13-0021 JOB/REG/4          4 January 2013 
 
 
Committee on Regional Trade Agreements 
 
 
IMPLEMENTATION REPORTS UNDER PARAGRAPH 15 OF THE  
TRANSPARENCY MECHANISM FOR REGIONAL TRADE AGREEMENTS 
 
Informal Background Note 
  
 Following discussions held on the basis of JOB/REG/1 and JOB/REG/3, the Secretariat has 
prepared a follow-up to these documents.
1   
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1. Members have underlined the need to find a ba lance between the need for transparency and 
burdensome requirements for Members parties to RTAs.   
2. It would appear that operationalization of  the implementation report requirement could 
benefit from some guidelines by the CRTA;  these are presented in Annex 1.   
3. Alternatively, it has been proposed that full di scretion be given to Members parties to RTAs 
with regard to both the contents of, and the timing for submission of, the implementation report.  That 
is the status-quo . 
Content of the Report 
4. Annexes 2 and 3 deal with the contents of the implementation report, on the basis of 
comments made by Members in previous meetings .  Annex 2 provides a more flexible, guidelines-
type approach, while Annex 3 provides a more prescriptive, standard format approach.  
5. The European Union has volunteered to submit a mock implementation report for one of its 
RTAs which can be used as the basis for further discussion on this issue.  
6. It has also been proposed that the content of the reports be left to the discretion of RTA 
parties. 
Timing for Submission of the Report 
7. Regarding the timing for the submission of repor ts, it was proposed that the CRTA's Annual 
Report include a list of RTAs due to be fully im plemented in the following year;  implementation 
reports would then be requi red within "a reasonable timeframe" or within a given period of time, to be 
agreed upon by Members.   Alternatively, no timef rame would be given for the submission of reports. 
8. Regarding special cases listed in paragraphs 7(b)-(e) of JOB/REG/3, the views of Members 
are reflected in paragraph 4 of Annex 1. 
Technical Assistance 
 
9. Members are in favour of the provision of technical assistance by the Secretariat, upon the 
request of interested Members parties to an RTA. 
                                                      
1 The list of RTAs included in Annex I of JOB/REG/3 is not reproduced;  Members are invited to 
contact the Secretariat on any matters relating to that list. JOB/REG/4 
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 Follow-Up of the Implementation Reports 
 
10. Members have not yet focused on their follow-up to these reports, as provided for in 
paragraph 16 of the TM.  JOB/REG/4 
 Page 3 
 
 
  ANNEX 1 
 
Draft Guidelines for Implementation Reports 
  
 These draft guidelines aim to standardize, as much as possible, the contents of 
implementation reports on RTAs to WTO Members;  en sure the provision of consistent information to 
the CRTA;  and  operationalize the implementation of  reporting requirements contained in paragraph 
15 of the Transparency Mechanism for RTAs. 
 
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 The Committee on Regional Trade Agreements, acting pursuant to paragraph 18 of the 
Transparency Mechanism for RTAs,  [adopts] [tak es note of] the following procedures, as general 
guidelines, with respect to implementation reports to  be submitted in accordance with paragraph 15 of 
the Transparency Mechanism for RTAs.
 
 
1. The Committee on Regional Trade Agreements rea ffirms the requirement in paragraph 15  for 
Parties to an RTA "to submit to the WTO a short wr itten report on the realization of the liberalization 
commitments in the RTA as originally notified" at the end of the RTA's implementation period.  In doing so, the Committee highlights the need for a ba lance between the requirement for transparency 
in RTAs and the avoidance of institutionalizing burdensome procedures for Members who are parties 
to RTAs. 
2. The Committee notes that a standardized way of  presenting the information would facilitate 
the task both of the Parties in presenting informa tion on their agreements and of WTO Members in 
considering this information.  Therefore, Parties to RTAs may adhere, on a voluntary basis, to the 
framework presented [in Annex 2] [in Annex 3] when presenting an implementation report;  in this 
respect, it should be viewed as Guidelines by the Ch airman for basic information to be provided by 
the Parties on the "realization of the lib eralization commitments in the RTA". 
3. The Annual Report of the CRTA shall list those RTAs for which the implementation period is 
due to terminate in the following year.  The Comm ittee shall invite parties to these RTAs to submit 
the implementation report within [… a given period of time to be agreed upon by Members ] [a 
reasonable timeframe].    
4. Generally, the following procedures apply: 
(a) for RTAs having both a goods and services component, one single implementation 
report shall be submitted; 
1 
(b) for an RTA which notified a modification of the original end of implementation, [it is 
the modified date that will be taken into  account] [the implementation report remains 
however due on the date foreseen originally in the RTA];  
(c) implementation reports of RTAs of  an "open-ended" nature will [ … to be further 
discussed ]; 
(d) implementation reports will normally be due after the circulation of the appropriate 
factual presentation or factual abstract, as the case may be.  In cases where the factual 
                                                      
1 This question only applies if both the goods and services aspects are under the CRTA purview, as 
referred to in footnote 2. JOB/REG/4 
Page 4  
 
 presentation or the factual abstract has been delayed, [the implementation report shall 
be distributed jointly with the relevant docum ent] [the factual presentation, or factual 
abstract, as relevant, shall capture the information that would have been reflected in the implementation report].  RTAs for which a working party report has been adopted by the GATT Council will [ … to be further discussed ]; 
   Members may however agree to adopt other ad hoc procedures, as felt necessary.
2 
5. Upon request, the WTO Secretariat shall provide  technical support to developing Members, 
and especially least-developed Members, in the prepar ation of implementation reports.  In particular, 
support may be given regarding collect ion and presentation of trade data. 
 The above procedures will not in any way a ffect the legal rights and obligations of WTO 
Members.  
 
                                                      
2 E.g. in cases where end of implementation for goods and services differs significantly.  JOB/REG/4 
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  ANNEX 2 
 
Outline for Implementation Reports 
 
Draft Chairman's Guidelines  
 
1. Background Information on the RTA 
 
1.1 Recap of basic information, e.g. dates of  signature, ratification, entry into force and 
final implementation, for each Party to the RTA.  Accessions/withdrawals. 
 
2. Realization of Commitments on Trade in Goods 
 
 2.1 Have the Parties adhered to original timeframes for liberalization? Have  changes 
been introduced to the origin al liberalization program?   
 
2.2 Trade data e.g. intra-RTA imports at the end of implementation [at the tariff line 
level];  this could include a breakdown by agricultural and non-agricultural sectors.   
 
Note from Secretariat: Reference  to data at the tariff line 
level has been placed in [] given the emphasis placed on the 
need for reducing the burden for producing these reports.  
This information is generally already available in the WTO, through notifications made in the context of the IDB.  
 2.3 Final preferential tariff schedule applied by RTA parties. 
 
2.4 Annual information on the application of intra-RTA trade defense measures - 
i.e. number of anti-dumping, countervailing and safeguard measures applied between RTA parties. 
 
3. Realization of Commitments on Trade in Services 
 
3.1 Have the Parties adhered to the orig inal commitments?  Have changes been 
introduced to the original programme of implementation of commitments, e.g. by a deepening of existing commitments or the addition of new services sectors or sub-sectors?  
 
3.2 Trade data available, e.g. intra-RTA imports of commercial services 
(as disaggregated as possible) [, and inward and outward FDI at the end of implementation of the Agreement]. 
 
4. Other 
 
 4.1 Any other information that the RTA parties consider relevant.  
 JOB/REG/4 
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 ANNEX 3 
 
Standard Format for Implementation Reports of RTAs 
 
Draft Chairman's Guidelines  
  
I. BACKGROUND INFORMATION OF THE AGREEMENT 
 
Dates of signature, ratification, entry into for ce and final implementation, for each Party to the 
RTA.  Accessions/withdrawals. 
 
II. PROVISIONS ON TRADE IN GOODS 
 
A. I
MPORT DUTIES AND CHARGES , AND QUANTITATIVE RESTRICTIONS  
 
Summary information regarding realizati on of liberalization commitments with 
respect to tariffs, including sector-specific, TRQs and non-tariff measures.  Products remaining excluded from liberalization.  B ilateral trade data.  Final tariff schedule 
applied by RTA parties. 
 
For customs unions, information regarding the completion of the common external 
tariff.  Exceptions, and related trade data vis-à-vis  third parties. 
 
B. E
XPORT DUTIES AND CHARGES , AND QUANTITATIVE RESTRICTIONS  
 
Summary information related to realization of liberalization commitments regarding  
export restrictions.  
C. R
EGULATORY PROVISION S ON TRADE IN GOODS  
Any relevant information on the implementa tion of rules of origin, subsidies, TBT 
and SPS, customs regulations - including measures related to licensing, trade 
facilitation and customs valuation.  Informa tion on the application of intra-RTA trade 
defense measures - i.e. annual number of  safeguard, anti-dumping and countervailing 
measures applied between RTA parties during the implementation period.  
 
III. PROVISIONS ON TRADE IN SERVICES 
 
A. COMMITMENTS  
 
Summary information regarding realiza tion of horizontal and sector-specific 
commitments.  Information on any devel opments that might have taken place 
regarding restrictions remaining in place.  Available trade data. 
 
B. R EGULATORY PROVISIONS  
 
Any relevant information regarding deni al of benefits, domestic regulation, 
recognition, etc. 
  JOB/REG/4 
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  IV. GENERAL PROVISIONS  OF THE AGREEMENT 
 
Information on dispute settlement cases under the Agreement.  Updated information on 
institutional framework and on other RTAs c oncluded by the Parties.  Developments 
concerning commitments in other areas such as government procurement and intellectual 
property.  Any other information related to other general provisions of the Agreement. 
 
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