1 SHORT MANUAL FOR USING THE CLASSIFICATION OF NON-TARIFF MEASURES This classification of Non-Tariff Measures (NTM) was discussed and agreed upon by several International Organizations in the context of the Multi-Agency Support Team (MAST) appointed by the Group of Eminent People, which in turn, was appointed by The Secretary general of UNCTAD. It is the first time all these organizations gather to discuss and define a list of measures that are thought that could pose a barrier to trade. This classification will be first used in the Pilot Project for collecting NTM data in 2008, implemented by UNCTAD and ITC. How to understand the codes? There are two classifications. The first is for the measures themselves, and the second for the Procedural obstacles that may be associated with them. These last ones are explained below. The main classification on Non-Tariff Measures has 16 chapters, named with letters from A to P. Inside each chapter; groups were defined using an alphanumerical codes, and have four levels of disaggregation. For example, Chapter A000 includes codes A100, A200, A300 and also A900 (this last includes "others"). The chapter is the letter A and the four main groups in it are listed using hundreds. Then one of them, say A200, includes A210, A220, A230, A240, A250, A260, A270, A280, A290. The A letter still refers to the chapter, then the 200 represents the main group, and inside of it there are minor groupings using tens, from 10 to 90. At the last level, units are used. So, inside the A210 minor grouping there are three lines: A211, A212, and A213. The first and second level of disaggregation: The second and third level of disaggregation: A000 SANITARY AND PHYTOSANITARY MEASURES B000 TECHNICAL BARRIERS TO TRADE C000 OTHER TECHNICAL MEASURES D000 PRICE CONTROL MEASURES E000 QUANTITY CONTROL MEASURES F000 PARA-TARIFF MEASURES G000 FINANCE MEASURES H000 ANTI-COMPETITIVE MEASURES I000 EXPORT RELATED MEASURES J000 TRADE-RELATED INVESTMENT MEASURES K000 DISTRIBUTION RESTRICTIONS* L000 RESTRICTION ON POST-SALES SERVICES* M000 SUBSIDIES* N000 GOVERNMENT PROCUREMENT RESTRICTIONS* O000 INTELLECTUAL PROPERTY* P000 RULES OF ORIGIN* A100 Voluntary standards, A200 Sanitary and phytosanitary regulations, A300 Conformity assessment related to SPS, and A900 Sanitary and phytosanitary measures, n.e.s. A100 Voluntary standards, A200 Sanitary and phytosanitary regulations, A300 Conformity assessment related to SPS, and A900 Sanitary and phytosanitary measures, n.e.s. A210 Labelling, Marking and Packaging requirements, A220 Traceability requirements, A230 Tolerance limits for residues and contaminants, or restricted use of certain substances, A240 Regulation of foods or feeds derived from or produced using GMO, A250 Hygienic requirement, A260 Disease prevention measures, A270 Regulations on productions processes, A280 Geographical restrictions, and A290 Sanitary and Phytosanitary regulations n.e.s.
32
Embed
Classification of Non-Tariff Measures - Market Access Map classification_June 2008.pdf · 1 SHORT MANUAL FOR USING THE CLASSIFICATION OF NON-TARIFF MEASURES This classification of
This document is posted to help you gain knowledge. Please leave a comment to let me know what you think about it! Share it to your friends and learn new things together.
Transcript
1
SHORT MANUAL FOR USING THE
CLASSIFICATION OF NON-TARIFF MEASURES
This classification of Non-Tariff Measures (NTM) was discussed and agreed upon by several
International Organizations in the context of the Multi-Agency Support Team (MAST) appointed by the
Group of Eminent People, which in turn, was appointed by The Secretary general of UNCTAD. It is the
first time all these organizations gather to discuss and define a list of measures that are thought that
could pose a barrier to trade. This classification will be first used in the Pilot Project for collecting
NTM data in 2008, implemented by UNCTAD and ITC.
How to understand the codes?
There are two classifications. The first is for the measures themselves, and the second for the
Procedural obstacles that may be associated with them. These last ones are explained below. The main
classification on Non-Tariff Measures has 16 chapters, named with letters from A to P. Inside each
chapter; groups were defined using an alphanumerical codes, and have four levels of disaggregation.
For example, Chapter A000 includes codes A100, A200, A300 and also A900 (this last includes
"others"). The chapter is the letter A and the four main groups in it are listed using hundreds. Then one
of them, say A200, includes A210, A220, A230, A240, A250, A260, A270, A280, A290. The A letter
still refers to the chapter, then the 200 represents the main group, and inside of it there are minor
groupings using tens, from 10 to 90. At the last level, units are used. So, inside the A210 minor
grouping there are three lines: A211, A212, and A213.
The first and second level of disaggregation:
The second and third level of disaggregation:
A000 SANITARY AND PHYTOSANITARY MEASURES
B000 TECHNICAL BARRIERS TO TRADE C000 OTHER TECHNICAL MEASURES D000 PRICE CONTROL MEASURES E000 QUANTITY CONTROL MEASURES F000 PARA-TARIFF MEASURES G000 FINANCE MEASURES H000 ANTI-COMPETITIVE MEASURES I000 EXPORT RELATED MEASURES J000 TRADE-RELATED INVESTMENT MEASURES K000 DISTRIBUTION RESTRICTIONS* L000 RESTRICTION ON POST-SALES SERVICES* M000 SUBSIDIES* N000 GOVERNMENT PROCUREMENT RESTRICTIONS* O000 INTELLECTUAL PROPERTY* P000 RULES OF ORIGIN*
A100 Voluntary standards, A200 Sanitary and phytosanitary regulations, A300 Conformity assessment related to SPS, and A900 Sanitary and phytosanitary measures, n.e.s.
A100 Voluntary standards, A200 Sanitary and phytosanitary regulations,
A300 Conformity assessment related to SPS, and A900 Sanitary and phytosanitary measures, n.e.s.
A210 Labelling, Marking and Packaging requirements, A220 Traceability requirements, A230 Tolerance limits for residues and contaminants, or restricted use of certain substances, A240 Regulation of foods or feeds derived from or produced using GMO, A250 Hygienic requirement, A260 Disease prevention measures, A270 Regulations on productions processes, A280 Geographical restrictions, and A290 Sanitary and Phytosanitary regulations n.e.s.
2
The third and fourth level of disaggregation:
How to use the classification?
Each measure has to be classified into only one line, not more. There should be no repetition. The best
option has to be chosen, because there should be only one place to classify each measure applied.
Measures should be preferably be classified using the most detailed code line, but other broader level
may be used as well, but not both for any one measure.
If an export or import transaction could not take place because of a non tariff measure, this should be
also marked in the Classification. The Question 1 in Section 3 of the Questionnaire used in this project
reports if the export/import was not feasible due to financial reasons or to technical reasons.
Can you explain what's in the different chapters?
The Box 1 explains briefly what measures are comprised in each of the main chapters of the
classification.
Box 1
Chapter A, on Sanitary and Phytosanitary Measures, refer to measures affecting areas such as
restriction for substances, quarantine or other measures for preventing dissemination of diseases,
hygienic requirements, and others. It also includes all conformity assessment measures related to
food safety, such as certification, testing and inspection, and any voluntary standard also for
food safety. The chapter is also known as SPS
Chapter B, on Technical Measures, is also known as TBT. It refers to measures as labelling,
marking, packaging, restrictions to avoid contamination, and standards on technical
specifications, and quality requirements. It also includes conformity assessment that relate to
technical measures.
Chapter C, groups other technical measures related to customs formalities.
Chapter D, Price Control measures, group measures that change the price of imports, such as
minimum prices, reference prices, antidumping or countervailing. The prices are not set freely,
but altered according to a government policy
Chapter E, Quantity Control measures, group the measures that restrain the quantity traded,
such as quotas, but also licenses and import prohibitions, which are not SPS related.
Chapter F, on Para-Tariff measures, refer to taxes other than custom tariffs. It groups additional
charges as stamp tax, licenses fees, statistical tax, and also decreed customs valuation.
A211 Labelling requirements, A212 Marking requirements, and A213 Packaging requirements.
A210 Labelling, Marking and Packaging requirements,
A220 Traceability requirements, A230 Tolerance limits for residues and contaminants, or restricted use of certain substances, A240 Regulation of foods or feeds derived from or produced using GMO, A250 Hygienic requirement, A260 Disease prevention measures, A270 Regulations on productions processes, A280 Geographical restrictions, and A290 Sanitary and Phytosanitary regulations n.e.s.
3
Chapter G, on Finance measures, refer to measures restricting the payments of imports, for
example when the access and cost of foreign exchange is regulated. It also includes restrictions
on the terms of payment.
Chapter H, on Anticompetitive measures, refer mainly to monopolistic measures, such as state
trading, or sole importing agency, or compulsory national insurance or transport.
Chapter I, on Export measures, groups the measures that countries apply to its exporting trade.
It refers to measures that have to be complied with when trying to export. It includes export
taxes, export quotas or export prohibitions, among others. All the other chapters refer to
measures applied by importing countries, except for this one. This chapter has to be used when
the measure is applied by the exporting country.
Chapter J, on Trade Related Investment measures, groups measures that restrict investment by
requesting local content and thus restricting imports, o requesting that investment should be
related to export to balance imports.
Chapter K, on Distribution Restrictions, refers to restrictive measures related to internal
distribution of imported products. These measures would hinder trade from taking place because
there would be difficulty in distributing the products once entering the country.
Chapter L, on restriction on Post Sales Services, refer to difficulties in allowing technical staff
to enter the importing country to install or repair technological goods imported. The sale of these
products is closely attached to the availability of the technical staff to offer the associated
services, so these restrictive measures could potentially reduce sales on these goods.
Chapter M, groups measures that relate to subsidies that affect trade.
Chapter N, on Government procurement restrictions measures, refer to the restrictions bidders
may find when trying to sell its products to a foreign government.
Chapter O, on Intellectual property measures, refer to the problems arising when intellectual
property is not respected. Please note that those trading activities involving imitations which are
not counterfeits, but are accused to be so, are accounted for in Chapter E, in measure E360 for
prohibition of copies or imitations of patented or trademarked products.
Chapter P, on Rules of Origin, group the measures that restrict the origin of products so that
they could benefit from reduced tariffs, according to certain rules, often, set on multiple
simultaneous agreements with different countries.
\What's the difference between Voluntary standards and the rest?
The difference between Voluntary Standards (group A100 and B100, and all the measures listed in both
groups) and the rest of the measures is that these refer to measures that are recommended for use but are
not enforced by law. They may in practice act as compulsory but in fact they are not. The World Trade
Organization (WTO) definition is followed here.
What's the difference between SPS and TBT?
The difference between SPS and TBT chapters might be a bit elusive as well in some cases. The main
way to distinguish between SPS and TBT measures is that SPS usually refers to food safety. This
means that there can be TBT on food products if the measures does not relate to food safety. Examples
are: labelling on nutritional content of foods, or when certain size for fruits is required. Again, the WTO
principle is used here to distinguish among them
4
When should I use Conformity Assessment measures?
It can also be difficult to choose between a certain measure as may be the case of a requirement on the
product and the associated test to be done that would prove that the requirement is met. The dilemma
would be to choose among the measures in the A200 or B200 and the measures listed in the Conformity
Assessment group, in A300 or B300. The rule would be that the measure in the A200 or B200 should
be selected if the restriction to trade is the requirement itself, and not the associated testing or
inspection. In turn, the Conformity Assessment measures (measures in groups A300 and B300) should
be selected when there is a problem with the process of certifying, testing, auditing or inspected. It
could be additionally associated with another line in the separate classification of Procedural obstacles.
What are Procedural obstacles and how are they useful?
Procedural obstacles relate to the attributes or operation of a measure or procedure rather than to its
principal content or goals. Apart from the measures themselves, trade may be hindered because of
"procedural obstacles", i.e. the way rules are implemented may be an obstacle, like queuing or
discriminatory enforcement of rules. These are practices, and often informal practices.
Procedural obstacles are introduced separately from the measures. They are listed in a separate
classification below the one for measures, and they can be combined. Each of the procedural problems
listed can be associated with virtually any NTM. For example, any barrier arising from the processes of
testing or certification, such as high cost or lengthy process is registered as a "procedural obstacle"
related to the specific barrier, so that both Classifications combine to have a clearer view on the
problem.
The following Table shows examples of combination both classifications. Case 1 would represent the
situation where there is a request to duplicate a certification, and the Case 2 refers to the case there a
measures has been changed without any official notification.
Case 1 Code Description
Measure A310 Certification requirement
Procedural Obstacle
associated with the measure
C2 Too strict, too detailed or redundant
testing/certification or labelling requirement
Case 2 Code Description
Measure B231 Tolerance limits for residues or
contamination by certain substances
Procedural Obstacle
associated with the measure
D2 Unannounced change of procedure,
regulation or requirement
Procedural Obstacles can add significantly to the costs of entry and operation in a foreign market.
Incorporating generic categories of Procedural Obstacles as additional “qualifiers” that could be
checked, where applicable, for each type of NTM (no procedural obstacle exists on its own) would
permit describe the problem more precisely and comprehensively. By distinguishing the NTMs from
the procedural issues, the target issue becomes more precise and by combining them, more detailed
information can be drawn.
In what follows, the NTMs are listed and accompanied by its alphanumerical code. Furthermore, a
description and also some possible examples are provided. Then, the procedural Obstacles are listed
with its Coding.
5
CLASSIFICATION OF NON-TARIFF MEASURES
A000 SANITARY AND PHYTOSANITARY MEASURES
Sanitary and phytosanitary measures include laws, decrees, regulations, requirement, standards
and procedures to protect human, animal or plant life or health.
A100 Voluntary standards
Rules, guidelines or characteristics for products or processes and production methods,
which are designed to protect human, animal and plant health and life. Some are established
by private companies and some others are approved by recognized bodies at international,
national or sub-national levels. Voluntary standards do not have the authority of law.
Examples
Standards on composition, quality, hygiene, or processing methodologies etc
A110 International Standards
Standards developed by international standards organisations. By definition,
international standards are suitable for universal, worldwide use.
Examples International standards are set by the so-called "three sister organizations", which are
the Codex Alimentarius Commission (CAC), International Plant Protection
Convention (IPPC) and the World Organization for Animal Health (OIE). They
provide technical standards, guidelines and other recommendations for a vast number
of products or processes in the supply chain of agricultural products which include
input, production and harvesting, storage, transport, processing, packing and labelling.
A111 Production Process standards Standards defining processes for the production chain that will contribute to the
safety and suitability of products.
Examples
Recommended International Code of Practice - General Principles of Food
Hygiene (CAC/RCP 1-1969), its annex on Hazard Analysis and Critical Control
Points (HACCP system, or any Code of Hygienic Practice from Codex
Alimentarius.
A112 Product characteristics standards
Standards defining the characteristics requested for products and contribute to
the safety and suitability of products.
Examples
These are standards regulating the composition and quality of the product. Any
established by the "three sister organizations" (Codex Alimentarius Commission
(CAC), International Plant Protection Convention (IPPC) and the World
Roganization for Animal Health (OIE)).
A119 International Standards, n.e.s.
A120 National Standards
In general, each country or economy has a single recognized National Standards Body
(This entry should be used for measures that cannot fit in any other category, such as
eco labels. Please note that if there is a licence, restriction on production process or
certification, these should go into those categories and not in this one)
B270 Other product characteristics requirements
B280 Other production process requirements
B290 Technical regulations n.e.s.
B300 Conformity assessment related to TBT
All the procedures for control, inspection and approval, including procedures for sampling,
testing and inspection, evaluation, verification and assurance of conformity, and
accreditation and approval. Please check the Procedural Obstacles list in the following
section to see if any of those may be combined with the Conformity Assessment measures.
B310 Certification requirement A certification is requested by some official norm, it is not private or
optional/voluntary. The certification required by the importing country and could be
granted either in the exporting or importing country.
Example
A certificate delivered by a private accredited or governmental organization stating
that the products comply with any norm or requirement to be reached by the product.
It is compulsory
B311 Certification granted in the country of origin Importing country requires certifications that are granted by the exporting
country.
B312 Certification granted in the destination country Requirement to obtain certifications from the importing country
B320 Lack of recognition
Certifications issued by a country or authority are not recognized by the importing
country.
B321 Lack of acceptance of internationally recognized accredited conformity
assessment bodies International certifications are not recognized by the importing country.
B322 Lack of acceptance of certificates of conformity assessment bodies issued in
the country of origin
Certifications from exporters are not recognized by the importing country.
B323 Lack of acceptance of Self Declaration of Conformity (SDoC)
SDoC: procedure by which a supplier provides a written assurance that a
product conforms to specified requirements
B329 Lack of recognition, n.e.s.
18
B330 Testing requirement
Includes sampling requirement and are usually associated to testing or laboratory fees.
Example
An example is testing for safety compliance for motor vehicle and its equipment.
B340 Inspection and clearance requirement
Imports require inspection and/or clearance to be accepted. Inspection can be done by
public or private entities.
Examples
Commercial items can be inspected and cleared by customs officials or by specialized
private companies depending on the importing country.
B350 Registration requirement
Importers may need to be registered in the importing country. It is often the case for
sensitive products that may be related to security issues. Exporters need to contact a
registered importer.
Example
In most of countries registration will be required to import medicine, chemicals,
weapons and many other items consider as "sensitive products"
B360 Repetition in destination market of identical tests for same or equivalent
regulations
For a given regulation, a same test must be performed within a destination country at
national, regional and/or local entry points
B370 Translation requirement for reports or certificates
Documents must be translated to the language of the destination countries, or
translations are to be done by an authenticated institution. This translation
requirement may also be requested for security reasons for "user manuals" in the case
of electrical or mechanical items.
B380 Requirement to pass through specified entry point or customs
Certain goods must be cleared at a specific entry point within a destination country for
availability of testing or inspection facility
Examples
B390 Conformity assessment related to TBT n.e.s.
B900 Technical barriers to trade, n.e.s.
C000 OTHER TECHNICAL MEASURES
C100 Pre-shipment inspection
A physical inspection of goods before they are shipped in the country of export, which
establishes the exact nature of the goods. The inspection assures that the goods are in
accordance with the accompanying documents that specify their customs tariff code, quality,
quantity and price.
Example
19
The buyer or the importer requests a pre-shipment inspection of the shipment of textiles he
wants to import in order to be sure that the colours and types of textiles are in accord with
what he bought.
C200 Special custom formalities not related to SPS/TBT
Formalities to be fulfilled at the customs, which are not related to the administration of
SPS/TBT measures
C210 Documentation requirement
Requirement to provide any document to declare shipments to Customs in the country
of import
Example
The following documents can be requested: Packing List; Certificate of Origin;
Special Certificates; Licenses and Permits; Import Licenses; Import Permits;
Technical Certificates; Customs Valuation; Transaction Value; Price Paid or Payable;
The actual value that was used for the purchase of the goods. Please check the
Procedural Obstacles list in the following section to see if any of those may be
combined with the Documentation Requirement measures.
C220 Direct consignment requirement Goods must be shipped directly from the country of origin, without stopping at a third
country
Examples
The rule that originating products must be transported directly from the exporting
country to the preference-giving country of destination is an important common
feature of all GSP rules of origin. Its purpose is to enable the customs administration
of the importing preference-giving country to be satisfied that the imported products
are identical to the products which left the exporting country, and have not been
manipulated, substituted or further processed in any third country of transit.
C230 Requirement to pass through specified port of customs
Goods must pass through a designated entry point and/ or customs office, which
might slow down the import clearance process.
Examples
DVD players will only be able to pass through only one custom point.
C240 Transportation restrictions
Particular transportations conditions, norms or laws stipulated by National Authorities
of each country that may be considered as restrictive
Examples
Regulations related to security as the ones for safe transport of radioactive material as
INF ("irradiated nuclear fuel"); radioisotopes for industry; movement of radioactive
waste and shipment of nuclear fuel cycle materials.
C241 Restrictive Air transportations regulations
Examples
Restrictive air transport regulations will be the focus on shipments of biological
materials, as diagnostic specimens; dangerous goods and infectious materials.,
based in the 46th edition of the International Air Transport Association
Dangerous Goods Regulations (IATA DGR)
20
C242 Restrictive Sea transportations regulations
Examples
C243 Restrictive land transportations regulations
Examples
Restrictions such as "No night driving or distance restrictions". Road controlling
authorities can restrict the movement of heavy vehicles so as to prevent damage
to roads and bridges of limited strength. Most of the requirements in these
regulations have now been converted into Land Transport Rules. Some
requirements relating to vehicle noise, brakes, steering and couplings remain in
these regulations.
C290 Special custom formalities not related to SPS/TBT, n.e.s.
C900 Technical Measures n.e.s.
D000 PRICE CONTROL MEASURES
Price control measures are implemented to control the prices of imported articles in order to:
support the domestic price of certain products when the import price of these goods are lower;
establish the domestic price of certain products because of price fluctuation in domestic markets,
or price instability in a foreign market; and counteract the damage resulting from the occurrence
of "unfair" foreign trade practices.
Examples
D100 Administrative pricing
By administrative price fixing, the authorities of the importing country take into account the
domestic prices of the producer or consumer; establish floor and ceiling price limits; or
revert to determined international market values. There may be different price fixing
methods, such as minimum import prices or prices set according to a reference
D110 Minimum import prices
Pre-established import price below which imports cannot take place
Examples
There is still a wide array of trade measures that shield domestic rice markets from
international competition, including minimum import prices.
D120 Reference prices and other price controls
Pre-established import price which authorities of the importing country use as
reference to set a floor or ceiling price
Examples
The price dictated may be determined by a certain activity, as is the case for reference
prices for agricultural products based on "farm-gate price", which is the net value of
the product when it leaves the farm, after marketing costs have been subtracted. Prices
may also be determined by government authority without any comparison with any
pther product or activity
D190 Administrative pricing n.e.s.
21
D200 Voluntary export price restraints (VERs)
A voluntary export price restraint is an arrangement in which the exporter agrees to keep the
price of his goods above a certain level.1 Voluntary export restraints are among the most
popular trade policy instruments employed by the trading nations in the last fifty years.
VERs tend to be sector-specific, bilateral, quantitative, temporary and discriminatory.
Examples
In May 1981, with the American auto industry mired in recession, Japanese car makers
agreed to limit exports of passenger cars to the United States. This "voluntary export
restraint" (VER) program, initially supported by the Reagan administration, allowed only
1.68 million Japanese cars into the U.S. each year. The cap was raised to 1.85 million cars
in 1984, and to 2.30 million in 1985, before the program was terminated in 1994.
D300 Variable charges
Variable charges are taxes or levies aimed at bringing the market prices of imported
agricultural and food products in line with the prices of corresponding domestic products2.
Primary commodities may be charged per total weight, while charges on processed
foodstuffs can be levied in proportion to the primary product contents in the final product.
These charges include:
D310 Variable levies The rate of tax varies inversely with the price of imports. These charges are applied
mainly to primary products. It may be called flexible import fee.
Examples
A Tariff which increases or decreases in response to changes in world prices of
imported goods in such a way that the import price after payment of the duty remains
constant (i.e. the level of Protection remains the same.)
D320 Variable components The tax includes a fixed component and a variable component. These charges are
applied mainly to processed products where the variable part is applied on the primary
products or ingredients included the final product. It may be called compensatory
element.
D390 Variable charges n.e.s
D400 Antidumping measures
Antidumping measures are taken against a dumping action of an exporter. It is considered
that dumping takes place when a product is introduced into the commerce of an importing
country at less than its normal value, i.e. if the export price of the product exported is less
than the comparable price, in the ordinary course of trade, for the like product when
destined for consumption in the exporting country.
D410 Antidumping investigations
Antidumping investigations are initiated either following a complaint by local
producers of similar goods or self-initiated by importing country authorities when
they have cause to believe that dumping may be materially injurious to national
1 These measures were formally prohibited by the WTO Agreements, but in reality they can be applied in case, for example
of situations where these products are in danger facing anti-dumping, safeguard or countervailing measures 2 All these measures were formally prohibited by the WTO Agreement on Agriculture, Article 4.
22
competing producers or third parties' exporters. Provisional duties may be applied
during the investigation.
D420 Antidumping duties Antidumping duties are levied on certain goods originating from specific trading
partner(s) to offset the dumping margin. Duty rates are generally enterprise-specific.
D430 Price undertakings
Undertakings to increase the export price may be offered by exporters to avoid the
imposition of antidumping duties. Under WTO rules, prices can be negotiated for this
purpose, but only after the dumping has been proved.
D500 Countervailing measures
Countervailing measures are intended to offset any direct or indirect subsidy granted by
authorities in the exporting country. These may take the form of countervailing duties or
undertakings by the exporting firms or by authorities of the subsidizing country.
D510 Countervailing investigations
Countervailing investigations are initiated either following a complaint by local
producers of similar goods or self-initiated by the importing country authority to
determine whether the imported goods are subsidized and cause material injury.
D520 Countervailing duties
Duties levied on certain goods to offset the amount of subsidization granted by the
exporter on the production or trade of these goods, when the subsidy is assumed to
hurt domestic industry.
D530 Price undertakings Undertakings to increase the export price may be offered by exporters to avoid the
imposition of countervailing duties. Under WTO rules, prices can be negotiated for
this purpose, but only after the injurious effect of the subsidy has been proved.
D600 Safeguard duties
Emergency and/or temporary duties imposed as a safeguard action. A country may take a
“safeguard” action (i.e., restrict imports of a product temporarily) to protect a specific
domestic industry from an increase in imports of any product which is causing, or which is
threatening to cause, serious injury to the domestic industry that produces like or directly
competitive products.
D700 Seasonal duties
Seasonal duties are applicable at certain times of the year, usually in connection with
agricultural products.
D900 Price control measures n.e.s.
E000 QUANTITY CONTROL MEASURES
Quantity control measures are aimed at restraining the quantity of goods that can be imported,
regardless of whether they come from different sources or one specific supplier. These measures
23
can take the form of restrictive licensing, fixing of a predetermined quota, or through
prohibitions3. These measures include:
E100 Non-automatic licence
It is an import licence, which is not granted automatically. The licence may either be issued
on a discretionary basis or may require specific criteria to be met before it is granted.
E110 Licence with no specific ex-ante criteria
This licence, which is sometimes also referred to as a discretionary licence, is issued
at the discretion of the issuing authority.
E120 Licence for specified use This licence is limited to operations generating anticipated benefit in important
domains of the economy, such as export production, investment projects, etc.
E130 Licence linked with local production
This licence requires the compulsory linkage of imports with local market outputs.
E140 Licence combined with or replaced by special import authorization
In addition to or instead of a licence issued by the main licensing body (usually the
ministry of trade), a special import authorization or an inscription in a register is
required by a specialized authority which is coordinating a sector of the domestic
economy (ministry of industry, ministry of agriculture, etc).
E150 Licence for non-economic reasons This licence is granted for political, religious reasons, or others, which are not
economic.
E151 Licence for political reasons
This licence is issued for political reasons rather than economic.
E159 Licence for non-economic reasons, n.e.s.
E190 Non-automatic licensing n.e.s.
E200 Quotas
Quotas involve restricting the importation of specified products through the setting of a
maximum quantity or value of goods authorized for import. The different forms of quotas
are:
E210 Global quotas Global quotas are quotas established on the basis of the total quantity or value of
imports of specific products, which can be filled on a first-come, first-served basis, or
pre-allocated to different suppliers
E211 Unallocated quotas
3 Most quantity control measures are formally prohibited by the GATT 1994, but can be applied under specifically
determined circumstances (Article XI of GATT 1994
24
Quotas that are filled on a first-come, first-served basis without allocating
among exporters
E212 Allocated to exporting countries
Quotas which are pre-allocated among potential exporters
E220 Bilateral quotas
Quotas of imports reserved for a specific country
E230 Seasonal quotas
Quotas of imports for a given period of the year, usually set for certain agricultural
goods.
E240 Quotas linked with purchase of local goods
Quotas defined as a percentage of the value of similar locally purchased goods.
E250 Quotas for non-economic reasons
Quotas for other reasons, rather than economic.
E251 Quota for political reasons
Quotas that are granted on the basis of political rather than economic reasons.
E259 Quotas for non-economic reasons, n.e.s.
E260 Tariff Rate Quotas A system of multiple tariff rates applicable to a same product. The lower tariff rates
apply up to a quota of imports, and the higher rates are charged on imports which
exceed the quota amount. Quota may be defined in terms of quantity or value.
E270 Quotas linked with domestic production
Compulsory linkage of imports (of materials or parts) with local production
E290 Quotas n.e.s.
E300 Prohibitions
E310 Total prohibition (not for SPS reasons)
Prohibition without any additional conditions or qualifications
E320 Suspension of issuance of licences
The suspension of issuance of licences is a form of de facto prohibition. This situation
may arise in cases related to short-term balance-of-payments difficulties, or for other
reasons.
E330 Seasonal prohibition
Seasonal prohibition involves the prohibition of imports during a given period of the
year. This is usually applied to certain agricultural products.
E340 Temporary prohibition
25
This prohibition is set only for a limited period of time, though it may not refer to a
fixed ending date. It is usually for urgent matters.
E350 Prohibition of importation in bulk
Requirement that products must be imported in small packages or containers
E360 Prohibition of products infringing patents or intellectual property rights
Prohibition of copies or imitations of patented or trademarked products
E370 Prohibition for non-economic reasons
Prohibitions for political, religious reasons, or others, which are not economic.
E371 Prohibition for religious, moral or cultural reasons
Some countries will prohibit the import, use, or possession of any item that is
held to be contrary to the tenets of theirs Faith. This could include non religious
materials, pork, alcohol products and illicit drugs or any other item that could be
contrary to religion precepts. Any product that is related to pork even if it's not
used as food like pig skin is still prohibited in some countries.
E372 Prohibition for political reasons (Embargo)
Prohibition of imports from a country or group of countries, applied for political
reasons.
E379 Prohibition for non-economic reasons, n.e.s.
E390 Prohibitions n.e.s.
E400 Quantitative safeguard measures
Measures having effect on quantitative restrictions. Quantitative safeguard measures are
adopted when the government of the importing country wishes to prevent or remedy serious
injuries resulting from a sudden increase of imports, or to facilitate adjustment4.
E500 Export restraint arrangement
An arrangement by which an exporter agrees to limit exports in order to avoid imposition of
restrictions by the importing country, such as quotas, raised tariffs or any other import
controls5. The arrangement may be concluded at either government or industry level.