprises, including those not invested or registered in China, shall be accorded treatment no less favourable than that accorded to enterprises in China with respect to the right to trade.

6. State Trading

1. China shall ensure that import purchasing procedures of state trading enterprises are fully transparent, and in compliance with the WTO Agreement, and shall refrain from taking any measure to influence or direct state trading enterprises as to the quantity, value, or country of origin of goods purchased or sold, except in accordance with the WTO Agreement.

2. As part of China's notification under the GATT 1994 and the Understanding on the Interpretation of Article XVII of the GATT 1994, China shall also provide full information on the pricing mechanisms of its state trading enterprises for exported goods.

7. Non-Tariff Measures

1. China shall implement the schedule for phased elimination of the measures contained in Annex 3. During the periods specified in Annex 3, the protection afforded by the measures listed in that Annex shall not be increased or expanded in size, scope or duration, nor shall any new measures be applied, unless in conformity with the provisions of the WTO Agreement.

2. In implementing the provisions of Articles III and XI of the GATT 1994 and the Agreement on Agriculture, China shall eliminate and shall not introduce, re-introduce or apply non-tariff measures that cannot be justified under the provisions of the WTO Agreement. For all non-tariff measures, whether or not referred to in Annex 3, that are applied after the date of accession, consistent with the WTO Agreement or this Protocol, China shall allocate and otherwise administer such measures in strict conformity with the provisions of the WTO Agreement, including GATT 1994 and Article XIII thereof, and the Agreement on Import Licensing Procedures, including notification requirements.

3. China shall, upon accession, comply with the TRIMs Agreement, without recourse to the provisions of Article 5 of the TRIMs Agreement. China shall eliminate and cease to enforce trade and foreign exchange balancing requirements, local content and export or performance requirements made effective through laws, regulations or other measures. Moreover, China will not enforce provisions of contracts imposing such requirements. Without prejudice to the relevant provisions of this Protocol, China shall ensure that the distribution of import licences, quotas, tariff-rate quotas, or any other means of approval for importation, the right of importation or investment by national and sub-national authorities, is not conditioned on: whether competing domestic suppliers of such products exist; or performance requirements of any kind, such as local content, offsets, the transfer of technology, export performance or the conduct of research and development in China.

4. Import and export prohibitions and restrictions, and licensing requirements affecting imports and exports shall only be imposed and enforced by the national authorities or by sub-national authorities with authorization from the national authorities. Such measures which are not imposed by the national authorities or by sub-national authorities with authorization from the national authorities, shall not be implemented or enforced.

8. Import and Export Licensing

1. In implementing the WTO Agreement and provisions of the Agreement on Import Licensing Procedures, China shall undertake the following measures to facilitate compliance with these agreements:

(a) China shall publish on a regular basis the following in the official journal referred to in paragraph 2(C)2 of this Protocol:

- by product, the list of all organizations, including those organizations delegated such authority by the national authorities, that are responsible for authorizing or approving imports or exports, whether through grant of licence or other approval;

- procedures and criteria for obtaining such import or export licences or other approvals, and the conditions for deciding whether they should be granted;

- a list of all products, by tariff number, that are subject to tendering requirements, including information on products subject to such tendering requirements and any changes, pursuant to the Agreement on Import Licensing Procedures;

- a list of all goods and technologies whose import or export are restricted or prohibited; these goods shall also be notified to the Committee on Import Licensing;

- any changes to the list of goods and technologies whose import and export are restricted or prohibited.

Copies of these submissions in one or more official languages of the WTO shall be forwarded to the WTO for circulation to WTO Members and for submission to the Committee on Import Licensing within 75 days of each publication.

(b) China shall notify the WTO of all licensing and quota requirements remaining in effect after accession, listed separately by HS tariff line and with the quantities associated with the restriction, if any, and the justification for maintaining the restriction or its scheduled date of termination.

(c) China shall submit the notification of its import licensing procedures to the Committee on Import Licensing. China shall report annually to the Committee on Import Licensing on its automatic import licensing procedures, explaining the circumstances which give rise to these requirements and justifying the need for their continuation. This report shall also provide the information listed in Article 3 of the Agreement on Import Licensing Procedures.

(d) China shall issue import licences for a minimum duration of validity of six months, except where exceptional circumstances make this impossible. In such cases, China shall promptly notify the Committee on Import Licensing of the exceptional circumstances requiring the shorter period of licence validity.

2. Except as otherwise provided for in this Protocol, foreign individuals and enterprises and foreign-funded enterprises shall be accorded treatment no less favourable than that accorded to other individuals and enterprises in respect of the distribution of import and export licences and quotas.

9. Price Controls

1. China shall, subject to paragraph 2 below, allow prices for traded goods and services in every sector to be determined by market forces, and multi-tier pricing practices for such goods and services shall be eliminated.

2. The goods and services listed in Annex 4 may be subject to price controls, consistent with the WTO Agreement, in particular Article III of the GATT 1994 and Annex 2, paragraphs 3 and 4 of the Agreement on Agriculture. Except in exceptional circumstances, and subject to notification to the WTO, price controls shall not be extended to goods or services beyond those listed in Annex 4, and China shall make best efforts to reduce and eliminate these controls.

3. China shall publish in the official journal the list of goods and services subject to state pricing and changes thereto.

10. Subsidies

1. China shall notify the WTO of any subsidy within the meaning of Article 1 of the Agreement on Subsidies and Countervailing Measures ("SCM Agreement"), granted or maintained in its territory, organized by specific product, including those subsidies defined in Article 3 of the SCM Agreement. The information provided should be as specific as possible, following the requirements of the questionnaire on subsidies as noted in Article 25 of the SCM Agreement.

2. For purposes of applying Articles 1.2 and 2 of the SCM Agreement, subsidies provided to state-owned enterprises will be viewed as specific if, inter alia, state-owned enterprises are the predominant recipients of such subsidies or state-owned enterprises receive disproportionately large amounts of such subsidies.

3. China shall eliminate all subsidy programmes falling within the scope of Article 3 of the SCM Agreement upon accession.

11. Taxes and Charges Levied on Imports and Exports

1. China shall ensure that customs fees or charges applied or administered by national or sub-national authorities, shall be in conformity with the GATT 1994.

2. China shall ensure that internal taxes and charges, including value-added taxes, applied or administered by national or sub-national authorities shall be in conformity with the GATT 1994.

3. China shall eliminate all taxes and charges applied to exports unless specifically provided for in Annex 6 of this Protocol or applied in conformity with the provisions of Article VIII of the GATT 1994.

4. Foreign individuals and enterprises and foreign-funded enterprises shall, upon accession, be accorded treatment no less favourable than that accorded to other individuals and enterprises in respect of the provision of border tax adjustments.

12. Agriculture

1. China shall implement the provisions contained in China's Schedule of Concessions and Commitments on Goods and, as specifically provided in this Protocol, those of the Agreement on Agriculture. In this context, China shall not maintain or introduce any export subsidies on agricultural products.

2. China shall, under the Transitional Review Mechanism, notify fiscal and other transfers between or among state-owned enterprises in the agricultural sector (whether national or sub-national) and other enterprises that operate as state trading enterprises in the agricultural sector.

13. Technical Barriers to Trade

1. China shall publish in the official journal all criteria, whether formal or informal, that are the basis for a technical regulation, standard or conformity assessment procedure.

2. China shall, upon accession, bring into conformity with the TBT Agreement all technical regulations, standards and conformity assessment procedures.

3. China shall apply conformity assessment procedures to imported products only to determine compliance with technical regulations and standards that are consistent with the provisions of this Protocol and the WTO Agreement. Conformity assessment bodies will determine the conformity of imported products with commercial terms of contracts only if authorized by the parties to such contract. China shall ensure that such inspection of products for compliance with the commercial terms of contracts does not affect customs clearance or the granting of import licences for such products.

4. (a) Upon accession, China shall ensure that the same technical regulations, standards and conformity assessment procedures are applied to both imported and domestic products. In order to ensure a smooth transition from the current system, China shall ensure that, upon accession, all certification, safety licensing, and quality licensing bodies and agencies are authorized to undertake these activities for both imported and domestic products, and that, one year after accession, all conformity assessment bodies and agencies are authorized to undertake conformity assessment for both imported and domestic products. The choice of body or agency shall be at the discretion of the applicant. For imported and domestic products, all bodies and agencies shall issue the same mark and charge the same fee. They shall also provide the same processing periods and complaint procedures. Imported products shall not be subject to more than one conformity assessment. China shall publish and make readily available to other WTO Members, individuals, and enterprises full information on the respective responsibilities of its conformity assessment bodies and agencies.

(b) No later than 18 months after accession, China shall assign the respective responsibilities of its conformity assessment bodies solely on the basis of the scope of work and type of product without any consideration of the origin of a product. The respective responsibilities that will be assigned to China's conformity assessment bodies will be notified to the TBT Committee 12 months after accession.

14. Sanitary and Phytosanitary Measures

China shall notify to the WTO all laws, regulations and other measures relating to its sanitary and phytosanitary measures, including product coverage and relevant international standards, guidelines and recommendations, within 30 days after accession.

15. Price Comparability in Determining Subsidies and Dumping

Article VI of the GATT 1994, the Agreement on Implementation of Article VI of the General Agreement on Tariffs and Trade 1994 ("Anti-Dumping Agreement") and the SCM Agreement shall apply in proceedings involving imports of Chinese origin into a WTO Member consistent with the following:

(a) In determining price comparability under Article VI of the GATT 1994 and the Anti-Dumping Agreement, the importing WTO Member shall use either Chinese prices or costs for the industry under investigation or a methodology that is not based on a strict comparison with domestic prices or costs in China based on the following rules:

(i) If the producers under investigation can clearly show that market economy conditions prevail in the industry producing the like product with regard to the manufacture, production and sale of that product, the importing WTO Member shall use Chinese prices or costs for the industry under investigation in determining price comparability;

(ii) The importing WTO Member may use a methodology that is not based on a strict comparison with domestic prices or costs in China if the producers under investigation cannot clearly show that market economy conditions prevail in the industry producing the like product with regard to manufacture, production and sale of that product.

(b) In proceedings under Parts II, III and V of the SCM Agreement, when addressing subsidies described in Articles 14(a), 14(b), 14(c) and 14(d), relevant provisions of the SCM Agreement shall apply; however, if there are special difficulties in that application, the importing WTO Member may then use methodologies for identifying and measuring the subsidy benefit which take into account the possibility that prevailing terms and conditions in China may not always be available as appropriate benchmarks. In applying such methodologies, where practicable, the importing WTO Member should adjust such prevailing terms and conditions before considering the use of terms and conditions prevailing outside China.

(c) The importing WTO Member shall notify methodologies used in accordance with subparagraph (a) to the Committee on Anti-Dumping Practices and shall notify methodologies used in accordance with subparagraph (b) to the Committee on Subsidies and Countervailing Measures.

(d) Once China has established, under the national law of the importing WTO Member, that it is a market economy, the provisions of subparagraph (a) shall be terminated provided that the importing Member's national law contains market economy criteria as of the date of accession. In any event, the provisions of subparagraph (a)(ii) shall expire 15 years after the date of accession. In addition, should China establish, pursuant to the national law of the importing WTO Member, that market economy conditions prevail in a particular industry or sector, the non-market economy provisions of subparagraph (a) shall no longer apply to that industry or sector.

16. Transitional Product-Specific Safeguard Mechanism

1. In cases where products of Chinese origin are being imported into the territory of any WTO Member in such increased quantities or under such conditions as to cause or threaten to cause market disruption to the domestic producers of like or directly competitive products, the WTO Member so affected may request consultations with China with a view to seeking a mutually satisfactory solution, including whether the affected WTO Member should pursue application of a measure under the Agreement on Safeguards. Any such request shall be notified immediately to the Committee on Safeguards.

2. If, in the course of these bilateral consultations, it is agreed that imports of Chinese origin are such a cause and that action is necessary, China shall take such action as to prevent or remedy the market disruption. Any such action shall be notified immediately to the Committee on Safeguards.

3. If consultations do not lead to an agreement between China and the WTO Member concerned within 60 days of the receipt of a request for consultations, the WTO Member affected shall be free, in respect of such products, to withdraw concessions or otherwise to limit imports only to the extent necessary to prevent or remedy such market disruption. Any such action shall be notified immediately to the Committee on Safeguards.

4. Market disruption shall exist whenever imports of an article, like or directly competitive with an article produced by the domestic industry, are increasing rapidly, either absolutely or relatively, so as to be a significant cause of material injury, or threat of material injury to the domestic industry. In determining if market disruption exists, the affected WTO Member shall consider objective factors, including the volume of imports, the effect of imports on prices for like or directly competitive articles, and the effect of such imports on the domestic industry producing like or directly competitive products.

5. Prior to application of a measure pursuant to paragraph 3, the WTO Member taking such action shall provide reasonable public notice to all interested parties and provide adequate opportunity for importers, exporters and other interested parties to submit their views and evidence on the appropriateness of the proposed measure and whether it would be in the public interest. The WTO Member shall provide written notice of the decision to apply a measure, including the reasons for such measure and its scope and duration.

6. A WTO Member shall apply a measure pursuant to this Section only for such period of time as may be necessary to prevent or remedy the market disruption. If a measure is taken as a result of a relative increase in the level of imports, China has the right to suspend the application of substantially equivalent concessions or obligations under the GATT 1994 to the trade of the WTO Member applying the measure, if such measure remains in effect more than two years. However, if a measure is taken as a result of an absolute increase in imports, China has a right to suspend the application of substantially equivalent concessions or obligations under the GATT 1994 to the trade of the WTO Member applying the measure, if such measure remains in effect more than three years. Any such action by China shall be notified immediately to the Committee on Safeguards.

7. In critical circumstances, where delay would cause damage which it would be difficult to repair, the WTO Member so affected may take a provisional safeguard measure pursuant to a preliminary determination that imports have caused or threatened to cause market disruption. In this case, notification of the measures taken to the Committee on Safeguards and a request for bilateral consultations shall be effected immediately thereafter. The duration of the provisional measure shall not exceed 200 days during which the pertinent requirements of paragraphs 1, 2 and 5 shall be met. The duration of any provisional measure shall be counted toward the period provided for under paragraph 6.

8. If a WTO Member considers that an action taken under paragraphs 2, 3 or 7 causes or threatens to cause significant diversions of trade into its market, it may request consultations with China and/or the WTO Member concerned. Such consultations shall be held within 30 days after the request is notified to the Committee on Safeguards. If such consultations fail to lead to an agreement between China and the WTO Member or Members concerned within 60 days after the notification, the requesting WTO Member shall be free, in respect of such product, to withdraw concessions accorded to or otherwise limit imports from China, to the extent necessary to prevent or remedy such diversions. Such action shall be notified immediately to the Committee on Safeguards.

9. Application of this Section shall be terminated 12 years after the date of accession.

17. Reservations by WTO Members

All prohibitions, quantitative restrictions and other measures maintained by WTO Members against imports from China in a manner inconsistent with the WTO Agreement are listed in Annex 7. All such prohibitions, quantitative restrictions and other measures shall be phased out or dealt with in accordance with mutually agreed terms and timetables as specified in the said Annex.

18. Transitional Review Mechanism

1. Those subsidiary bodies1 of the WTO which have a mandate covering China's commitments under the WTO Agreement or this Protocol shall, within one year after accession and in accordance with paragraph 4 below, review, as appropriate to their mandate, the implementation by China of the WTO Agreement and of the related provisions of this Protocol. China shall provide relevant information, including information specified in Annex 1A, to each subsidiary body in advance of the review. China can also raise issues relating to any reservations under Section 17 or to any other specific commitments made by other Members in this Protocol, in those subsidiary bodies which have a relevant mandate. Each subsidiary body shall report the results of such review promptly to the relevant Council established by paragraph 5 of Article IV of the WTO Agreement, if applicable, which shall in turn report promptly to the General Council.

2. The General Council shall, within one year after accession, and in accordance with paragraph 4 below, review the implementation by China of the WTO Agreement and the provisions of this Protocol. The General Council shall conduct such review in accordance with the framework set out in Annex 1B and in the light of the results of any reviews held pursuant to paragraph 1. China also can raise issues relating to any reservations under Section 17 or to any other specific commitments made by other Members in this Protocol. The General Council may make recommendations to China and to other Members in these respects.

3. Consideration of issues pursuant to this Section shall be without prejudice to the rights and obligations of any Member, including China, under the WTO Agreement or any Plurilateral Trade Agreement, and shall not preclude or be a precondition to recourse to consultation or other provisions of the WTO Agreement or this Protocol.

4. The review provided for in paragraphs 1 and 2 will take place after accession in each year for eight years. Thereafter there will be a final review in year 10 or at an earlier date decided by the General Council.

Part II - Schedules

1. The Schedules annexed to this Protocol shall become the Schedule of Concessions and Commitments annexed to the GATT 1994 and the Schedule of Specific Commitments annexed to the GATS relating to China. The staging of concessions and commitments listed in the Schedules shall be implemented as specified in the relevant parts of the relevant Schedules.

2. For the purpose of the reference in paragraph 6(a) of Article II of the GATT 1994 to the date of that Agreement, the applicable date in respect of the Schedules of Concessions and Commitments annexed to this Protocol shall be the date of accession.

Part III - Final Provisions

1. This Protocol shall be open for acceptance, by signature or otherwise, by China until 1 January 2002.

2. This Protocol shall enter into force on the thirtieth day following the day of its acceptance.

3. This Protocol shall be deposited with the Director-General of the WTO. The Director-General shall promptly furnish a certified copy of this Protocol and a notification of acceptance by China thereof, pursuant to paragraph 1 of Part III of this Protocol, to each WTO Member and to China.

4. This Protocol shall be registered in accordance with the provisions of Article 102 of the Charter of the United Nations.

Done at Doha this tenth day of November two thousand and one, in a single copy, in the English, French and Spanish languages, each text being authentic, except that a Schedule annexed hereto may specify that it is authentic in only one or more of these languages.

1 Council for Trade in Goods, Council for Trade-Related Aspects of Intellectual Property Rights, Council for Trade in Services, Committees on Balance-of-Payments Restrictions, Market Access (covering also ITA), Agriculture, Sanitary and Phytosanitary Measures, Technical Barriers to Trade, Subsidies and Countervailing Measures, Anti-Dumping Measures, Customs Valuation, Rules of Origin, Import Licensing, Trade-Related Investment Measures, Safeguards, Trade in Financial Services.

辽宁省人大常委会


辽宁省安全生产条例

（2007年9月28日辽宁省第十届人民代表大会常务委员会第三十三次会议通过）


第一章 总 则


　　第一条 为了加强安全生产监督管理，防止和减少生产安全事故，保障人民群众生命和财产安全，促进经济和社会的协调发展，根据《中华人民共和国安全生产法》等有关法律、法规，结合本省实际，制定本条例。
　　第二条 本省行政区域内的安全生产工作，适用本条例。法律、法规另有规定的，从其规定。
　　第三条 安全生产工作，坚持安全发展的指导原则，贯彻安全第一、预防为主、综合治理的方针。
　　第四条 各级人民政府是安全生产监督管理的责任主体。各级人民政府及其有关部门的主要负责人，对本行政区域、本部门职责范围内的安全生产工作负全面领导责任；其他负责人对分管职责范围内的安全生产工作负具体领导责任。
　　第五条 各级人民政府应当将安全生产工作纳入国民经济和社会发展规划；加强产业政策引导，增加支持安全生产的资金投入；支持生产经营单位安全生产技术改造；全面开展安全生产标准化活动。
　　第六条 省、市、县（含县级市、区，下同）负责安全生产监督管理的部门（以下简称安全生产监督管理部门），对本行政区域内安全生产工作实施综合监督管理，指导、协调和监督本行政区域内其他有关部门的安全生产监督管理工作；其他负有安全生产监督管理职责的部门在各自的职责范围内依法对有关的安全生产工作实施监督管理。
　　乡（镇）人民政府和街道办事处依照管理职权负责本辖区内的安全生产工作。
　　第七条 生产经营单位是安全生产工作的责任主体。生产经营单位的主要负责人对本单位安全生产工作负全面责任；其他负责人对各自职责范围内的安全生产工作负责。
　　第八条 工会依法履行有关安全生产工作的职责，维护职工在安全生产方面的合法权益。


第二章 安全生产的保障措施


　　第九条 各级人民政府应当设立安全生产专项资金，并纳入年度财政预算，确保专款专用。
　　安全生产专项资金用于下列安全生产事项：
　　（一）安全生产基础设施建设和应急救援体系建设；
　　（二）安全生产科学技术研究和先进技术推广应用；
　　（三）涉及公共安全的特别重大、重大生产安全事故隐患的治理和重大危险源的监控；
　　（四）涉及公共安全的特别重大、重大生产安全事故应急救援；
　　（五）安全生产宣传教育、培训和奖励；
　　（六）法律、法规、规章规定的其他事项。
　　第十条 生产经营单位应当严格执行有关安全生产的法律、法规、规章，及时消除生产安全事故隐患和不安全因素，保护从业人员的人身安全。不得违章指挥和强迫从业人员违章、冒险作业；不得强令从业人员超规定工作时间、超规定劳动强度作业；不得安排从业人员从事禁止工种作业。对拒绝实施上述行为的从业人员不得降低其工资、福利等待遇或者解除与其订立的劳动合同。
　　第十一条 生产经营单位的主要负责人应当依法履行安全生产管理职责，及时消除生产安全事故隐患，防范自然灾害引发生产安全事故，解决实施生产安全事故应急预案、安全生产投入等问题，落实保障安全生产的各项措施。
　　第十二条 矿山、冶金、建筑施工单位，危险物品的生产、经营、储存和使用数量构成重大危险源的单位，从业人员超过100人的，应当设置安全生产管理机构；从业人员在100人以下的，应当设置安全生产管理机构或者配备专职安全生产管理人员。
　　前款规定以外的其他生产经营单位，从业人员超过300人的，应当设置安全生产管理机构；从业人员在300人以下的，应当配备专职或者兼职的安全生产管理人员，或者委托具有国家规定的相关资质、资格的安全生产中介服务机构或者人员提供安全生产管理服务。
　　第十三条 生产经营单位的安全生产管理机构以及安全生产管理人员行使下列职权：
　　（一）监督本单位安全生产规章制度和安全操作规程的执行；
　　（二）检查本单位生产、作业的安全条件，生产安全事故隐患的排查及整改效果；制止和查处违章指挥、违章作业的行为；
　　（三）监督本单位职业卫生以及劳动防护措施、保健措施的执行；
　　（四）检查本单位全员培训、持证上岗的落实；
　　（五）检查本单位应急预案的落实；
　　（六）法律、法规、规章规定的其他权力。
　　第十四条 危险物品的生产、经营、储存和使用数量构成重大危险源的单位以及矿山、冶金、建筑施工单位的主要负责人和安全生产管理人员，应当由具备相应资质的安全培训机构进行培训，并经有关主管部门对其安全生产知识和管理能力考核合格后方可任职。考核不得收费。
　　其他生产经营单位的主要负责人和安全生产管理人员，应当由具备相应资质的安全培训机构培训合格后，由安全培训机构发给相应培训合格证书。
　　第十五条 生产经营单位应当建立从业人员安全生产教育和全员培训制度，组织从业人员的岗前、在岗、转（返）岗等全程培训，并确保培训计划、机构（基地）、费用、教材、人员、考核、档案、制度的落实。未经安全生产教育和培训合格的从业人员，不得上岗作业。
　　特种作业人员必须依法取得特种作业操作资格证书，方可上岗作业。
　　生产经营单位安排从业人员进行安全培训的时间，应当计入劳动时间，支付工资和必要的费用。
　　第十六条 各级人民政府有关部门应当支持、监督各工矿商贸、建筑类职业技能教育（培训）学校、机构（基地）的安全生产教学、培训工作。
　　第十七条 生产经营单位新建、改建、扩建工程项目（以下统称建设项目）的安全设施，必须与主体工程同时设计、同时施工、同时投入生产和使用（以下简称“三同时”）。
　　矿山、危险物品生产、经营、储存的建设项目必须依法取得项目立项（审批）、安全设施设计、投入生产（使用）等阶段相应的安全许可。
　　其他实行审批、核准、备案的建设项目的安全设施，依法接受安全生产监督管理部门或者负有安全生产监督管理职责的部门的监督，凡未按国家、行业规定标准实施“三同时”的，一律不得建设、生产（使用）。具体办法由省安全生产监督管理部门会同省有关部门制定，报省人民政府批准后实施。
　　工会有权对涉及建设项目 “三同时”的设计审查、设施施工、竣工投入生产（使用）前验收等活动进行监督，提出意见。
　　第十八条 危险物品的生产、经营、储存场所的建设项目和使用数量构成重大危险源的设施，与居民区、学校、集贸市场及其他公众聚集场所等的安全距离，必须符合国家标准或者国家规定，不符合国家标准或者国家规定的，不得投入生产使用。
　　在重大危险源、高压输电线、输油（气）管道、尾矿库及矿山塌陷区等场所和设施的安全距离范围内，任何单位和个人不得新建建筑物、构筑物。
　　已建成的不符合前两款规定的建设项目、建筑物、构筑物、设施，由县以上人民政府有关部门根据有关规定责令限期整改；需要拆除、搬迁、关停的，报本级人民政府批准后实施。
　　第十九条 生产经营单位应当按照法律、法规的规定由具有法定资质的安全评价机构对建设项目、安全生产许可证申请、重大危险源等进行安全评价，其评价结果应依规定报安全生产监督管理部门和有关部门备案。
　　第二十条 生产经营单位应当对重大危险源采取下列监控措施：
　　（一）建立重大危险源管理制度，登记建档，对运行安全情况进行全程动态监控；
　　（二）定期检测、评价重大危险源有关设施、设备、场地的安全状态；
　　（三）在重大危险源的明显位置设置安全警示标志；
　　（四）制定应急救援预案，定期组织应急救援演练。
　　生产经营单位应当每半年向所在地安全生产监督管理部门和有关部门报告本单位重大危险源监控及相应的安全措施、应急措施的实施情况。
　　第二十一条 生产经营单位应当对特种设备使用采取下列监管措施：
　　（一）建立特种设备管理制度和安全技术档案，对运行安全情况进行全程监控；
　　（二）按照特种设备使用安全技术规范的要求定期检验，未经定期检验或者检验不合格，立即停止使用；
　　（三）制定应急预案，并确保有效实施。
　　第二十二条 生产经营单位主要负责人对本单位存在的生产安全事故隐患，应当及时采取措施，予以消除；难以立即消除的，应当制定整改计划，落实资金和责任，采取有效的安全防范和监控措施，并依照国家、省有关规定对生产安全事故隐患进行评估、报告，实现有效治理。
　　第二十三条 生产经营单位在发生合并、分立、解散、破产、转让等情形时，其相关单位主要负责人应当首先明确安全生产责任，落实重大危险源和生产安全事故隐患监控治理责任。
　　第二十四条 生产经营单位进行爆破、大型设备（构件）吊装、拆卸等危险作业以及在密闭空间作业，应当制定具体的作业方案和安全防范措施，指定现场作业统一指挥人员和有现场作业经验的专职安全生产管理人员进行现场指挥、管理，确保作业方案、操作规程和安全防范措施的落实。
　　第二十五条 生产经营单位应当建立健全职业安全卫生制度，为从业人员提供符合国家规定的职业安全卫生条件，对从事有职业危害作业的人员定期进行健康检查，并对本单位的职业病危害承担责任。
　　第二十六条 生产经营单位必须为从业人员无偿提供符合国家标准或者行业标准的劳动防护用品，不得以货币或者其他物品代替劳动防护用品；不得采购和使用无安全标志的或者未经法定认证的单位销售的特种劳动防护用品；购买的特种劳动防护用品，应当经本单位的安全生产管理机构或者安全生产管理人员检查验收。
　　第二十七条 从事社会公用事业和公共场所服务的生产经营单位使用的设备、设施的安全性能和场所的安全通道、安全标志等，应当符合有关法律、法规和国家标准、行业标准规定。有关单位应当进行经常性维护、检修，定期检测安全防护效果，确保安全防护装置齐全有效，并依法承担相关责任。
　　第二十八条 生产经营单位的决策机构、主要负责人或者投资人应当按照国家或者省有关规定提取、使用安全费用。
　　从事矿山、道路交通运输、建筑施工、危险化学品、烟花爆竹等领域的生产经营单位，应当按照国家和省有关规定存储、使用安全生产风险抵押金。
　　生产经营单位未按照前两款规定提取，存储资金，负有管理职责的财政部门和安全生产监督管理部门应当采取有效措施，实现资金的提取和存储。
　　第二十九条 生产经营单位必须依法参加社会工伤保险，为从业人员缴纳保险费。煤矿企业必须为煤矿井下作业职工办理意外伤害保险，并为其缴纳保险费；建筑施工单位必须为施工现场从事危险作业的人员办理意外伤害保险，并为其缴纳保险费。
　　

第三章 安全生产的监督管理


　　第三十条 县以上各级人民政府应当建立健全安全生产监督管理的监管执法体系、应急救援体系、责任体系和考核督查体系，支持、督促各辖区、各部门依法履行安全生产监督管理职责。鼓励社会公众对安全生产工作实施社会监督。
　　第三十一条 安全生产监督管理部门和其他负有安全生产监督管理职责的部门应当制定安全生产监督检查计划和相关措施，按其职责分工依法对生产经营单位的安全生产工作进行定期检查或者抽查，对检查出的违法、违规问题和事故隐患，及时提出整改、处理意见，并进行整改监督；重大违法、违规问题和重大事故隐患，应依法立即采取强制措施并向本级政府和上级监督管理部门报告。
　　检查或者抽查应当包括下列内容：
　　（一）制定和执行安全生产规章制度情况；
　　（二）生产安全事故隐患的排查和治理情况；
　　（三）设施、设备、器材符合保障安全生产的国家标准或者行业标准情况；
　　（四）应急救援预案的落实情况；
　　（五）安全教育、培训和持证上岗情况；
　　（六）劳动防护用品的采购、发放、使用和经营情况；
　　（七）安全费用、风险抵押金的提取、存储和使用情况；
　　（八）建设项目安全设施的设计、施工和使用情况；
　　（九）生产安全事故统计、报告、调查和处理情况；
　　（十）职业危害的防治情况；
　　（十一）其他执行法律、法规、规章和安全生产国家标准、行业标准情况。
　　监督检查不得影响被检查单位正常的生产经营活动。
　　第三十二条 生产经营单位及其主要责任人应当主动配合负有安全生产监督管理职责的部门的监督检查，对检查出的违法、违规问题和事故隐患立即采取整改措施，并上报监督检查部门。
　　第三十三条 颁发安全生产中介服务机构资质的部门，应当依法履行职责，加强监督检查，查处安全生产中介服务机构的违法、违规行为，规范安全生产中介服务市场。
　　承担安全评价、认证、检测、检验、培训和咨询的安全生产中介服务机构，应当按照国家有关规定取得相应的资质证书，并在资质证书确定的业务范围内从事安全生产中介服务活动，依法承担与服务相关的责任、义务。
　　第三十四条 生产经营单位发生生产安全事故后，应当依规定立即上报并迅速启动应急救援预案。
　　事故发生地有关人民政府、安全生产监督管理部门和其他负有安全生产监督管理职责的部门接到生产安全事故报告后，应当按照国家有关规定及时启动生产安全事故应急救援预案并逐级上报，其负责人应当立即赶赴事故现场，组织事故救援。
　　工会依法参加事故调查，履行相关职权。
　　第三十五条 各级人民政府应当依法监督有关生产经营单位将伤亡赔偿金按时、足额支付给受到事故伤害的员工或者其家属。
　　

第四章 煤矿安全生产


　　第三十六条 煤矿的安全生产除了应当遵守本条例其他章相关规定外，还应当遵守本章规定。
　　第三十七条 县以上负责煤矿安全生产监督管理职责的部门按照国家和地方政府所规定的职责分工，与国家设在省的煤矿安全监察机构密切配合，实施煤矿安全生产监督管理工作。
　　第三十八条 省人民政府、产煤地各级人民政府应当督促职能部门依法严格规范煤矿企业的生产行为，取缔非法煤矿。
　　产煤地各级人民政府要落实国家相关的政策规定，加强对违法、违规开采小煤矿关停整顿的治理工作。
　　第三十九条 煤矿的通风、通讯、防瓦斯、防突出、防水、防火、防煤尘、防冒顶、防冲击地压等安全设备、设施和条件应当符合国家标准、行业标准。
　　煤矿必须落实先抽后采、监测监控、以风定产的瓦斯治理方针，严格执行瓦斯治理责任制和瓦斯等级鉴定、瓦斯检查等管理制度，落实瓦斯抽放规定；建立监测系统和防突出措施，确保治理资金，控制煤矿瓦斯事故的发生。
　　煤矿必须严格执行“预测预报、有疑必探、先探后掘、先治后采”的水害防治原则，落实“防、堵、疏、排、截”五项综合措施，遵守水害防治工作的相关规定。
　　煤矿安全监督管理部门、监察机构必须及时查处煤矿企业违反本条规定的行为，认真监督管理、监察煤矿企业有关安全防范工作的落实。
　　第四十条 煤矿企业应当按照国家有关规定建立健全煤矿企业负责人和生产经营管理人员带班制度，带班人员应与当班职工同时下井同时升井，并建立下井登记档案。
　　煤矿企业负责人和生产经营管理人员带班下井负有下列职责：
　　（一）掌握当班井下安全生产状况，对重点部位、关键环节进行检查；
　　（二）及时发现和消除事故隐患，制止违章行为；
　　（三）发现危及职工安全的情况时，立即采取停产、撤人等紧急处理措施；
　　（四）法律、法规规定的其他职责。
　　第四十一条 煤矿存在法律、法规、规章中责令停产整顿的重大安全生产事故隐患或者违法、违规行为的，应当依法立即责令停止生产，排除隐患，并暂扣相关证照。
　　煤矿接到责令停产整顿通知后必须立即停止生产，并制定整改方案，落实整改责任人、资金和安全措施。整改方案应当包括整改项目、目标、时限、作业范围、作业人数以及整改期间的安全保障措施等内容。
　　有关地方人民政府应当明确停产整顿煤矿的监督检查部门和责任人，建立停产整顿报告制度，严禁煤矿在被责令停产整顿期间以任何理由进行生产。
　　第四十二条 煤矿有下列情形之一的，应当依法予以关闭：
　　（一）未依法取得采矿许可证、安全生产许可证、煤炭生产许可证、矿长资格证、矿长安全资格证和营业执照，擅自从事生产的；
　　（二）3个月内2次或者2次以上发现有重大安全生产事故隐患，仍然进行生产的；
　　（三）被责令停产整顿擅自进行生产或者停产整顿验收不合格的；
　　（四）超层越界开采拒不退回的；
　　（五）采用鱼刺式巷道开采，存在重大通风、瓦斯隐患的；
　　（六）存在较大的瓦斯、火灾、水灾等隐患，又没有建立相应的防治系统的；
　　（七）1个月内3次或者3次以上未依照国家有关规定对井下作业人员进行安全生产教育和培训或者特种作业人员无证上岗的；
　　（八）依据法律、法规和国家有关产业政策应当关闭的其他煤矿企业。
　　

第五章 法律责任


　　第四十三条 生产经营单位违反本条例规定，违章指挥或者强令从业人员违章、冒险作业，或者对已发现的事故隐患不及时采取措施的，责令立即停止作业并限期改正，对单位主要负责人或者其他主管人员给予警告，并处5000元以上1万元以下罚款；逾期未改正的，责令停产停业整顿，导致发生生产安全事故的，依照法律、法规规定对生产经营单位主要负责人给予行政处分，并处本人上一年年度收入30%以上80%以下的罚款；构成犯罪的，依法追究刑事责任。
　　第四十四条 生产经营单位违反本条例规定，有下列行为之一的，责令限期改正；逾期不改正的，责令停产停业整顿，可以并处2000元以上2万元以下罚款：
　　（一）未按照规定设置安全生产管理机构或者未按照规定配备安全生产管理人员的；
　　（二）危险物品的生产、经营、储存和使用数量构成重大危险源的单位以及矿山、冶金、建筑施工单位的主要负责人和安全生产管理人员未按照规定考核合格的；
　　（三）未按照规定对从业人员进行安全生产教育和培训或者未按规定如实告之有关安全生产事项的；

　　（四）特种作业人员未按照规定经专门的安全作业培训并取得特种作业操作资格证书上岗作业的。
　　第四十五条 生产经营单位违反本条例规定，进行爆破、大型设备（构件）吊装、拆卸等危险作业以及在密闭空间作业未指定现场作业统一指挥人员和有现场作业经验的专职安全生产管理人员进行现场指挥、管理的，责令立即停止作业并限期改正；逾期未改正的，责令停产停业整顿，可并处2万元以上10万元以下罚款；造成严重后果，构成犯罪的，依法追究刑事责任。
　　第四十六条 生产经营单位违反本条例规定，未为从业人员无偿提供符合国家标准或者行业标准的劳动防护用品，以货币或者其他物品代替劳动防护用品，采购和使用无安全标志或者未经法定认证的单位销售的特种劳动防护用品的，责令限期改正；逾期未改正的，责令停产停业整顿，可并处5000元以上5万元以下的罚款；造成严重后果，构成犯罪的，依法追究刑事责任。
　　第四十七条 生产经营单位违反本条例规定，未按照规定提取和使用安全费用或者未按照规定存储和使用安全生产风险抵押金的，责令限期改正；逾期未改正的，责令停产停业整顿。
　　第四十八条 其他违反本条例规定的违法行为，依照相关法律、法规或者规章予以处罚；构成犯罪的，依法追究刑事责任。
　　第四十九条 各级人民政府以及负有安全生产监督管理职责部门有下列行为之一的，对直接负责的主管人员和其他直接责任人员依法给予行政处分；构成犯罪的，依法追究刑事责任：
　　（一）对不符合法定条件的生产经营单位、中介机构涉及安全生产的事项予以批准（包括核准、许可、注册、认证、颁发证照等）或者验收通过的；
　　（二）对依法应当责令停产整顿、取缔或者关闭的生产经营单位，未责令停产整顿、取缔或者关闭的;
　　（三）对依法应当制止和处理的安全生产违法行为未予以制止和处理的；
　　（四）未履行特别重大、重大生产安全事故隐患监督管理职责的；
　　（五）未依法律、法规规定对生产安全事故立即组织救援、及时如实报告、严肃调查处理的；
　　（六）有其他滥用职权、玩忽职守、徇私舞弊行为的。
　　第五十条 对煤矿企业实施的行政处罚，由煤矿安全生产监督管理部门和煤矿安全监察机构按照国家有关法律、法规决定；实施关闭的行政处罚，依法报请县以上人民政府按照国务院规定的权限决定。
　　对煤矿企业以外的其他生产经营单位实施的行政处罚，由安全生产监督管理部门决定；予以关闭的行政处罚由安全生产监督管理部门报请县以上人民政府按照国务院规定的权限决定；有关法律、法规对行政处罚的决定机关另有规定的，从其规定。
　　

第六章 附则


　　第五十一条 本条例自2007年12月1日起施行。