TN/RL/W/232 
Page A-1 
   
  
 
     
 
    
 
    
 
ANNEX A – ANTI-DUMPING    
 
  
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Article 1 
Principles 
 Article 1 
Principles   
1. An anti-dumping measure shall be applied only 
under the circumstances provid ed for in Article VI of  
GATT 1994 and pursuant to investigations initiated1 and 
conducted in accord ance with the prov isions of this 
Agreement.  The following provisions govern the 
application of Article VI of GATT 1994 in so far as action 
is taken under anti-dumping legislation or regulations. ______________________ 
 1The term "initiated" as used in this Agreement means 
the procedural action by which a Member formally commences 
an investigation as provided in Article 5. 
 1. An anti-dumping measure shall be applied only 
under the circumstances provid ed for in Article VI of  
GATT 1994 and pursuant to investigations initiated1 and 
conducted in accord ance with the prov isions of this 
Agreement.  The following provisions govern the 
application of Article VI of GATT 1994 in so far as action 
is taken under anti-dumping legislation or regulations. ____________________ 
 1The term "initiated" as used in this Agreement means 
the procedural action by which a Member formally commences 
an investigation as provided in Article 5.   
Article 2 
Determination of Dumping 
 Article 2 
Determination of Dumping   
2.1 For the purpose of this Agreement, a product is 
to be considered as being dumped, i.e.  introduced into the 
commerce of another country at less than its normal value, 
if the export price of the product exported from one country to another is less than the comparable price, in the 
ordinary course of trade, for the like product when 
destined for consumption in the exporting country. 
 2.1 For the purpose of this Agreement, a product is 
to be considered as being dumped, i.e.  introduced into the 
commerce of another country at less than its normal value, 
if the export price of the product exported from one country to another is less than the comparable price, in the 
ordinary course of trade, for the like product when 
destined for consumption in the exporting country.  
2.2 When there are no sales of the like product in the 
ordinary course of trade in the domestic market of the 
exporting country or when, b ecause of the particular 
market situation or the low volume of the sales in the 
domestic market of the exporting country2, such sales do 
not permit a proper comparison, the margin of dumping 
shall be determined by comparison with a comparable 
price of the like product when exported to an appropriate 
third country, provided that th is price is representative, or 
with the cost of production in the country of origin plus a 
reasonable amount for administrative, selling and general costs and for profits.    
______________________ 
 2Sales of the like product destined for consumption in 
the domestic market of the expo rting country shall normally be 
considered a sufficient quantity for the determination of the 2.2 When there are no sales of the like product in the 
ordinary course of trade in the domestic market of the 
exporting country or when, b ecause of the particular 
market situation or the low volume of the sales in the 
domestic market of the exporting country2, such sales do 
not permit a proper comparison, the margin of dumping 
shall be determined by comparison with a comparable 
price of the like product when exported to an appropriate 
third country, provided that th is price is representative, or 
with the cost of production in the country of origin plus a 
reasonable amount for administrative, selling and general costs and for profits.    
______________________ 
 2 Sales of the like product destined for consumption in 
the domestic market of the expo rting country shall normally be 
considered a sufficient quantity for the determination of the   
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normal value if such sales constitute 5 per cent or more of the 
sales of the product under consideration to the importing 
Member, provided that a lower ratio should be acceptable where 
the evidence demonstrates that domestic sales at such lower ratio 
are nonetheless of sufficient magnitude to provide for a proper 
comparison.  normal value if such sales constitute 5 per cent or more of the sales of the product under consideration to the importing  
Member, provided that a lower ratio should be acceptable where 
the evidence demonstrates that domestic sales at such lower ratio 
are nonetheless of sufficient magnitude to provide for a proper 
comparison.
 
 
 2.2.1 Sales of the like product [[under 
consideration for the determination of 
the normal value, either made]] in the 
domestic market of the exporting 
country or [[made]] [[sales ]] to a third 
country [[ at prices below per unit (fixed 
and variable) costs of production plus  
administrative, selling and general 
costs ]] may[[, on a collective basis 
only,]]  be treated as not being in the 
ordinary course of trade by reason of 
price and may[[, on that basis,]]  be 
disregarded in determining normal value 
only if the authorities3 determine that 
such sales are made within an extended 
period of time4 [[at a weighted average 
selling price that is below weighted 
average per unit fixed and variable costs 
of production plus administrative, 
selling and general costs.]][[ in 
substantial quantities ]][[5]][[5]] [[and are 
at prices which do not provide for the 
recovery of all costs within a reasonable 
period of time.  If prices which are 
below per unit costs at the time of sale 
are above weighted average per unit 
costs for the period of investigation, 
such prices shall be considered to 
provide for recovery of costs within a 
reasonable period of time.  ]] 
______________________ 
 3When in this Agreement the term "authorities" is 
used, it shall be interpreted as meaning authorities at an 
appropriate senior level. 
 4The extended period of time should normally be one 
year but shall in no case be less than six months.  2.2.1 Sales of the like product in the domestic 
market of the exporting country or sales 
to a third country at prices below per unit (fixed and variable) costs of 
production plus  administrative, selling 
and general costs may be treated as not being in the ordinary course of trade by 
reason of price and may be disregarded 
in determining normal value only if the authorities
3 determine that such sales 
are made within an extended period of 
time4 in substantial quantities5 and are at 
prices which do not provide for the 
recovery of all costs within a reasonable 
period of time.  If prices which are 
below per unit costs at the time of sale 
are above weighted average per unit costs for the period of investigation, 
such prices shall be considered to 
provide for recovery of costs within a reasonable period of time. 
 
  
 
  
 
  
______________________ 
 3 When in this Agreement the term "authorities" is 
used, it shall be interpreted as meaning authorities at an 
appropriate senior level. 
 4 The extended period of time should normally be one 
year but shall in no case be less than six months.   
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 5[[Sales below per unit costs are made in substantial 
quantities when the authorities establish that the weighted 
average selling price of the tran sactions under consideration for 
the determination of the normal value is below the weighted 
average per unit costs, or that the volume of sales below per unit 
costs represents not less than 20 per cent of the volume sold in 
transactions under consideration for the determination of the 
normal value. ]] 
  
 5 [[Sales below per unit costs are made in substantial 
quantities when the authorities establish that the weighted 
average selling price of the tran sactions under consideration for 
the determination of the normal value is below the weighted 
average per unit costs, or that the volume of sales below per unit 
costs represents not less than [[30 20]] per cent of the volume 
sold in transactions under consid eration for the determination of 
the normal value.]] 
  
 
 
 
 
 
 
 
 
 5 Sales below per unit costs are made in substantial 
quantities when the authorities establish that the weighted 
average selling price of the tran sactions under consideration for 
the determination of the normal value is below the weighted 
average per unit costs, or that the volume of sales below per unit 
costs represents not less than 20 per cent of the volume sold in 
transactions under consideration for the determination of the 
normal value. 
 
  2.2.1.1 For the purpose of paragraph 2, 
costs shall normally be 
calculated on the basis of 
records kept by the exporter or producer under investigation, 
provided that such records are 
in accordance with the generally accepted accounting 
principles of the exporting 
country and reasonably reflect the costs associated with the 
production and sale of the 
product under consideration.  
Authorities shall consider all 
available evidence on the proper allocation of costs, 
including that which is made 
available by the exporter or producer in the course of  the 
investigation [[
provided that 
such allocations have been 
historically utilized by the 
exporter or  producer, in 
particular in relation to 
establishing appropriate  2.2.1.1 For the purpose of paragraph 2, 
costs shall normally be 
calculated on the basis of 
records kept by the exporter or producer under investigation, 
provided that such records are 
in accordance with the generally accepted accounting 
principles of the exporting 
country and reasonably reflect the costs associated with the 
production and sale of the 
product under consideration.  
Authorities shall consider all 
available evidence on the proper allocation of costs, 
including that which is made 
available by the exporter or producer in the course of the 
investigation, giving due 
regard to any cost   p r o v i d e d  
that such allocations have been 
historically utilized by the 
exporter or  producer, in particular in relation to Some delegations welcomed proposed changes to 
Article 2.2.1.1 regarding cost allocations .  Other 
delegations had varied views, with one delegation 
considering that the Chairman 's text would weaken the 
obligation to use historically utilized allocations, and 
other delegations concerned that the text would limit the 
ability of the authorities to reject unreliable allocations.   
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amortization and depreciation 
periods and  allowances for 
capital expenditures and other 
development costs ]].  Unless 
already reflected in the cost 
allocations under this sub-paragraph, costs shall be 
adjusted appropriately for 
those non-recurring items of cost which benefit future 
and/or current production, or 
for circumstances in which costs during the period of 
investigation are affected by 
start-up operations.
6 
_____________________ 
 6The adjustment made for start-up operations shall 
reflect the costs at the end of the start-up period or, if that period 
extends beyond the period of investigation, the most recent costs 
which can reasonably be taken into account by the authorities 
during the investigation.  establishing appropriate 
amortization and depreciation 
periods and  allowances for capital expenditures and other 
development costs.  Unless 
already reflected in the cost allocations under this 
sub-paragraph, costs shall be 
adjusted appropriately for those non-recurring items of 
cost which benefit future 
and/or current production, or for circumstances in which 
costs during the period of 
investigation are affected by start-up operations
6 
_____________________ 
 6 The adjustment made for start-up operations shall 
reflect the costs at the end of the start-up period or, if that period 
extends beyond the period of investigation, the most recent costs 
which can reasonably be taken into account by the authorities 
during the investigation.  
 
2.2.2 For the purpose of paragraph 2, the 
amounts for administrative, selling and general costs and for profits shall be 
based on actual data pertaining to 
production and sales in the ordinary course of trade of the like product by the 
exporter or producer under 
investigation.  When such amounts 
cannot be determined on this basis, the 
amounts may be determined on the basis of:  2.2.2 For the purpose of paragraph 2, the 
amounts for administrative, selling and general costs and for profits shall be 
based on actual data pertaining to 
production and sales in the ordinary course of trade of the like product by the 
exporter or producer under 
investigation.  When such amounts 
cannot be determined on this basis, the 
amounts may be determined on the basis of:  
 
 (i) the actual amounts 
incurred and realized by the exporter or producer in 
question in respect of 
production and sales in the domestic market of the 
country of origin of the  
 (i) the actual amounts 
incurred and realized by the exporter or producer 
in question in respect of 
production and sales in the domestic market of 
the country of origin of   
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same general category of 
products;   
 the same general 
category of products;   
 
 (ii) the weighted average of 
the actual amounts 
incurred and realized by 
other exporters or producers subject to 
investigation in respect of 
production and sales of the like product in the 
domestic market of the 
country of origin;   
  (ii) the weighted average of 
the actual amounts 
incurred and realized by 
other exporters or producers subject to 
investigation in respect 
of production and sales of the like product in the 
domestic market of the 
country of origin;   
  
 (iii) any other reasonable 
method, provided that the 
amount for profit so established shall not 
exceed the profit normally 
realized by other exporters 
or producers on sales of 
products of the same general category in the 
domestic market of the 
country of origin.  (iii) any other reasonable 
method, provided that 
the amount for profit so established shall not 
exceed the profit 
normally realized by 
other exporters or 
producers on sales of products of the same 
general category in the 
domestic market of the country of origin. 
  
2.3 In cases where there is no export price or where 
it appears to the authorities concerned that the export price is unreliable because of association or a compensatory 
arrangement between the exporter and the importer or a 
third party[[
7]], the export price may be constructed on the 
basis of the price at which the imported products are first 
resold to an independent buyer, or if the products are not 
resold to an independent buyer, or not resold in the condition as imported, on such reasonable basis as the 
authorities may determine. 
____________________ 2.3 In cases where there is no export price or where 
it appears to the authorities concerned that the export price is unreliable because of association or a compensatory 
arrangement between the exporter and the importer or a 
third party, the export price may be constructed on the basis of the price at which the imported products are first 
resold to an independent buyer, or if the products are not 
resold to an independent buyer, or not resold in the condition as imported, on such reasonable basis as the 
authorities may determine.  
 7[[An affiliated party shall be any party which is 
considered to, directly or indirec tly, have significant influence or 
be significantly influenced by a nother party, or which is under 
the common significant influence of a third party. For the    
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purposes of this definition, significant influence is:  
 (i)  the power to govern the financial and 
operating policies of an enterprise by having:  
 
  (a)  more than one half of the voting 
power of an enterprise;  
  (b)  power over more than one half of 
the voting rights by virtue of an 
agreement with other investors;  
  (c)  such power under a statute or an 
agreement;  
  (d)  power to appoint or remove the 
majority of the members of the 
board of directors or equivalent 
governing body;  
  (e)  power to cast the majority of votes 
as meetings of the board of 
directors or equivalent governing 
body; or  
 
 (ii)  the power granted through share ownership, 
statute or agreement to a person or enterprise 
to participate in the financial and operating 
policy decisions of the another enterprise by 
having:  
  (a) representation on the board of 
directors of such other enterprise;  
  (b) common directors and/or officers 
with such other enterprise;  
  (c) a contractual relationship (or any 
other biding obligation) enabling 
such person or enterprise to 
unilaterally impose pricing 
conditions on such other enterprise 
and resulting on an economic, 
financial and technological 
dependence of such other 
enterprise from such person or 
enterprise.]]  
2.4 A fair comparison shall be made between the 
export price and the normal  value [[on the basis of 
differences between the export price and the normal value 
with regard to all comparable export transactions during a 
period of time which shall normally be one year as 
follows]] . This comparison shall be made at the same 
level of trade, normally at the ex-factory level, and in 2.4 A fair comparison shall be made between the 
export price and the normal va lue.  This comparison shall 
be made at the same level of trade, normally at the 
ex-factory level, and in respect of sales made at as nearly 
as possible the same time.  Due allowance shall be made 
in each case, on its merits, for  differences which affect 
price comparability, including differences in conditions   
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respect of sales made at as nearly as possible the same 
time.  Due allowance shall be made in each case, on its 
merits, for  differences which affect price comparability, including differences in conditions and terms of sale, 
taxation, levels of trade, quantities, physical 
characteristics, and any other differences which are also demonstrated to affect price comparability.
8  In the cases 
referred to in paragraph 3, allowances for costs, including 
duties and taxes, incurred between importation and resale, and for profits accruing, should also be made.  If in these 
cases price comparability has been affected, the 
authorities shall establish the normal value at a level of trade equivalent to the level of trade of the constructed 
export price, or shall make due allowance as warranted 
under this paragraph.  The authorities shall indicate to the parties in question what inform ation is necessary to ensure 
a fair comparison and shall not impose an unreasonable 
burden of proof on those parties. _____________________ 
 8 It is understood that some of the above factors may 
overlap, and authorities shall ensure that they do not duplicate 
adjustments that have been already made under this provision.  
 and terms of sale, taxation, levels of trade, quantities, 
physical characteristics, and any other differences which 
are also demonstrated to affect price comparability.7  I n  
the cases referred to in paragraph 3, allowances for costs, 
including duties and taxes, incurred between importation 
and resale, and for profits accruing, should also be made.  If in these cases price comparability has been affected, the 
authorities shall establish the normal value at a level of 
trade equivalent to the level of trade of the constructed export price, or shall make due allowance as warranted 
under this paragraph.  The authorities shall indicate to the 
parties in question what inform ation is necessary to ensure 
a fair comparison and shall not impose an unreasonable 
burden of proof on those parties. 
_____________________ 
 7It is understood that some of the above factors may 
overlap, and authorities shall ensure that they do not duplicate 
adjustments that have been already made under this provision.  
 2.4.1 When the comparison under paragraph 
4 requires a conversi on of currencies, 
such  conversion should be made using the rate of exchange on the date of sale
9 
[[taken from a source of recognized 
authority10]], provided that when a sale 
of foreign currency on forward markets 
is directly linked to the export sale involved, the rate of exchange in the 
forward sale shall be used.  Fluctuations 
in exchange rates[[
11]] shall be ignored 
and in an investigation the authorities 
shall allow exporters [[ at least 
60 days]][[not more than 80 days from 
the date of sale12]] to have adjusted their 
export prices to reflect sustained 
movements[13] in exchange rates during 
the period of investigation.  [[The 
source of recognized authority normally 2.4.1 When the comparison under paragraph 
4 requires a conversi on of currencies, 
such  conversion should be made using the rate of exchange on the date of sale
8 
taken from a source of recognized 
authority9, provided that when a sale of 
foreign currency on forward markets is 
directly linked to the export sale involved, the rate of exchange in the 
forward sale shall be used.  Fluctuations 
in exchange rates shall be ignored and in an investigation the authorities shall 
allow exporters at least 60 days to have 
adjusted their export prices to reflect 
sustained movements in exchange rates 
during the period of investigation. 
_____________________ 
 8Normally, the date of sale would be the date of 
contract, purchase order, order confirmation, or invoice, Most delegations welcomed the general direction of the 
textual amendments relating to the disclosure of the 
sources of authority for exchange rates used in margin 
calculations. The main issue raised dealt with the 
necessity of having to disclo se sources of exchange rate 
authority in legislation, as opposed to reflecting those 
sources in individual determinations. 
  
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used, and the specific method normally 
followed by the authorities in applying 
subparagraph 4.1, shall be set forth in 
the laws, regulations or published 
administrative procedures of the 
Member concerned, and their 
application to each particular case shall 
be transparent and adequately 
explained.  If, in a particular case, a 
Member does not use the source of 
recognized authority or specific method 
set forth in its laws, regulations or 
published administrative procedures, it 
shall explain in the relevant public 
notices under Article 12 why it did not 
use such source or method.]]  
 
_____________________ 
 9 Normally, the date of sale would be the date of 
contract, purchase order, order confirmation, or invoice, whichever establishes the material terms of sale. 
    
10 [[Sources of recognized authority may include 
central banks, multilateral financial institutions, widely 
distributed financial journals, or other sources not created 
primarily for the purpose of conducting anti-dumping 
proceedings.]]  
 11 [["Fluctuations in exchange rates" shall mean minor 
deviations from the moving average of the daily exchange rates 
for the prior 60 days.]]  
 12 [[Exporters shall nonetheless comply with the 
deadline set for the submission of their questionnaire 
responses.]]  
 13 [["Sustained movements" shall be found where 
exchange rate significantly exceeds the moving average of the 
daily exchange rates for the prior 60 days.]]
 whichever establishes the material terms of sale. 
 9Sources of recognized aut hority may include central 
banks, multilateral financial institutions, widely distributed 
financial journals, or other sour ces not created primarily for the 
purpose of conducting anti-dumping proceedings.  
 
 2.4.1.1 The source of recognized 
authority normally used, and the specific 
method normally followed by the 
authorities in applying subparagraph 4.1, 
shall be set forth in the laws, regulations 
or published administrative procedures 
of the Member concerned, and their 
application to each particular case shall 
be transparent and adequately explained. 
 
 2.4.1.2 If, in a particular case, a 
Member does not use the source of 
recognized authority or specific method 
set forth in its laws, regulations or 
published administrative procedures, it 
shall explain in the relevant public 
notices under Article 12 why it did not 
use such source or method.  
2.4.2 Subject to the provisions governing fair 
comparison in paragraph 4, the 
existence of margins of dumping [[during the investigation phase
]] shall 
normally be established on the basis of a 
comparison of a weighted average normal value with a weighted average 2.4.2 Subject to the provisions governing fair 
comparison in paragraph 4, the 
existence of margins of dumping during 
thein an  investigation phase initiated 
pursuant to Article 5 shall normally be 
established on the basis of a comparison of a weighted average normal value Numerous delegations expressed the view that zeroing is 
a biased and partial method for calculating the margin of 
dumping which inflates anti-dumping duties, and that its use could nullify the results of trade liberalization efforts 
(see TN/RL/W/214/Rev.3), and therefore considered that 
the Chairman's text on zeroing was unacceptable. Accordingly, twenty delegations co-sponsored a Working  
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of prices of all comparable export 
transactions or by a comparison of 
normal value and export prices on a transaction-to-transaction basis.[[
14]]  
[[A norm al value established on a 
weighted average basis may be 
compared to prices of individual export 
transactions if the authorities find a 
pattern of export prices which differ 
significantly among different 
purchasers, regions or time periods, and 
if an explan ation is provided as to why 
such  differences cannot be taken into 
account appropriately by the use of a 
weighted average -to-weighted average 
or transaction -to-transaction 
comparison. ]] 
_____________________ 
 14 [[The establishment of margins of dumping by a 
comparison of normal value and export prices on a transaction-
to-transaction basis may imply th e selection of a limited number 
of comparable transactions.  In cases where the authorities resort 
to a selection of transactions, su ch selection shall be made in a 
fair and objective manner.  Expor t transactions not considered 
for the establishment of the ma rgin of dumping shall not be 
deemed to be dumped.]]  
 with a weighted average of prices of all 
comparable export transactions or by a 
comparison of normal value and export prices on a transaction-to-transaction 
basis. A normal value established on a 
weighted average basis may be compared to prices of individual export 
transactions if the authorities find a 
pattern of export prices which differ significantly among different 
purchasers, regions or time periods, and 
if an explanation is provided as to why 
such  differences cannot be taken into 
account appropriately by the use of a 
weighted average-to-weighted average or transaction-to-transaction 
comparison. 
 
 
 
 
 
 
 Paper that proposed alternative language that would 
prohibit a Member from disregarding the amount by 
which the export price exceeds the normal value for any comparisons in all proceedings, including original 
investigations, proceedings under Articles 9.3 and 9.5 and 
reviews under Articles 11.2 and 11.3, and in respect of all methodologies (s ee TN/RL/W/215). They further 
proposed to make clear that Article 2.4.2 applies in all 
proceedings, to set a minimum time period on the basis of which a margin of dumping could be calculated, and to 
require consistency between the methodology  used  in an 
original investigation and a subsequent proceeding pursuant to Article 9.3. 
 
Other delegations had different views about the Chairman's text.  Some of these delegations believed that 
while the draft text went too far, zeroing might be 
permitted in some contexts.  In particular, a number of delegations expressed the view that zeroing should be 
permitted in the context of the weighted average-
transaction comparison methodology ("targeted 
dumping"), while it was also suggested that the same 
methodology need not necessarily be applied in original investigations as in the context of duty collection.  One 
delegation considered that the Chairman's text permitted 
zeroing in certain contexts but prohibited it in the most common comparison methodology in investigations, and 
insisted that a restoration of  zeroing in all contexts was 
necessary to return to the stat us quo that emerged from the 
Uruguay Round.  This delegation could not conceive of a 
result that did not address zeroing.   
 Delegations on all sides of the issue emphasized how 
critical the issue was to their delegations. 
2.4.3 [[When aggregating the results of 
comparisons of normal value and export 
price to determine any margin of 
dumping, whether in an investigation 
pursuant to paragraph 4.2 or for any 
other purpose (including determinations 
pursuant to Articles 9 or 11), authorities 
are not required to offset the results of 2.4.3 When the authorities aggregate the results of 
multiple comparisons in order to establish the 
existence or extent of a margin of dumping, the 
provisions of this paragraph shall apply:  
   
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any comparison in which the export 
price is greater than the normal value 
against the results of any comparison in 
which the normal valu e is greater than 
the export price.]]  
 
  (i) when, in an investigation initiated 
pursuant to Article 5, the authorities 
aggregate the results of multiple 
comparisons of a weighted average 
normal value with a weighted average 
of prices of all comparable export 
transactions, they shall take into 
account the amount by which the export  
price exceeds the normal value for any 
of the comparisons.  
  
  (ii) when, in an investigation initiated 
pursuant to Article 5, the authorities 
aggregate the results of multiple 
comparisons of normal value and export 
prices on a transaction-to-transaction  
basis or of multiple comparisons of 
individual export transactions to a 
weighted average normal value, they 
may disregard the amount by which the 
export price exceeds the normal value 
for any of the comparisons.  
  
  (iii) when, in a review pursuant to 
Articles 9 or 11, the authorities 
aggregate the results of multiple 
comparisons, they may disregard the 
amount by which the export price 
exceeds the normal value for any of the 
comparisons.  
  
2.4.4 [[If the authorities find a pattern of 
export prices, which differ significantly 
among different purchasers, regions, 
time periods or product types, the 
existence of margins of dumping may 2.4.4 When there are differences with respect 
to models, types, grades or quality 
within the product under consideration, 
the authorities shall provide exporters 
and foreign producers with timely Most delegations welcomed the general direction of the 
textual amendments relating to exporter participation in 
the model matching process.  The main issue raised dealt 
with the timing and effectiveness of an exporter's model matching participation rights, with some delegations  
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be established on the basis of a 
comparison of a normal value 
established on a weighted average basis 
with prices of individual export 
transactions.  In such circumstances, the 
authorities may limit their comparison 
to individual export transactions made 
to purchasers, regions or time periods or 
of product types found to be 
significantly diffe rent.  Authorities 
should provide an ex planation as to why 
the methodologies provided for in 
paragraph 4.2 of Article 2 were not 
appropriate to address dumping 
practices found to be targeting certain 
purchasers, regions time periods or 
product types.]]  
 opportunities to express their views 
regarding possible categorization and 
matching for purposes of comparison.  
This shall not prevent the authorities 
from proceeding expeditiously with the 
investigation.  
 suggesting that opportunities be provided sufficiently 
early as to allow exporters to express their views and 
investigating authorities to consider those views.  One delegation queried whether the procedure might have an 
impact on the overall time period of the investigation 
under Article 5.10, while several delegations considered that "quality" was very subjective and questioned whether 
it was an appropriate consideration .   
 
 [[In a sale between affiliated parties, the 
transaction price shall be accepted whenever the exporter 
or producer involved demonstrates, that such price closely 
approximates15 to one of the following during the period 
of investigation:  
  (i) the transaction price in sales of identical 
or most similar products in 
commercially representative quantities 
to unaffiliated parties in the same 
country as the affiliated party;  
   
 
 (ii) the price of iden tical or most similar 
products as determined on the basis of 
the price at which the goods are first 
resold in the greatest aggregate quantity 
to an independent buyer in the same 
country as the affiliated party, after 
making appropriate deductions for 
costs, duties and taxes incurred, or 
profits accrued, between sale to the 
affiliated party and resale to the first 
independent buyer;     
  TN/RL/W/232 
Page A-14 Consolidated Proposals Chairman's Text (TN/RL/W/213) Delegations' Comments on Chairman's Text 
 
 
 (iii) the price of identical or most similar 
products as determined on the basis of 
the cost of production in the country of 
origin plus a reasonable amount for 
administrative, selling and general costs 
and for profits realized on domestic 
sales, in case of domestic transactions, 
or realized on export sales in case of 
export transactions.]]  
_____________________ 
 15[[The investigating authority may determine on a 
case-by-case basis the appropriate percentage of variation that 
constitutes such close approximation in price.  However, in no 
case shall the percentage be lower than [X] percent.  The same 
percentage shall apply for vari ations both above and below the 
price being compared to in items (i), (ii) or (iii).]]  
   
2.5 In the case where prod ucts are not imported 
directly from the country of origin but are exported to the 
importing Member from an intermediate country, the price at which the products ar e sold from the country of 
export to the importing Member shall normally be 
compared with the comparable  price in the country of 
export.  However, comparison may be made with the price 
in the country of origin, if, for example, the products are 
merely transshipped through the country of export, or such products are not produced in the country of export, 
or there is no comparable price for them in the country of 
export. 2.5 In the case where prod ucts are not imported 
directly from the country of origin but are exported to the 
importing Member from an intermediate country, the price at which the products ar e sold from the country of 
export to the importing Member shall normally be 
compared with the comparable  price in the country of 
export.  However, comparison may be made with the price 
in the country of origin, if, for example, the products are 
merely transshipped through the country of export, or such products are not produced in the country of export, 
or there is no comparable price for them in the country of 
export.   
2.6 Throughout this Agreement the term "like 
product" ("produit similaire") shall be interpreted to mean 
a product which is identical, i.e. alike in all respects to the product under consideration, or  in the absence of such a 
product, another product which, although not alike in all 
respects, has characteristics closely resembling those of the product under consideration. 
 2.6 Throughout this Agreement:
 
 
 (a) The term "product  under consideration" 
shall be interpreted to mean the imported 
product subject to investigation or review.  
The product under consideration shall be 
limited to imported products that share the 
same basic physical characteristics.  The 
existence of differences with respect to 
factors such as models, types, grades and On product under consideration , many delegations 
considered that inclusion of a provision on this issue was 
useful, and were prepared to consider the inclusion of some language in the text. However, one delegation was 
not convinced that the proposed changes were necessary, 
and was concerned that the text could create more problems than it purports to solve, while another 
delegation expressed concerns that the text could have 
"vertical" as well as "horizontal" implications (e.g., with 
respect to the inclusion of parts), as well as implications in  
  TN/RL/W/232
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quality shall not prevent imported products 
from being part of the same product under 
consideration if they share the same basic 
physical characteristics.  Whether such 
differences are so significant as to preclude 
inclusion of imported products within a 
single product under consideration shall be 
determined on the basis of relevant factors, 
which may include similarity in use, 
interchangeability, competition in the same 
market and distribution through the same 
channels.  
 
(b) T the term "like product" ("produit 
similaire") shall be interpreted to mean a product which is identical, i.e. alike in all 
respects to the product under consideration, 
or in the absence of such a product, another product which, although not alike in all 
respects, has characteristics closely 
resembling those of the product under 
consideration. 
 respect of subsequent proceedings. 
 
Regarding the specific text proposed, there were differences of view regarding how broadly the product 
under consideration should be defined and on the role of 
physical and market characteristics in determining the product under consideration.  Some delegations believed 
that physical characteristics we re objective in nature and 
should be given primacy, while other delegations believed that market characteristics should at least have equal 
status.  There were also a va riety of views and questions 
on when and how product under consideration should be determined, with some delegations noting that at the pre-
initiation stage limited information was available.  Issues 
were also raised on the desirability and nature of any amendments to the product under consideration during the 
course of the investigation, with some delegations seeking 
clarification that the product  under consideration could 
only be narrowed, but not broadened, during an 
investigation, and on the implications of any such 
amendments on standing, etc. Queries were raised 
regarding the possible interaction of the "product under 
consideration" concept with that of the like product.     
2.7 This Article is without prejudice to the second Supplementary Provision to paragraph 1 of Article VI in 
Annex I to GATT 1994. 2.7 This Article is without prejudice to the second 
Supplementary Provision to paragraph 1 of Article VI in 
Annex I to GATT 1994. 
  
   
Article 3  
Determination of Injury16 
 Article 3  
Determination of Injury10  
______________________ 
 16Under this Agreement the term "injury" shall, unless 
otherwise specified, be taken to mean material injury to a 
domestic industry, threat of ma terial injury to a domestic 
industry or material retardation of  the establishment of such an 
industry and shall be interpreted in accordance with the 
provisions of this Article.  [[A domestic industry shall be 
considered in establishment wh en it has made a substantial 
commitment to achieve reasonable commercially viable 
production or sustainable bus iness operations.]]  [[A 
determination of material injury shall be based upon 
determinations of (1) whethe r the domestic industry in the ______________________ 
 10 Under this Agreement the term "injury" shall, unless 
otherwise specified, be taken to mean material injury to a 
domestic industry, threat of ma terial injury to a domestic 
industry or material retardation of  the establishment of such an 
industry and shall be interpreted in accordance with the 
provisions of this Article. 
   
  TN/RL/W/232 
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importing country is experiencing material injury, and (2) if the 
domestic industry is experiencing  material injury, whether the 
dumped imports under investigation are causing material injury.  
The term ‘material injury to a do mestic industry’ means the state 
of the domestic industry as dem onstrated by an important and 
measurable deteriorat ion in the operating performance of the 
domestic industry, based on an over all assessment of all relevant 
economic factors and indices having a bearing on the state of the 
domestic industry including those enumerated in Article 3.4.]]  
 
3.1 A determination of injury for purposes of 
Article VI of GATT 1994 shall be based on positive 
evidence and involve an objec tive examination of both 
(a) the volume of the dumped imports and the effect of the 
dumped imports on prices in the domestic market for like 
products, and (b) the consequent impact of these imports 
on [[the]]  domestic [[industry, as defined in Article 4.1]]  
[[producers of such products]] .[[17]] 
 
______________________ 
 17 [[Dumped imports shall not  include imports from 
producers/ exporters: a) found not to have dumped; and b) for 
whom the investigating authorities have determined that the 
margin of dumping is de minimis.]]  
 3.1 A determination of injury for purposes of 
Article VI of GATT 1994 shall be based on positive 
evidence and involve an objec tive examination of both 
(a) the volume of the dumped imports11 and the effect of 
the dumped imports on prices in the domestic market for 
like products, and (b) the consequent impact of these 
imports on domestic producers of such products. ______________________ 
 11 For purposes of a determination of injury under this 
Article, imports attributable to  any exporter or producer for 
which the authorities determine a margin of dumping of zero or 
de minimis  shall not be considered  to be "dumped imports".  
 
 Proposed footnote 11 on dumped imports  received wide 
support. However, one delegation suggested that imports 
with de minimis  dumping margins should be treated as 
dumped for purposes of an injury determination.   
 3.1.1 [[ [[Authorities shall make every effort 
to obtain all relevant evidence 
concerning all domestic producers of the 
like product for the purpose of making 
an injury determination. In exceptional 
cases where it is not possible to obtain 
evidence which covers all domestic 
producers, authorities shall use all 
evidence obtained relating to domestic 
producers, provided that such evidence 
relates to as high a proportion of the 
producers as possible, but not less than 
those of them whose collective output of 
the products constitutes the major 
proportion (more than 50%) of the total 
domestic production of those products. 
In such a case, the authorities shall 
provide a reasoned explanation    
  TN/RL/W/232
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demonstrating why it could not base the 
injury assessment on evidence covering 
domestic producers as a 
whole.]][[Authorities shall make every 
effort to obtain evidence relating to all 
domestic producers of the like product.  
In exceptional cases, where that is not 
possible, authorities shall examine those 
domestic producers whose collective 
output of the product constitutes the 
largest volume of production that can 
reasonably be examin ed in excess of the 
50 per cent threshold referred to in 
Article 4.1. In such a case, the 
authorities shall provide a reasoned 
explanation demonstrating why it could 
not base the injury assessment on 
evidence covering all domestic 
producers, including a description of the 
efforts made by the authorities to obtain 
evidence covering all domestic 
producers. Such explanation shall be set 
forth in any disclosure pursuant to 
Article 6.9 and in the public notices 
referred to in Article 12.] ] ]] 
 
3.2 With regard to the volume of the dumped 
imports, the investigating authorities shall consider 
whether there has been a sign ificant increase in dumped 
imports, either in absolute terms or relative to production or consumption in the importing Member.   With regard to 
the effect of the dumped  imports on prices, the 
investigating authorities shall consider whether there has been a significant price undercutting by the dumped 
imports as compared with the price of a like product of the 
importing Member, or whether the effect of such imports is otherwise to depress prices to a significant degree  or 
prevent price increases, which otherwise would have 
occurred, to a significant degree.  No one or several of 
these factors can necessarily  give decisive guidance. 
 3.2 With regard to the volume of the dumped 
imports, the investigating authorities shall consider 
whether there has been a sign ificant increase in dumped 
imports, either in absolute terms or relative to production or consumption in the importing Member.   With regard to 
the effect of the dumped  imports on prices, the 
investigating authorities shall consider whether there has been a significant price undercutting by the dumped 
imports as compared with the price of a like product of the 
importing Member, or whether the effect of such imports is otherwise to depress prices to a significant degree  or 
prevent price increases, which otherwise would have 
occurred, to a significant degree.  No one or several of 
these factors can necessarily  give decisive guidance. 
   
  TN/RL/W/232 
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3.3 Where imports of a product from more than one 
country are [[ simultaneously ]]subject to [[the same]]  
anti-dumping investigation[[ s]], the investigating 
authorities [[shall may]] cumulatively assess the effects of 
such imports[[  only if they determine that (a) the margin 
of dumping established in relation to the imports from 
each country is more than de minimis   as defined in 
paragraph  8 of Article  5 and the volume of imports from 
each country is not negligible and (b) a cumulative 
assessment of the effects of the imports is appropriate in 
light of the conditions of competition between the 
imported products and the conditions of competition 
between the imported products and the like domestic 
product. ]][[, provided that imports from any investigation 
terminated under paragraph 8 of Article 5 are excluded 
from the cumulative assessment. If imports from more 
than one country are subject to different investigations for 
which the period of investigation is the same or largely 
overlapping, the investigating authorities may 
cumulatively assess the effects of such imports, provided 
that such cumulation is appropriate in the light of the 
conditions of competition between the products under 
consideration of each investigation and that imports from 
any investigation terminated under paragraph 8 of Article 
5 are excluded from the cumulative assessment. The 
assessment of those conditions of competition shall be 
based upon an evaluation of th e physical characteristics of 
the products, including tec hnical specifications and 
quality, and their market characteristics, including end 
uses, substitutability, pricing levels and distribution 
channels. This list is not exhaustive, nor can one or 
several of these factors necessarily give decisive 
guidance. Authorities shall not cumulate imports from 
more than one country subject to different investigations 
if the products under consider ation of each investigation 
do not reach the same geographical market or do reach the 
same geographical markets at different periods of time.]]  3.3 Where imports of a product from more than one 
country are simultaneously subject to anti-dumping 
investigations, the investigating authorities may cumulatively assess the effects of such imports only if 
they determine that (a) the margin of dumping established 
in relation to the imports from each country is more than de minimis   as defined in paragraph 8 of Article 5 and the 
volume of imports from each coun try is not negligible and 
(b) a cumulative assessment of the effects of the imports 
is appropriate in light of the conditions of competition 
between the imported products and the conditions of 
competition between the imported products and the like domestic product. 
  
3.4 The examination of th e impact of the dumped 
imports on the domestic industry concerned shall include 
an evaluation of all relevant  economic factors and indices 
having a bearing on the state of the industry, including actual and potential decline in sales, profits, output, 3.4 The examination of th e impact of the dumped 
imports on the domestic industry concerned shall include 
an evaluation of all relevant  economic factors and indices 
having a bearing on the state of the industry, including actual and potential decline in sales, profits, output,   
  TN/RL/W/232
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market share, productivity, return on investments, or 
utilization of capacity;  factors affecting domestic prices;  
the magnitude of the margin of dumping;  actual and potential negative effects on cash flow, inventories, 
employment, wages, growth, ability to raise capital or 
investments.  This list is not exhaustive, nor can one or several of these factors necessarily give decisive 
guidance. 
 market share, productivity, return on investments, or 
utilization of capacity;  factors affecting domestic prices;  
the magnitude of the margin of dumping;  actual and potential negative effects on cash flow, inventories, 
employment, wages, growth, ability to raise capital or 
investments.  This list is not exhaustive, nor can one or several of these factors necessarily give decisive 
guidance. 
 
  3.4.1 [[The investigating authorities shall 
presume that there is no material injury 
if the domestic industry’s operating 
profits have increased and the market 
share has been maintained or increased 
during the investigation period.  In such 
circumstances, the investigating 
authorities shall not find material injury 
unless there is sufficient justification to 
overcome the presumption.]]    
   
3.5 It must be demonstrated that the dumped imports 
[[in and of themselves and apart from any other factors]]  
are, through the effects of dumping, as set forth in 
paragraphs 2 and 4, causing injury within the meaning of 
this Agreement.  The demonstration of a causal relationship between the dumped imports and the injury to 
the domestic industry shall be based on an examination of 
all relevant evidence before the authorities.  [[If the 
authorities can find neither a strong correlation18 between 
a significant increase in dumped  imports and the injury to 
the domestic industry nor a strong correlation between a 
significant price undercutting by the dumped imports and 
the injury to the domestic industry, the authorities shall 
presume that there is no causal relationship between 
dumped imports and injury, unless the authorities clearly 
demonstrate, based on other evidence, that there 
nevertheless exists a causal relationship between dumped 
imports and injury.]]  [[The investigating authorities shall 
presume that the dumped impo rts are not causing material 
injury to the domestic industry if: (i) the volume of 
increase in non-dumped imports of the product concerned 3.5 It must be demonstrated that the dumped imports 
are, through the effects of dumping, as set forth in 
paragraphs 2 and 4, causing injury within the meaning of 
this Agreement.  The demonstration of a causal 
relationship between the dumped imports and the injury to the domestic industry shall be based on an examination of 
all relevant evidence before the authorities.  The 
authorities shall also examine any known factors other than the dumped imports which at the same time are 
injuring the domestic industry, and the injuries 
ous effects 
of caused by  these other factors must not be attributed to 
the dumped imports.12  The examination required by this 
paragraph may be based on a qualitative analysis of 
evidence concerning, inter alia , the nature, extent, 
geographic concentration, and timing of such injurious 
effects.  While the authorities should seek to separate and 
distinguish the injurious effects of such other factors from 
the injurious effects of dump ed imports, they need not 
quantify the injurious effects attributable to dumped 
imports and to other factors, nor weigh the injurious 
effects of dumped imports against those of other factors.  On causation , there was substantial discussion regarding 
"separating and distinguishi ng" the effects of dumped 
imports and other factors. Some delegations believed that 
it should be mandatory to separate and distinguish such 
effects, while others consider ed that inclusion of such 
language did not help to clarify the causation standard.  
Delegations also disagreed regarding the extent to which 
authorities should be required to conduct a quantitative versus a qualitative analysis of non-attribution.  While 
most delegations agreed that data of a quantitative nature 
would be used, many delegations considered that a precise quantification of the amount of injury that could be 
attributed to dumped imports and to other factors would 
be difficult, and in the view of some delegations, impossible. Some delegations concluded on this basis that 
a qualitative assessment of non-attribution should be 
sufficient.  Other delegations considered that quantitative methods should nevertheless be given priority over 
qualitative methods, or at least treated equally.  
Delegations also disagreed regarding the extent to which 
authorities should be required to weigh the injurious  
  TN/RL/W/232 
Page A-20 Consolidated Proposals Chairman's Text (TN/RL/W/213) Delegations' Comments on Chairman's Text 
has significantly exceeded th e volume of increase in 
dumped imports during the investigation period; or (ii) 
prices of the dumped imports have been increasing while 
there has been no undercutting and the market share of the 
dumped imports has been declining during the 
investigation period.  When either of these conditions are 
demonstrated, investigating authorities shall not find that 
material injury is caused by dumped imports unless there 
is sufficient justification to  overcome the presumption.]]  
The authorities shall also examine any known factors 
other than the dumped imports which at the same time are 
injuring the domestic industry[[ ,.As described in 
subparagraph 5.1, the authorities must not attribute to the 
dumped imports]] [[ and the  ]]injuries caused by these 
other factors[[ must not be attributed to the dumped 
imports ]].  Factors which may be relevant in this respect 
include,  inter alia , the volume and prices of imports not 
sold at dumping prices, contraction in demand or changes in the patterns of consumption, trade restrictive practices 
of and competition between the foreign and domestic 
producers, developments in technology and the export 
performance and productivity of the domestic industry.  
[[In the presence of a strong correlation between a factor  
or factors other than the dumped imports and the injury to 
the domestic industry, authorities shall presume that there 
is no causal relationship between the dumped imports and 
injury, unless authorities clearly demonstrate, based on 
other evidence, that the dumped imports, in and of 
themselves and apart from an y other factors, are causing 
injury.  Authorities shall examine the possible impact that 
certain domestic producers of the like product have on the 
state of the domestic industr y. In particular, authorities 
shall examine the impact of  the sales volume and the 
prices of domestic producers of the like product to 
determine whether there is a significant price undercutting 
or depression caused by the price of one or more domestic 
producers of the like product, and shall not attribute injury 
caused by such price undercutting or depression to 
dumped imports.  It is understood that the effects of either 
the dumped imports or the other known factors shall not 
be isolated or quantified, either individually or 
collectively.  Also, it shall not be determined whether the Factors which may be relevant  in this respect include,  
inter  alia, the volume and prices of imports not sold at 
dumping prices, contraction in demand or changes in the 
patterns of consumption, trade restrictive practices of and 
competition between the foreign and domestic producers, 
developments in technology and the export performance 
and productivity of the domestic industry.  
______________________ 
 12 Factors which may be re levant in this respect 
include, inter alia , the volume and prices of  imports not sold at 
dumping prices, contraction in  demand or changes in the 
patterns of consumption, trad e restrictive practices of and 
competition between the foreign and domestic producers, 
developments in technology and the export performance and 
productivity of the domestic industry.  
 effects of dumped imports against the effects of other 
factors.  One delegation submitted a Working Paper, 
which was subsequently circulated at the request of six delegations in TN/RL/W/223,* that would, inter alia , 
require a Member to separate and distinguish the effects 
of dumped imports from those of other factors and would allow reliance on qualitative methods only where 
quantitative analysis is impractical. A number of 
delegations expressed the view that they would prefer the existing Article 3.5 of the ADA, while others believed the 
Group should continue to seek to clarify how causation 
and non-attribution can be done and how to improve Article 3.5 accordingly. 
 
  
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effects of the dumped imports are more important than the 
effects of the other known factors, either individually or 
collectively.]]  
______________________ 
 18[[This does not prescribe any specific methodology 
that the authorities have to use in order to show “a strong 
correlation”.]]  
 
  3.5.1 [[To make an affirmative determination 
that dumped imports are causing injury, 
the authorities must determine that the 
effects of the dumped imports are 
injurious notwithstanding the effects of 
the other known factors.  The authorities 
need not isolate or qua ntify the effects of 
either the dumped imports or the other 
known factors, either individually or 
collectively.  They  also need not 
evaluate whether the effects of the 
dumped imports are more important than 
the effects of the ot her known factors, 
either individually or collectively.]]  
   
3.6 The effect of the dumped imports shall be 
assessed in relation to the domestic production of the like 
product when available data permit the separate 
identification of that production on the basis of such criteria as the production pr ocess, producers' sales and 
profits.  If such separate identification of that production 
is not possible, the effects of the dumped imports shall be 
assessed by the examination of the production of the 
narrowest group or range of products, which includes the like product, for which the n ecessary information can be 
provided. 
 3.6 The effect of the dumped imports shall be 
assessed in relation to the domestic production of the like 
product when available data permit the separate 
identification of that production on the basis of such criteria as the production pr ocess, producers' sales and 
profits.  If such separate identification of that production 
is not possible, the effects of the dumped imports shall be 
assessed by the examination of the production of the 
narrowest group or range of products, which includes the like product, for which the n ecessary information can be 
provided. 
  
3.7 A determination of a th reat of material injury 
shall be based on facts and not merely on allegation, 
conjecture or remote possibility.  The change in 
circumstances which would create a situation in which the dumping would cause injury must be clearly foreseen and 
imminent.
19  In making a determination  regarding the 3.7 A determination of a th reat of material injury 
shall be based on facts and not merely on allegation, 
conjecture or remote possibility.  The change in 
circumstances which would create a situation in which the dumping would cause injury must be clearly foreseen and 
imminent.
13  In making a determination regarding the The proposed text of threat of injury  attracted substantial 
support but also a variety of questions and comments.  
One frequent theme was whether the text should 
incorporate the causation standards of Article 3.5, with some delegations suggesting that including a reference to 
Article 3.4 but excluding a reference to Article 3.5 could  
  TN/RL/W/232 
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existence of a threat of material injury, the authorities 
should consider, inter alia , such factors as: 
 _____________________
 
 19One example, though not an exclusive one, is that 
there is convincing reason to beli eve that there will be, in the 
near future, substantially increas ed importation of the product at 
dumped prices. 
 existence of a threat of material injury, the authorities 
shall consider the state of the domestic industry during the 
period of investigation, including an examination of the 
impact of dumped imports upon it in accordance with 
paragraph 4, in order to establish a background for the 
evaluation of threat of material injury.  In addition, the 
authorities should consider, inter alia , such factors as: 
______________________ 
 13 One example, though not an exclusive one, is that 
there is convincing reason to beli eve that there will be, in the 
near future, substantially increas ed importation of the product at 
dumped prices. 
 imply that the causation requir ements are not applicable. 
While several delegations considered that the proposed 
language in Article 3.7 (ii), referring to "available evidence concerning" the availability of other export 
markets, inappropriately lessen ed the effort required of 
investigating authorities, another delegation welcomed this language because it recognized that investigating 
authorities might find such information hard to obtain.  
One delegation suggested that Article 3.7 might usefully refer to "actual or potential" dumped imports.      
[[(a)]] [[any of the relevant factors 
listed in Article 3.4; and]]  
   
[[(b)]]  (i) a significant rate of increase of 
dumped imports into the domestic market indicating the 
likelihood of substantially 
increased importation; 
 
 (ii) sufficient fr eely disposable, or 
an imminent, substantial 
increase in, capacity of the 
exporter indicating the likelihood of substantially 
increased dumped exports to the 
importing Member's market, taking into account the [[known 
and established]]  availability of 
other export markets to absorb any additional exports; 
 
 (iii) whether imports are entering at 
prices that will have a significant 
depressing or  suppressing effect 
on domestic prices, and would likely increase demand for 
further imports;  and 
 
 (i) a significant rate of increase of dumped 
imports into the domestic market indicating the likelihood of substantially 
increased importation; 
 
(ii) sufficient freely disposable, or an 
imminent, substantial increase in, capacity of the exporter indicating the 
likelihood of substantially increased 
dumped exports to the importing Member's market, taking into account 
available evidence concerning 
the 
availability of other export markets to absorb any additional exports; 
 
(iii) whether imports are entering at prices 
that will have a significant depressing or  
suppressing effect on domestic prices, 
and would likely increase demand for further imports;  and 
 
(iv) inventories of the product being 
investigated. 
 
   
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 (iv) inventories of the product being 
investigated. 
 
No one of these factors by itself can necessarily give decisive guidance but the totality of the factors considered 
must lead to the conclusion that further dumped exports 
are imminent and that, unless protective action is taken, material injury would occur. 
 No one of these factors by itself can necessarily give 
decisive guidance but the totality of the factors considered 
must lead to the conclusion that further dumped exports 
are imminent and that, unless protective action is taken, material injury would occur. 
  
3.8 With respect to cases wh ere injury is threatened 
by dumped imports, the application of anti-dumping measures shall be considered and decided with special 
care. 
 3.8 With respect to cases wh ere injury is threatened 
by dumped imports, the application of anti-dumping measures shall be considered and decided with special 
care. 
   
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3.9 [[A determination of material retardation shall be 
based on facts and not merely on allegation, conjecture or 
remote possibility.  In making a determination regarding 
the existence of material retardation, the authorities may 
consider feasibility studies, investment plans or market 
studies to examine, inter alia , such factors as:  
 
 (i) capacity utilisation;  
  (ii) delays in the start of reasonable 
commercial production; and  
  (iii) the amount of domestic production as 
compared to the size of the domestic 
market.]]  
 3.9 A determination of material retardation of the 
establishment of a domestic industry shall be based on 
facts and not merely on allegation, conjecture or remote 
possibility.  An industry may be considered to be in 
establishment where a genuine and substantial 
commitment of resources ha s been made to domestic 
production of a like product not previously produced in 
the territory of the importing Member, but production has 
not yet begun or has not yet been achieved in commercial 
volumes.14  In making a determination whether an 
industry is in establishment, and in examining the impact 
of dumped imports on the establishment of that industry, 
the authorities may take into account evidence 
concerning, inter alia , installed capacity, investments 
made and financing obtained, and feasibility studies, 
investment plans or market studies.15 
______________________ 
 14 The authorities may however consider that an 
industry is in establishment not withstanding the existence of 
established producers of the domestic like product, if those 
established producers are not able to satisfy domestic demand 
for the product in question to any substantial degree;  provided 
that under no circumstances shall an  industry be considered to be 
in establishment if  the collective production capacity of 
established producers exceeds 10 per cent of domestic demand 
for the product in question.  
 
 15 Members recognize that an examination of possible 
material retardation re lates to the impact of dumped imports on 
the efforts of the industry to beco me established, and that this 
type of impact may not be reflected in actual or potential 
declines in performance.  Nonetheless, the authorities shall 
evaluate, to the extent that data exists, available information with 
respect to all economic factors and indices relevant to an 
examination of material retardation of the establishment of the 
domestic industry in question.  Although there was a broadly expressed view that the 
provisions of the ADA regarding material retardation  
would benefit from amplification and clarification, there were widely varying views regarding the specific 
elements of the Chair text. 
 Much of the discussion focuss ed on the question of when 
a domestic industry can be considered to be "in 
establishment".  Some delegations, particularly developing Members, welcomed that notion that an 
industry might still be in establishment even if there was 
some domestic production.  These delegations were however concerned that the 10% limit on domestic 
production capacity might be too inflexible and exclude 
some real world situations.  Other delegations considered that the 10% limit could become the norm rather than a 
limit, such that any domestic industry capable of meeting 
less than 10% of demand would be treated as "in establishment".  More generally, some of these 
delegations considered that once there was any domestic 
production an industry was no longer "in establishment", 
and in such cases the proper analysis was one of current 
injury or threat.  Various delegations expressed concern that the 10% limit might treat an industry in decline as 
being "in establishment".  Various delegations sought 
further clarity about the criteria for determining whether an industry is "in establishment", including the meaning 
of the concepts of "genuine and substantial commitment 
of resources" and "commercial volumes".       
The issue of ex officio  initiation where an industry is "in 
establishment", as reflected in proposed footnote 24, infra ,  
also received significant atte ntion.  Some delegations 
were interested in the idea that ex officio  initiation might 
be justified in cases of material  retardation, or at least that 
standing need not be shown in such cases.  Other 
delegations considered that applications should be 
required in material retardation as in other cases, noting that in any event there should be a potential investor 
prepared to make an application. 
3.10 [[Authorities must provide an adequate and 
reasoned explanation for all determinations made pursuant    
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to Article 3, including an explanation of how each of the 
relevant factors have been evaluated and how the 
authorities reached its conclusion.]]  
 
Article 4  
Definition of Domestic Industry 
 Article 4  
Definition of Domestic Industry   
4.1 For the purposes of th is Agreement, the term 
"domestic industry" shall be interpreted as referring to the 
domestic producers as a whole of the like products or 
[[where permitted under Article 3.1.1 in exceptional cases 
provided for in this Agreement, to as high a proportion of 
the producers as possible, but not less than]] [[ to]] those 
of them whose collective output of the products constitutes [[the]]
 major proportion [[(]] [[more than 50 
per cent]] [[)]] [[ a major proportion ]] of the total domestic 
production of those products, except that:  4.1 For the purposes of this Agreement, and except 
to the extent otherwise provided in Article 5.4, the term 
"domestic industry" shall be interpreted as referring to the 
domestic producers as a whole of the like products or to those of them whose collective output of the products 
constitutes a major proportion of the total domestic 
production of those products, except that:  See comments regarding standing in the context of 
Article 5.4 of the Chairman's text. 
[[(i)new the term “domestic industry” may be 
interpreted to refer to domestic 
producers whose collective output of 
the product constitutes a major 
proportion of the total domestic 
production of the like products, 
provided the authorities explain why 
examining domestic producers whose 
collective output constitutes less than 
50 per cent of the total domestic 
production of the like products is 
appropriate;]]  
 
 (i) [[ when producers are related ]]20 [[to the 
exporters or importers or are themselves 
importers of the allegedly dumped 
product, the term "domestic industry" 
may be interpreted as referring to the 
rest of the producers ]] [[for the purposes 
of Article 5.4, domestic producers may 
be excluded from the domestic industry 
where they are related to exporters or 
importers, or are themselves importers 
of the allegedly dumped product.]] ;[[21]] (i) when producers are related16 to the 
exporters or importers or are themselves 
importers of the allegedly dumped 
product under consideration , the term 
"domestic industry" may be interpreted as referring to the rest of the 
producers
17,18; 
 
 
 
  
 
  
 
  
 
  
 
 
 Certain delegations expressed regret that the Chairman's 
text did not contain any provisions on perishable, 
seasonal products .  Many delegations supported, or were 
at least interested in explori ng, the idea that in appropriate 
cases an investigation could be limited to a domestic industry growing and marketing an unprocessed product 
during a portion of the year, with any duties also applied 
only during that portion of the year.  It was observed that such an approach could be beneficial both for 
investigating authorities, who could define the industry 
and period of investigation narrowly, and for exporters, because any duty would apply only during that portion of 
the year, thus limiting duties to  that necessary to address 
the injury and reducing the burden on trade.  These delegations had a variety of comments on the specifics of 
the text, as identified below.   
 Other delegations had doubts that the concept would be a 
helpful addition to the ADA.  It was observed that the 
addition of product-specific rules in the ADA context was unprecedented, and that ma ny other non-agricultural 
products, such as electronics and Christmas ornaments, 
also had short life-cycles or were seasonal in nature.  
Furthermore, some delegations noted that such rules were  
  TN/RL/W/232 
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(ii) in exceptional circumstances the 
territory of a Member may, for the 
production in question, be divided into two or more competitive markets and 
the producers within each market may 
be regarded as a separate industry if (a) the producers within such market 
sell all or almost all of their production 
of the product in question in that market, and (b) the demand in that 
market is not to any substantial degree 
supplied by producers of the product in question located elsewhere in the 
territory.  In such circumstances, injury 
may be found to exist even where a major portion of the total domestic 
industry is not injured, provided there is 
a concentration of dumped imports into such an isolated market and provided 
further that the dumped imports are 
causing injury to the producers of all or 
almost all of the production within such 
market. 
  (ii) in exceptional circumstances the 
territory of a Member may, for the 
production in question, be divided into two or more competitive markets and 
the producers within each market may 
be regarded as a separate industry if (a) the producers within such market 
sell all or almost all of their production 
of the product in question in that market, and (b) the demand in that 
market is not to any substantial degree 
supplied by producers of the product in question located elsewhere in the 
territory.  In such circumstances, injury 
may be found to exist even where a major portion of the total domestic 
industry is not injured, provided there is 
a concentration of dumped imports into such an isolated market and provided 
further that the dumped imports are 
causing injury to the producers of all or 
almost all of the production within such 
market. unnecessary given changing technologies that expanded 
growing seasons and extend ed the time that products 
could be stored.  Some delegations indicated that the idea was very complex and might prove not to be feasible.  It 
was suggested that agriculture  would be the subject of 
increasing numbers of AD actions as special safeguards became unavailable.   
 
Many specific aspects of the proposal were discussed.  Various delegations asked why the idea should be limited 
to a specified list of agricultural products, and whether it 
might not be more broadly applicable to other agricultural and horticultural products, including flowers. The view 
was expressed that the concepts of "major proportion" and 
"all or almost all" needed to be clarified and tightened, perhaps with quantitative thresholds.  It was also 
suggested to clarify the defini tion of a seasonal, perishable 
product, with some delegations questioning the basis for limiting the proposal to products normally marketed 
within 8 weeks of harvesting.  Various delegations 
queried whether there might be multiple domestic 
industries within a country with distinct marketing 
seasons, and if so what implications this might have for standing determinations.  The sponsor acknowledged that 
clearer definitions might be required and was open to 
consider a broader product scope. 
______________________ 
 20[[[[For the purpose of this paragraph, producers shall 
be deemed to be related to exporters or importers only if (a) one 
of them directly or indirectly controls the other;  or  (b) both of 
them are directly or indirectly controlled by a third person;  or 
(c) together they directly or indi rectly control a third person, 
provided that there are grounds for believing or suspecting that 
the effect of the relationship is such as to cause the producer 
concerned to behave differently from non-related producers.  For 
the purpose of this paragraph, one shall be deemed to control 
another when the former is legally or operationally in a position 
to exercise restraint or direction over the latter.]] [[ For the 
purpose of this paragraph, producers shall be deemed to be 
related to exporters or importers  only if one enterprise executes 
control over another through having:  
 (a) more than one half of the voting power of an 
enterprise;  ______________________ 
 16 For the purpose of this paragraph, producers shall be 
deemed to be related to e xporters or importers only if (a) one of 
them directly or indirectly controls the other;  or  (b) both of 
them are directly or indirectly controlled by a third person;  or 
(c) together they directly or indi rectly control a third person, 
provided that there are grounds for believing or suspecting that 
the effect of the relationship is such as to cause the producer 
concerned to behave differently from non-related producers.  For 
the purpose of this paragraph, one shall be deemed to control 
another when the former is legally or operationally in a position 
to exercise restraint or direction over the latter. 
 
 17 In determining whether to exclude a producer from 
the domestic industry in cases where that producer is itself an 
importer of the product under consid eration, the authorities shall 
consider, inter alia , the extent of that producer's imports of that Footnotes 17 and 18 regarding domestic producers that 
are themselves importers  of allegedly dumped goods 
was the subject of significant discussion.  Some 
delegations welcomed the proposed footnotes, although they generally considered the criteria to be too vague, and 
sought greater precision, including numerical thresholds, 
as well as a more directive approach where the criteria 
were met.  Other delegations questioned the specific 
criteria reflected in the footnot e, especially in respect of 
the "range of models", with some delegations noting that a limited range of models might nevertheless represent a 
major share of imports.  These delegations generally 
believed that the rules should not be too prescriptive as 
the assessment must be case by  case.  An illustrative list 
approach was suggested as an alternative.  Various delegations expressed the concern that footnote 18 was  
  TN/RL/W/232
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 (b) power over more than one half of the voting 
rights by virtue of an agreement with other 
investors;  
 (c) such power under a statute or an agreement;  
 (d) power to appoint or remove the majority of 
the members of the board of directors or 
equivalent governing body;  or  
 (e) power to cast the majority of votes at 
meetings of the board of directors or 
equivalent governing body.]]]]  
 
 21[[A producer shall not be excluded from the 
definition of domestic industry where, e.g.:  
(i) the total import value of the product under 
consideration made by such producer during 
the period of investigation is relatively low 
(less than [X]% of its total sales of the like 
product into the domestic market); or  
(ii) the imports of the product under 
consideration made by the producer only 
relate to a few models of the like product or 
were made to fill gaps in its range of 
products.  
 A producer may provide other justifications on why it 
should not be excluded.  Such justifications shall be taken into 
account by the inves tigating authority.]]  
 product relative to its total sale s of the domestic like product in 
the market of the importing country and the range of the 
allegedly dumped goods imported by  that producer relative to 
the range of its domestic production and sales of the like 
product.  Evidence that the producer's imports of the allegedly 
dumped product are small relative to its total sales of the 
domestic like product in the market of the importing country or 
that the goods imported by that  producer represent a limited 
number of models relative to the range of models of the 
domestic like product produced and sold domestically by the 
producer would normally favour a conclusion that the producer 
should not be excluded from the domestic industry.  
 
 18 The reasons underlying any decision by the 
authorities to exclude from the domestic industry producers that 
are related to the exporters or  importers or are themselves 
importers of the allegedly dumpe d product shall be set forth in 
the relevant public notices or separate reports required by 
Article 12.  
 unduly demanding and could require the disclosure of 
confidential information, while other delegations 
welcomed the proposed footnote as a useful contribution to transparency. 
(iii) [[Investigating authorities may interpret the term 
"domestic industry" as referring to a seasonal 
domestic industry if the authorities find that the 
following circumstances exist:  
 
 (a) the product under consideration and the 
like product meet th e following criteria:  
   (1) the products are fresh or chilled 
products falling under the 
following HS2002 tariff codes:  
0701, 0702, 0703, 0704, 0705, 
0706, 0707, 0708, 0709, 0803, 
0804, 0805, 0806, 0807, 0808, 
0809, 0810;  
 
    
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Page A-28 Consolidated Proposals Chairman's Text (TN/RL/W/213) Delegations' Comments on Chairman's Text 
  (2) the products ar e marketed in raw 
form for consumption without 
"further processing" ("further 
processing" refers to e.g. 
crushing, juicing, canning, or any 
other process that transforms the 
product from its raw form); and   
 
  (3) the products normally are 
marketed within a discrete season 
(‘the marketing season") that 
concludes no later than eight 
weeks after the end of the period 
in which the crops are harvested; 
and  
 
 (b) a major proportion of all sales of the 
like product during the marketing 
season are made by producers that sell 
all or almost all of their production of 
the like product during that marketing 
season.]]  
 
(iv) [[When the investigating authorities find that the 
circumstances specified in paragraph (iii) exist, 
the seasonal domestic industry shall consist of 
those domestic producers that sell the perishable 
agricultural product during the marketing 
season.]]  
   
(a) [[When the investigating authorities determine 
that a seasonal domestic industry exists, the 
authorities may limit the period of investigation 
for determining dumping to a period 
corresponding to the relevant marketing season.]]  
   
(b) [[When the investigating authorities determine 
that a seasonal domestic industry exists, the 
authorities may make an affirmative injury 
determination only if the authorities find that the 
dumped imports are causing injury to the 
seasonal domestic industry.]]     
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(c) [[When the investigating authorities have found 
that dumped imports inju re a seasonal domestic 
industry, the importing Member shall levy 
anti-dumping duties only on products imported 
during marketing seasons corresponding to the 
marketing season identified in the investigation.]]  
   
4.2 When the domestic industry has been interpreted 
as referring to the producers in  a certain area, i.e. a market 
as defined in paragraph 1(ii), anti-dumping duties shall be levied
22 only on the products in question consigned for 
final consumption to that area.  When the constitutional 
law of the importing Member does not permit the levying of anti-dumping duties on such a basis, the importing 
Member may levy the anti-dumping duties without 
limitation only if (a) the exporters shall have been given 
an opportunity to cease exporting at dump ed prices to the 
area concerned or otherwise give assurances pursuant to 
Article 8 and adequate assurances in this regard have not 
been promptly given, and (b) such duties cannot be levied 
only on products of specific producers which supply the area in question. 
______________________ 
 22As used in this Agreement "levy" shall mean the 
definitive or final lega l assessment or collection of a duty or tax. 
 4.2 When the domestic industry has been interpreted 
as referring to the producers in  a certain area, i.e. a market 
as defined in paragraph 1(ii), anti-dumping duties shall be levied
19 only on the products in question consigned for 
final consumption to that area.  When the constitutional 
law of the importing Member does not permit the levying of anti-dumping duties on such a basis, the importing 
Member may levy the anti-dumping duties without 
limitation only if (a) the exporters shall have been given 
an opportunity to cease exporting at dump ed prices to the 
area concerned or otherwise give assurances pursuant to 
Article 8 and adequate assurances in this regard have not 
been promptly given, and (b) such duties cannot be levied 
only on products of specific producers which supply the area in question. 
______________________ 
 19 As used in this Agreement "levy" shall mean the 
definitive or final le gal assessment or collection of a duty or tax. 
 
  
4.3 Where two or more countries have reached under 
the provisions of paragraph 8(a) of Article XXIV of 
GATT 1994 such a level of integration that they have the characteristics of a single, unifi ed market, the industry in 
the entire area of integration shall be taken to be the 
domestic industry referred to in paragraph 1.  4.3 Where two or more countries have reached under 
the provisions of paragraph 8(a) of Article XXIV of 
GATT 1994 such a level of integration that they have the characteristics of a single, unifi ed market, the industry in 
the entire area of integration shall be taken to be the 
domestic industry referred to in paragraph 1.  
4.4 The provisions of paragraph 6 of Article 3 shall 
be applicable to this Article. 
 4.4 The provisions of paragraph 6 of Article 3 shall 
be applicable to this Article. 
  
Article 5  
Initiation and Subsequent Investigation  Article 5  
Initiation and Subsequent Investigation  
  
5.1 Except as provided for in paragraph 6, an 
investigation to determine the existence, degree and effect 5.1 Except as provided for in paragraph 6, an 
investigation to determine the existence, degree and effect   
  TN/RL/W/232 
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of any alleged dumping shall be initiated upon a written 
application by or on behalf of the domestic industry. 
 of any alleged dumping shall be initiated upon a written 
application by or on behalf of the domestic industry. 
 
5.2 An application under paragraph 1 shall include evidence of (a) dumping, (b) injury within the meaning of 
Article VI of GATT 1994 as interpreted by this 
Agreement and (c) a causal link between the dumped 
imports and the alleged injury.  Simple assertion, 
unsubstantiated by relevant evidence, cannot be 
considered sufficient to meet  the requirements of this 
paragraph.  The application shall contain [[
such 
information as is reasonably  available to the applicant 
on]] the following [[information]] :[[23]] 
______________________ 
 23 [[In the case that the applic ant claims that some of 
the information requirements listed in this paragraph is 
unavailable, a complete descripti on of the efforts made by the 
applicant in order to obtain such information shall be provided.]]  
 5.2 An application under paragraph 1 shall include 
evidence of (a) dumping, (b) injury within the meaning of 
Article VI of GATT 1994 as interpreted by this 
Agreement and (c) a causal link between the dumped 
imports and the alleged injury.  Simple assertion, 
unsubstantiated by relevant evidence, cannot be 
considered sufficient to meet  the requirements of this 
paragraph.  The application shall contain such information 
as is reasonably available to the applicant on the 
following:  Regarding the information to be contained in the 
application , broad support was expressed for the changes 
proposed in the Chairman's text.  Some delegations 
however considered that producer associations must list all members supporting and opposing the application, 
while other delegations considered that might not be 
possible in the case of fragmented industries composed of numerous producers.  As a technical matter, it was 
suggested that the language "to the extent possible" as it 
appeared in respect of certain information requirements was not only unnecessary in light of the "reasonably 
available" criterion in the chapeau, but might through its 
selective use even suggest that no such caveat existed with respect to other information requirements in this Article.      
[[(i) the identity of the applicant[[,  and  ]]a 
description of the volume and value of 
the domestic production of the like 
product by the applicant[[, and a list of 
all known domestic producers of the 
like product: .]] 
 
(ii)new Where a written application is made on 
behalf of the domestic industry, the 
application shall identify the industry on behalf of which the application is made 
by a list of all known domestic 
producers of the like product (or associations of domestic producers of 
the like product)[[, indicating individual 
producers who are known to support the 
application,]]  and[[ ,to the extent 
possible, ]] a description of the volume 
and value of domestic production of the like product accounte d for by such 
producers[[
24]];]] 
 
[[(i) the identity of the applicant[[,  and ]] a (i) (a) the identity of the applicant and the 
domestic industry by or on behalf of 
which the application is made and, 
where the applicant is itself a producer, 
a description of the volume and value of 
the domestic production of the like 
product by the applicant; .  Whe re a 
written application is made on behalf of 
the domestic industry, the application 
shall identify the industry on behalf of 
which the application is made by a list 
of all known domestic producers of the 
like product (or associations of domestic 
producers  of the like product) (b) the 
identity of those producers (or, to the 
extent this is not practicable in the case 
of fragmented industries, associations of 
domestic producers of the like product) 
supporting the application, and, to the 
extent possible, a description of the 
volume and value of domestic 
production of the like product accounted 
for by those such producers or   
  TN/RL/W/232
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description of the volume and value of 
the domestic production of the like 
product by the applicant[[, .  Where a 
written application is made on behalf of 
the domestic industry, the application 
shall identify the industry on behalf of 
which the application is made by ]]a list 
of all known domestic producers of the 
like product (or[[,  in the case of 
fragmented industries,]]  associations of 
domestic producers of the like product) 
and, to the extent possible, a description of the volume and value of domestic 
production of the like product accounted 
for by such producers;]]
 
 associations of producers ;  and (c) the 
identity of all known domestic 
producers of the like product (or, to the 
extent this is not practicable in the case 
of a fragmented industry, associations of 
domestic producers of the like product) 
and, to the extent possible, a description 
of the total volume and value of 
domestic production of the like product;  
 
(ii) a complete description[[25]] of the 
allegedly dumped product, the names of 
the country or countries of origin or 
export in question, the identity of each 
known exporter or foreign producer and a list of known persons importing the 
product in question; (ii) a complete description of the allegedly 
dumped product, the names of the 
country or countries of origin or export 
in question, the id entity of each known 
exporter or foreign producer and a list of known persons importing the product 
in question; 
  
(iii) information on prices at which the 
product in question is sold when 
destined for consumption in the 
domestic markets of the country or countries of origin or export (or, where 
appropriate, informati on on the prices at 
which the product is sold from the country or countries of origin or export 
to a third country or countries, or on the 
constructed value of the product) and information on export prices or, where 
appropriate, on the prices at which the 
product is first resold to an independent buyer in the territory of the importing 
Member[[
26]]; 
 
 (iii) information on prices at which the 
product in question is sold when 
destined for consumption in the 
domestic markets of the country or countries of origin or export (or, where 
appropriate, informati on on the prices at 
which the product is sold from the country or countries of origin or export 
to a third country or countries, or on the 
constructed value of the product) and information on export prices or, where 
appropriate, on the prices at which the 
product is first resold to an independent buyer in the territory of the importing 
Member
20; 
  
(iv) information [[and a reasoned (iv) information on the evolution of the   
  TN/RL/W/232 
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explanation]] on the evolution of the 
volume of the allegedly dumped 
imports, [[in absolute terms and relative 
to consumption and production in the 
importing country;]] the effect of these 
imports on prices of the like product in the domestic market[[, including those 
indicated in paragraph 2 of Article 3;]]  
and the consequent impact of the [[allegedly dumped]]
 imports on the 
domestic industry, as demonstrated by 
relevant factors and indices having a bearing on the state of the domestic 
industry, [[including all
such as ]] those 
listed in paragraphs 2 and 4 of Article 3. 
 volume of the allegedly dumped 
imports, the effect of these imports on 
prices of the like product in the domestic market and the consequent 
impact of the imports on the domestic 
industry, as demonstrated by relevant factors and indices having a bearing on 
the state of the domestic industry, such 
as those listed in paragraphs 2 and 4 of Article 3. 
______________________ 
 20 Including the sources of the information provided 
and, where relevant, the method used to derive prices from that 
information.  
 
(v) [[When the applicant alleges a threat of 
material injury, the application shall 
contain all elements stated in paragraph 
7 of Article 3.]]  
   
______________________ 
 24 [[In the case of associations of domestic producers, 
application shall list those pr oducers who expressly support the 
petition and the volume and value of the like product by each of 
them.]]  
 25 [[The description must refer to the physical 
characteristics of the product.  It must also indicate the HS Code 
corresponding to the import product and is this HS Code covers 
another type of product.]]  
 26 [[The information must indicate, for each case, the 
sources consulted and the meth odology used to calculate the 
prices.]]  
   
5.3 The authorities shall examine the accuracy and 
adequacy of the evidence[[27]] provided in the application 
to determine whether there is sufficient evidence[[28]] [[of 
dumping, injury and [[[[causality]] [[a causal link]]]] to 
justify the initiation of an i nvestigation.  [[The authorities 
shall promptly reject the application and terminate all 
proceedings when they find there is not sufficient 
evidence in the application.  In particular, the authorities 
shall inquire (such as by consulting sources reasonably 5.3 The authorities shall examine the accuracy and 
adequacy of the evidence pr ovided in the application21 to 
determine whether there is sufficient evidence to justify 
the initiation of an investigation. ______________________ 
 21 The authorities shall, in addition, consult sources 
readily available to them, such as trade associations, publications 
and public records, with a view to identifying any exporters or 
foreign producers of the alle gedly dumped product, and any Regarding the identification of interested parties  in 
proposed footnote 21, there was wide support for the 
thrust of the proposal, although some developing 
Members were concerned that the proposal might be unduly burdensome.  However, a number of 
delegations considered that the requirements of 
footnote 21 might more properly apply after initiation of the investigation, particularly where exporters and 
foreign producers are concerned.  
  TN/RL/W/232
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available to them including  trade associations or 
publications) whether there are any domestic producers of 
the like product (or, in the case of fragmented industries, 
associations of domestic producers of the like product) not 
named in the application.]]  
______________________ 
 27 [[For this purpose, authorit ies shall check evidence 
contained in the application w ith reliable and independent 
information from public records, intra-governmental records and 
other available sources.]]  
 28 [[Authorities shall, inter alia , check the evidence in 
the application against information from other independent 
public sources.  Normal value shall not be based on third country 
export price or constructed nor mal value, unless home market 
sales prices are unavailable, and authorities are satisfied that the 
third country export price or cons tructed normal value is a prima 
facie fair substitute for home mark et sales prices, having regard 
to the assumptions and methodologies used.]]  
 
 domestic producers of the like product, not identified in the 
application.  
  
5.4 An investigation shall not be initiated pursuant to 
paragraph 1 unless the authorities have determined, on the 
basis of an examination of the degree of support for, or 
opposition to, the application expressed29 by domestic 
producers of the like product [[or associations of domestic 
producers of the like product)]] , that the application has 
been made by or on behalf of the domestic industry.[[30]] 
The application shall be considered to have been made 
"by or on behalf of the domestic industry" if it is 
supported by those domestic producers whose [[(or 
associations of domestic producers of the like product)]]  
collective output[[31]] [[constitutes more than 50 per cent 
of the total production of the like product.]]  [[constitutes 
more than 50 per cent of the total production of the like 
product produced by [[ that portion of ]] the domestic 
industry[[, as defined in Article 4.1.]]]]  [[constitutes 
[[not]]  less than [[ 2550]] per cent of total production of 
the like product produced by the domestic industry.]]  
[[constitutes more than 50 per cent of the [[average]] total 
[[annual]]  production [[in the last three years32]] of the 
like product produced by that portion of the domestic 
industry expressing either support for or opposition to the 
application.]]  [[33]] However, no investigation shall be 5.4 An investigation shall not be initiated pursuant to 
paragraph 1 unless the authorities have determined, on the 
basis of an examination of the degree of support for, or 
opposition to, the application expressed22 by domestic 
producers of the like product, that the application has been 
made by or on behalf of the domestic industry.23  The 
application shall be considered to have been made "by or on behalf of the domestic industry" if it is supported by 
those domestic producers whose collective output 
constitutes more than 50 per cent of the total production of the like product produced by that portion of the 
domestic industry expressing either support for or 
opposition to the application.  However, no investigation shall be initiated when domestic producers expressly 
supporting the application account for less than 25 per 
cent of total production of the like product produced by the domestic industry.  For the purpose of this paragraph, 
the term "domestic industry" shall be interpreted as 
referring to the domestic prod ucers as a whole of the like 
product, subject to the appli cation of Article 4.1(i) and 
4.1(ii).  
 With respect to standing , there was broad support for the 
changes proposed in the Chairman's text regarding the 
meaning of the term "domestic industry". However, 
certain delegations regretted the absence of further provisions in the Chairman's text regarding standing.  
Certain delegations urged that standing must be based 
upon the express support of producers whose collective output constitutes more than 50% of total production of 
the like product.  These delegations would require that the 
authorities look behind industry associations to identify those producers that expressl y support the application.  
They would limit the exclusion of producers related to 
exporters or producers of the product under consideration to standing determinations (and not injury determinations) 
and tighten the concept of control (a working paper 
reflecting this approach was subsequently circulated as 
TN/RL/W/230).   
 
Some delegations supported the proposed 50% rule, while others strongly opposed it, noting both issues of 
fragmentation and of pressures on domestic producers not 
to support applications.  With respect to the treatment of 
industry associations, some delegations supported looking  
  TN/RL/W/232 
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initiated when domestic producers  [[(or associations of 
domestic producers of the like product)]] expressly 
supporting the application account for less than 25 per cent of total production of the like product produced by 
[[[[all
the]] domestic [[producers industry ]] [[the domestic 
industry]]]] .[[In the case of an application made or 
supported by a trade association, only the production of 
those member producers who support the application shall 
count towards the standing threshold.  For the purpose of 
this paragraph, the collective output and total production 
of the like product shall be based on sum of individual 
amounts in the accounting and/or  production records of 
the domestic producers of the like product and audited 
severally by certified auditors of the importing member.]]  
______________________ 
 29In the case of fragmented industries involving an 
exceptionally large number of producers, authorities may 
determine support and opposition by using statistically valid 
sampling techniques.  
30 [[Members are aware that in the territory of certain 
Members employees of domestic producers of the like product 
or representatives of those em ployees may make or support an 
application for an in vestigation under paragraph  1.]] 
 31 [[The representation of producer associations or 
groups shall be determined only in terms of individual support of 
their members.]]  
 32 [[For the purpose of paragraph 4, the output and/or 
production shall be those in the most recent 3 years/36 months 
before filing to the authority of the written application by the 
applicant, or the longest possible  period when the output data are 
available.  Total sales of the sa me period shall not be used as a 
substitute for the output and production.]]  
 33 [[If the existence of threat of material retardation is 
alleged, the level of support of domestic producers shall be 
determined on the basis of esta blished or projected production 
capacity.]]  
 ______________________ 
 22 In the case of fragmented industries involving an 
exceptionally large number of producers, authorities may 
determine support and opposition by using statistically valid 
sampling techniques. 
 
 23 Members are aware that in the territory of certain 
Members employees of domestic producers of the like product 
or representatives of those em ployees may make or support an 
application for an invest igation under paragraph 1.  
 behind the association's support while others urged a 
contrasting rule that the entire production of association 
members should be treated as supporting the application.  Intermediate positions would take into account association 
members that came forward as not supporting an 
application or in any event consider the decision-making rules of the association in question.  Varying views were 
also expressed on proposal s to limit the exclusion of 
producers related to exporters or producers of the product under consideration to standing determinations (and not 
injury determinations). 
5.4bis  [[An investigation can be initiated and 
subsequently conducted only with a proper definition of 
the scope of the product under consideration which can 
encompass only products th at are under the same 
conditions of competition. The assessment of those 
conditions of competition shall be based upon an 
evaluation of the physical char acteristics of the products,    
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including technical specificati ons and quality, and their 
market characteristics, including end uses, substitutability, 
pricing levels and distribution channels. This list is not 
exhaustive, nor can one or several of these factors 
necessarily give decisive guidance. Products that do not 
reach the same geographical market or that do reach the 
same geographical markets at clearly distinct periods of 
time are not to be considered the same product under 
consideration.]]  [[An investigation can only be initiated 
and subsequently conducted with a proper determination 
of the scope of the product under consideration.  Where, 
on the basis of the evidence available at 
initiation, authorities determine that there is more than one 
distinct product under consider ation, they shall initiate a 
separate investigation for each such distinct 
product.  Subsequent to the initiation of an investigation, 
if the further evidence obtained indicates to authorities 
that the investigation is with respect to more than 
one distinct product under consideration, an anti-dumping 
duty shall not be imposed on any distinct product unless a 
separate determination of dumping and a separate 
determination of injury are made with respect to that 
product.]]  [[An investigation can only be initiated and 
subsequently conducted with a proper determination of 
the scope of the product under consideration.  Only goods 
which, on the basis of the evidence available at 
initiation, authorities determine to be alike in all respects 
or have closely resembling physical and market 
characteristics, may be included in the definition of 
product under consideration, and be subject to the same 
investigation.  Subsequent to the initiation of an 
investigation, if the further evidence obtained indicates to 
authorities that the investigation is with respect to two or 
more distinct products (i.e. goods that do not have closely 
resembling physical and market characteristics), an anti-
dumping duty shall not be imposed on any distinct 
product unless separate determinations of standing,34 
dumping and injury are made with respect to that 
product.]]  
______________________ 
 34 [[Authorities shall terminate the investigation in 
respect of a distinct product forthwith if they find that the  
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standing criteria under Article 5 w ould not have been met at the 
time of initiation had that product been treated as a distinct 
product at the time of the initiation.]]  
 
 5.4bis.1 [[A determination of whether there is 
more than one distinct product under 
consideration shall be based on an 
objective examination of the physical 
characteristics of the imports, including 
technical specifications and quality, and 
their market characteristics, including 
end uses, substitutability, pricing levels 
and distribution channels.  This list is 
not exhaustive, nor can one or several of 
these factors necessarily give decisive 
guidance.]]  [[A determination of 
whether two goods have closely 
resembling physical and market 
characteristics shall be based on an 
objective examination of the physical 
characteristics of the imports, including 
technical specifications and quality, and 
their market characteristics, including 
end uses, substitutability, pricing levels, 
distribution channels, and whether they 
compete in the same geographical 
market in the same period.  This list is 
not exhaustive, nor can one or several of 
these factors necessarily give decisive 
guidance.]]  
   
5.5 The authorities shall avoid, unless a decision has 
been made to initiate an investigation, any publicizing of 
the application for the initiation of an investigation.   
However, [[within [7] days]] [[promptly]]  after receipt of 
a properly documented application[[ and before 
proceeding to initiate an investigation ]], the authorities 
shall notify [[[[and provide the full text of such 
application received under pa ragraph 1 to]]  [[and send a 
non-confidential version of the application to]]]]  [[and 
provide the full text (due regard to be paid to the 
requirement for the protection of confidential information, 5.5 The authorities shall avoid, unless a decision has 
been made to initiate an investigation, any publicizing of 
the application for the initiation of an investigation.   
However, after an receipt of a properly documented 
application has been filed and no later than 15 days before 
initiating before proceeding to initiate  an investigation, 
the authorities shall notify the government of the exporting Member concerned and shall provide it with the 
full text of the written application, paying due regard to 
the requirement for the protection of confidential 
information as provided for in paragraph 5 of Article 6 . Proposed Article 5.5 of the Chairman's text regarding pre-
initiation notification  of the exporting Member provoked 
significant discussion in the Group.  Some delegations 
supported the text as useful to help avoid unwarranted initiations. Other delegations either questioned the utility 
of the proposed text, or considered that it could require a 
mini-investigation before initiation and could delay initiation.  Yet other delegations believed that the text did 
not go far enough, as it did not require the investigating 
authorities to take due account of any comments made.  Concerns were also expressed that it could require the  
  TN/RL/W/232
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as provided for in paragraph 5 of Article 6) of the 
application to]]]]  the government of the exporting 
Member concerned[[, which may make it available to the 
exporters and foreign producers and relevant trade 
associations known to the government of the exporting 
Member concerned.35]] [[as well as each known exporter 
and foreign producer.]] [[and, where practicable, to the 
exporters and foreign pro ducers identified in the 
application.36]]  [[Due regard shall be provided to the 
requirement for the protection of confidential information, 
as provided for in paragraph 5 of Article 6.  The 
government of the exporting Member and the exporters 
and foreign producers concerned shall have at least 15 
days to comment on the standing of the applicant and the 
evidence justifying the initiation before the initiation.  
Authorities shall address those comments before the 
initiation.  If this is not practicable, they shall address 
those comments within 60 days after the initiation.37]] 
______________________ 
 35 [[This shall not preclude the authorities from 
providing the full text of such application directly to the known 
exporters and foreign producers a nd relevant trade associations, 
in addition to providing it to the government of the exporting 
Member.]]  
 36 [[It being understood that, where the number of 
exporters involved is particularly hi gh, the full text of the written 
application may instead be provided to the relevant trade 
association.]]  
 37 [[It being understood that  comments concerning 
complex data may not be easily verifiable within the 60-day 
period, and authorities may not  be able to address those 
comments within that period.]]  
  early notification of applications that ultimately were 
rejected, with potential trade- chilling effects.  There were 
varying views about the 15-day period, with some delegations considering it to be too short and others too 
long. 
5.5bis [[As soon as possible after an application is 
accepted, and in any event be fore the initiation of any 
investigation, interested parties shall be invited to provide 
comments on the standing of the application and the 
accuracy of the information submitted.]]  
   
5.5ter [[Without prejudice to the obligation to afford 
reasonable opportunity for consultation, the provision 
stated in paragraph 6 is not intended to prevent the    
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authorities or a Member fro m proceeding expeditiously 
with regard to initiating the investigation, reaching 
preliminary or final determinations, whether affirmative 
or negative, or from applying provisional or final 
measures, in accordance with the provisions of this 
Agreement.]]  
 
 5.5.1 [[Authorities shall also provide the 
exporters and foreign producers 
concerned adequate opportunity to 
comment and make proposals on model 
matching, including model 
classification, for the purpose of 
determining the identical and most 
closely resembling models, as well as to 
comment on those proposed by the 
petitioners and the authorities.]]  
 
 [See Article 2.4.4 of the Chairman's text.]  
5.6 If, in special circumstances, the authorities 
concerned decide to initiate an investigation without 
having received a written applica tion by or on behalf of a 
domestic industry for the initiation of such investigation, 
they shall proceed only if [[all the provisions stipulated in 
this Article are fulfilled]][[ they h ave sufficient evidence 
of dumping, injury and a causal link, as described in 
paragraph 2, to justify the initiation of an investigation ]] 
[[the conditions under paragraph 11 are satisfied, and]]  
they have sufficient evidence of dumping, injury and a 
causal link, as described in paragraph 2, to justify the 
initiation of an investigation[[, and have provided 
opportunity to comment as referred to in paragraph 5 
above]].  
 5.6 If, in special circumstances,24 the authorities 
concerned decide to initiate an investigation without 
having received a written applica tion by or on behalf of a 
domestic industry for the initiation of such investigation, 
they shall proceed only if they have sufficient evidence of 
dumping, injury and a causal link, as described in paragraph 2, to justify the initiation of an investigation. 
______________________ 
 24Such special circumstances may exist, inter alia , 
where the domestic industry is s till in establishment or where 
one or more new producers are still in a start-up situation.  
 See comments regarding material retardation in the 
context of Article 3.9 of the Chairman's text. 
 5.6 bis An investigation under this Article shall be 
initiated and conducted, and a determination of the 
existence of dumping, injury and causal link shall be 
made, only with respect to a single product under 
consideration, the scope of which shall be determined in 
accordance with Article 2.6(a).  If during the course of an 
investigation authorities find, in light of the evidence 
obtained, that the investigation includes imported products See comments regarding product under consideration in 
the context of Article 2.6 of the Chairman's text.  
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that are not properly included within the scope of the 
product under consideration, they shall amend the product 
scope of the investigation and shall only impose an anti-
dumping duty on imports of any distinct product under 
consideration if they make determinations of the existence 
of dumping, injury and causal link with respect to that 
product.  
 
5.7 The evidence of both dumping and injury shall 
be considered simultaneously (a) in the decision whether 
or not to initiate an investigation, and (b) thereafter, 
during the course of the investigation, starting on a date 
not later than the earliest date on which in accordance with the provisions of this Agreement provisional 
measures may be applied. 
 5.7 The evidence of both dumping and injury shall 
be considered simultaneously (a) in the decision whether 
or not to initiate an investigation, and (b) thereafter, 
during the course of the investigation, starting on a date 
not later than the earliest date on which in accordance with the provisions of this Agreement provisional 
measures may be applied. 
  
5.8 An application under paragraph 1 shall be 
rejected and an investigation shall be terminated promptly 
as soon as the authorities concerned are satisfied that [[the 
standing requirement under paragraph 4 has not been met 
at the time of initiation (in case of investigation initiated 
on the basis of an application) or that]]  there is not 
sufficient evidence of [[ either ]]dumping[[, or of  ]]injury 
[[or causal link between them]]  to justify proceeding with 
the case.[[38]]  There shall be immediate termination in 
cases where the authorities determine that the margin of 
dumping is  de minimis , or that the volume [[or the 
estimated market share]]  of dumped imports, actual or 
potential, or the injury, is negligible.  The margin of 
dumping shall be considered to be de minimis  if this 
margin is less than [[X]][[5]][[ 2]] per cent, expressed as a 
percentage of the export price.  The volume of dumped 
imports shall normally be regarded as negligible if the 
volume of dumped imports from a particular country [[during the period of investigation]]
 is found to account 
for less than [[ 3]][[X]] [[1]]  per cent of [[ imports of the 
like product in the importing Member [[or if the market 
share of dumped imports is less than Y per cent]]]] [[[[the 
total market39 for]] [[the total domestic consumption of]] 
[[the domestic consumption of]] the like product in the 
importing Member [[40]] [[41]]]] [[ unless countries which 
individually account for less than 3  per cent of the imports 5.8 An application under paragraph 1 shall be 
rejected and an investigation shall be terminated promptly 
as soon as the authorities concer ned are satisfied that there 
is not sufficient evidence of either dumping or of injury to 
justify proceeding with th e case.  There shall be 
immediate termination in cases where the authorities determine that the margin of dumping is  de minimis , or 
that the volume of dumped imports, actual or potential, or 
the injury, is negligible.  The margin of dumping shall be considered to be de minimis  if this margin is less than 
2 per cent, expressed as a percentage of the export price.  
The volume of dumped imports shall normally be regarded as negligible if the volume of dumped imports 
from a particular country is found to account for less than 
3 per cent of imports  of the like product in the importing Member, unless countries wh ich individually account for 
less than 3 per cent of the imports of the like product in 
the importing Member collectiv ely account for more than 
7 per cent of imports of the like product in the importing 
Member. 
 Some delegations regretted that the Chairman's text did 
not contain any changes regarding de minimis  margins  or 
negligible import volumes .  On de minimis  margins, 
some delegations considered that the current 2% rate of de 
minimis  should be raised to at least 5%, and that de 
minimis rules should be applied in reviews pursuant to 
Articles 9 and 11 (a working paper reflecting this 
approach was subsequently ci rculated as TN/RL/W/221).  
Other delegations could support an increase in de minimis  
margins but opposed their application in reviews, except 
perhaps new shipper reviews.  Yet other delegations 
objected to raising the de minimis , as a 2% margin could 
already be quite significant, with one delegation 
suggesting that the concept should be removed altogether.  
It was also suggested the de minimis  could be raised but 
exclusively in the case of developing country exporters. 
 
With respect to negligible import volumes, certain delegations urged that the test be changed from 3% of 
imports to 3% of domestic consumption, that the 
calculation be based on the dumping POI, and that the cumulation provision be deleted (a working paper 
reflecting this approach was subsequently circulated as 
TN/RL/W/227).  Other delegations were satisfied with the 
current rules and opposed any ch anges, noting that data on 
domestic consumption would be difficult to obtain on a  
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of the like product in the importing Member collectively 
account for more than 7  per cent of imports of the like 
product in the importing Member ]]. 
______________________ 
 38 [[Where an interested party alleges that there is 
insufficient standing or evidence justifying initiation, and 
supports its allegations with pub lic data such as official 
statistics, or otherwise alerts the authorities as to the 
inconsistencies in the application, the authorities shall promptly 
look into the complaint and provide a full reply to the party and 
other interested parties within [90] days thereof, or, if the 
investigation is expected to c onclude within [six] months of 
initiation, no later than at the time of the final determination.]]  
 39 [[It is understood that where the market is divided 
into two or more competitive markets under paragraph 1(ii) of 
Article 4, the “total market” will relate only to the total 
competitive market under review.]]  
 40 [[In the event that countries which individually 
account for less than 3 per cent of the domestic consumption of 
the like product in the importing Member collectively account 
for more than 7 per cent of domestic consumption of the like 
product in the importing Member, the volume of dumped 
imports regarded as negligible shall refer only to those from 
countries which collect ively, by adding their volume of dumped 
imports in ascending order, acco unt for less than 7 per cent of 
domestic consumption of the like product in the importing 
Member.]]  
 41 [[Negligibility shall be measured considering the 
entire period of dumping investigation, that is not less than 12 
months.]]  
 timely basis and that small suppliers could collectively be 
important. Certain delegations were prepared to consider a 
change in the denominator to domestic consumption but considered that this would necessitate lowering the 
percentage in the numerator.  Several delegations 
supported raising the threshold, but exclusively in the context of developing country exporters. 
 
5.9 An anti-dumping proceed ing shall not hinder the 
procedures of customs clearance.  5.9 An anti-dumping proceed ing shall not hinder the 
procedures of customs clearance.   
5.10 [[ Investigations shall[[ , except in special 
circumstances, ]] be concluded within one year[[ , and in 
no case more than 18 months,  after their initiation.]] ]]  
[[Investigations shall, except in special circumstances, be 
concluded within one year[[.  An investigation shall ,and]] 
in no case [[last for]]  more than [18] months, after their 
initiation.]]  [[Prior to an extension of the investigation, the 
authorities shall issue a public notice and shall notify 
known interested parties in writing, explaining the special 
circumstances giving rise to the need for an extension of 5.10 Investigations shall, except in special 
circumstances, be concluded w ithin one year, and in no 
case more than 18 months, after their initiation.    
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the investigation, and giving details of the extension.]]  
 
 
 5.10 bis Except where circumstances have changed, the 
authorities shall not initiate an investigation where a 
previous investigation of the same product from the same 
Member initiated pursuant to this Article resulted in a 
negative final determination within one year prior to the 
filing of the application.  If an investigation is initiated in 
such a case, the authorities shall explain the changed 
circumstances which warrant initiation in the notice of 
initiation or separate report pr ovided for in Article 12.1.  
 Some delegations welcomed the proposed text of 
Article 5.10 bis, which they considered to give appropriate 
effect to the decision taken by Ministers at Doha.  Others 
considered that the text went in the right direction but that there should be an absolute bar on initiations during a 
one-year period or longer, particularly given the 
ambiguity of the concept of "changed circumstances".  
Other delegations expressed concerns that the proposed 
text could undermine the right to initiate an investigation 
where sufficient evidence existe d, and indicated that there 
could be situations where initiation was warranted even 
without changed circumstances.  One delegation 
suggested that the proposal was too narrow as it applied only in the case of negative final determinations. 
5.11 [[The authorities shall in the public notice on the 
initiation of an investigation give the interested parties a 
period of 20 days after the date of initiation to notify the 
latter’s intention to participate in the proceeding, provide 
the relevant information42 and comment on the 
information contained in the notice of initiation, such as 
the representativeness of the applicant, the scope of the 
product under consideration and the evidence given to 
justify the initiation of the investigation. The authorities  
shall take due account of su ch comments. Questionnaires 
shall be sent to the interested parties within 10 days after  
the date of expiry of the above responding and comment 
period.]]  
______________________ 
 42 [[Information may include but not be limited to 
name, address, legal representativ e, contact details and contact 
person of the interested parties,  total volume and value of the 
product under investigation exported to the investigating 
Member during the investigation period, and the official seal of 
the interested parties or signature of the legal representative.]]  
    
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5.12 [[A new investigation can not be initiated for the 
same product before 12 months have passed since the 
publication of a negative final determination notice of 
non-application or revocation, referred to the previous 
investigation.]] [[Where an investigation is terminated 
without the imposition of a definitive anti-dumping 
measure, the authorities shall not initiate a new 
investigation into the same product or like product from 
the same exporting Member until after a period of 12 
months has elapsed from the date of the termination of the 
investigation.]]  
 [See Article 5.10 bis of the Chairman's text.]  
Article 6  
Evidence  
 Article 6  
Evidence  
  
 6.1 New The authorities may request interested parties to 
supply such information as the authorities reasonably 
consider may be necessary for the conduct of the 
investigation, including information in the possession of 
parties that are affiliated to those interested parties.  
 See comments in the context of Article 6.8.1 of the 
Chairman's text.    
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6.1 [[Authorities shall actively and in an objective 
and unbiased manner seek th e evidence necessary for the 
investigation.]]   All interested parties in an anti-dumping 
investigation shall be given notice[[43]] of the information 
which the authorities require and ample opportunity to 
present in writing all evidence which the[[ y interested 
parties]]  consider relevant in respect of the investigation 
in question.  [[To permit such participation the authorities 
shall inquire (such as by consulting sources reasonably 
available to them including trade associations, trade 
publications, or import records) whether there are any 
foreign producers, exporters or importers of the product 
under consideration not named in the application.  
Reliance on a notice of appearance procedure and 
notification of the government of the exporting member 
shall not alone be sufficient.]]  
______________________ 
 43 [[Authorities shall make best efforts  to identify the 
exporters and/or producers concerned, including through, inter 
alia,  checking customs declarations, through requests to 
industry associations in the e xporting Member, through industry 
publications in the exporting Member and any other means 
reasonably available to them.]]  
 6.1 All interested parties in an anti-dumping 
investigation shall be given notice of the information 
which the authorities require and ample opportunity to present in writing all evidence which they consider 
relevant in respect of the investigation in question.   
   
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 6.1.1 [[The authorities shall send to all known 
eE]]xporters or foreign producers 
[[receiving ]] questionnaires used in an 
anti-dumping  investigation [[and they]]  
shall be given at least [[ 3045]] days for 
reply.44  Due consideration should be  
given to any request for an extension of 
the [[ 3045]]-day period and, upon cause 
shown, such an extension should be granted whenever practicable.  [[The 
authorities shall inform an interested 
party in writing if the information 
submitted by that party in reply to a 
questionnaire is incomplete or requires 
clarification.  The interested party shall 
be afforded not less than 7 days to 
provide additional information or 
clarification.]]  
______________________ 
 44 As a general rule, the time-limit for exporters shall 
be counted from the date of rece ipt of the questionnaire, which 
for this purpose shall be deemed to  have been received one week 
from the date on which it was sent to the respondent or 
[[received by transmitted to ]] the appropriate diplomatic 
representative of the exporting Member or, in the case of a 
separate customs territory Member of the WTO, an official 
representative of the exporting territory. 
  6.1.1 Exporters or fore ign producers receiving 
questionnaires used in an anti-dumping  
investigation shall be given at least 30 days for reply.
25,26  Due consideration 
should be  given to any request for an 
extension of the 30-day period and, upon cause shown, such an extension 
should be granted wh enever practicable. 
 ______________________ 
 25 It is desirable that the authorities not require 
certification of translations by official translators.  Where such 
certification is required, exporters  or foreign producers shall be 
given an additional seven days for reply.   
 
 26 As a general rule, the time -limit for exporters shall 
be counted from the date of rece ipt of the questionnaire, which 
for this purpose shall be deemed to  have been received one week 
from the date on which it was sent to the respondent or 
transmitted to the appropriate diplomatic representative of the 
exporting Member or, in the case of a separate customs territory 
Member of the WTO, an official representative of the exporting 
territory.  
  6.1.1 bis Within a reasonable period of time after 
the receipt of the response to a 
questionnaire, the authorities shall make 
a preliminary analysis  of that response 
and shall notify the interested party 
concerned in writing of any requests for 
clarification or additional information.  
   
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6.1.2 Subject to the requirement to protect 
confidential information, evidence 
presented in  writing by one interested party shall be made available promptly 
to other interested parties participating 
in the investigation. 
  6.1.2 Subject to the requirement to protect 
confidential information, evidence 
presented in  writing by one interested party shall be made available promptly 
to other interested parties participating 
in the investigation. 
  
6.1.3 As soon as an investigation has been 
initiated, the authorities shall [[(if they 
have not already done so before 
initiation)]]  provide the full text of the 
written application received under 
paragraph 1 of Article 5 to the known exporters[[,]]
45 [[and to the authorities of 
the exporting Member ]]and shall make 
it available, upon request, to other interested parties involved.  Due regard 
shall be paid to the requirement for the 
protection of confidential information, 
as provided for in paragraph 5. 
______________________ 
 45 It being understood that, where the number of 
exporters [[and foreign producers]]  involved is particularly high, 
the full text of the written application [[may should ]] instead be 
provided only to the [[ authorities of the exporting Member or  to 
the]]relevant trade association [[or the authorities may notify to 
the government of the exporting Member that the full text of the 
written application cannot be provided to the exporters and 
foreign producers because of such high number]] . 
  6.1.3 As soon as an investigation has been 
initiated, the authorities shall provide the 
full text of the written application received under paragraph 1 of Article 5 
to the known exporters
27 and to the 
authorities of the exporting M ember and 
shall make it available, upon request, to 
other interested parties involved.  Due 
regard shall be paid to the requirement for the protection of confidential 
information, as provided for in 
paragraph 5. 
______________________ 
 27 It being understood that, where the number of 
exporters involved is particularly hi gh, the full text of the written 
application should may instead be provided only to the 
authorities of the exporting Member or  to the relevant trade 
association, if any.  In such cases, the authorities shall so inform 
the government of the exporting Member . 
 
  
 6.1.4 [[The authorities may require exporters 
or foreign producers to provide 
necessary information held by other 
parties if such other parties directly or 
indirectly control, or are controlled by,  
the exporter or foreign producer; or if 
the exporter or fore ign producer and the 
other parties are under the common 
control of a third party.     
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  Even when such other parties do not 
control, or are not controlled by, the 
exporter or foreign producer; or if the 
exporter or foreign producer and the 
other parties are not under the common 
control of a third party, the authorities 
may nevertheless require the exporters 
or foreign producers to make reasonable 
efforts to provide n ecessary information 
held by other parties, provided that the 
authorities demonstrate that  requiring 
such efforts is not disproportionate in 
the light of the balance between the 
importance of such information to the  
conduct of the investigation and the 
difficulty of the exporters or foreign 
producers to provide such information.  
   
  In any case, the authorities may not 
require the exporters or foreign 
producers to make such efforts if the 
following conditions are met:  
 
  (i) neither of them holds, 
directly or indirectly, 20 per 
cent or more of the voting 
power of the other or is the 
largest shareholder of the other; 
and 
   (ii) no third party holds, 
directly or indirectly, 20 per 
cent or more of the voting 
power of both of them or is the 
largest shareholder of both of 
them.]]    
  6.1.4.1  [[For the purposes of sub-
paragraph 1.4, “control” is the 
power to govern the financial 
and operating policies of an 
enterprise by having:  
    
  TN/RL/W/232
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  (a) more than one half of 
the voting power of an 
enterprise;  
 
  (b) power over more than 
one half of the voting rights by 
virtue of an agreement with 
other investors;  
    (c) such power under a 
statute or an agreement;  
   (d) power to appoint or 
remove the majority of the 
members of the board of 
directors or equivalent 
governing body; or  
   (e) power to cast the 
majority of votes at meetings 
of the board of directors or 
equivalent governing body.]]    
 6.1.5 [[Where information submitted must be 
translated, authorities shall accept 
unofficial translations, and shall not 
require certification by official 
translators.]]  
   
6.2 Throughout the anti-dumping investigation all 
interested parties shall have a full opportunity for the 
defence of their interests.  To this end, the authorities shall, on request, provide opportunities for all interested 
parties to meet those parties with adverse interests, so that 
opposing views may be  presented and rebuttal arguments offered.  Provision of such opportunities must take 
account of the need to preserve confidentiality and of the 
convenience to the parties.  There shall be no obligation 
on any party to attend a meeting, and failure to do so shall 
not be prejudicial to that party's case.   Interested parties 
shall also have the right, on justification, to present other 
information orally. 
 6.2 Throughout the anti-dumping investigation all 
interested parties shall have a full opportunity for the 
defence of their interests.  To this end, the authorities shall, on request, provide opportunities for all interested 
parties to meet those parties with adverse interests, so that 
opposing views may be  presented and rebuttal arguments offered.  Provision of such opportunities must take 
account of the need to preserve confidentiality and of the 
convenience to the parties.  There shall be no obligation 
on any party to attend a meeting, and failure to do so shall 
not be prejudicial to that party's case.   Interested parties 
shall also have the right, on justification, to present other 
information orally. 
   
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6.3 Oral information provided under paragraph 2 
shall be taken into account by the authorities only in so far 
as it is subsequently reproduced in writing and made available to other interested parties, as provided for in 
subparagraph 1.2. 
 6.3 Oral information provided under paragraph 2 
shall be taken into account by the authorities only in so far 
as it is subsequently reproduced in writing and made available to other interested parties, as provided for in 
subparagraph 1.2. 
   
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6.4 The authorities shall [[ whenever practicable ]] 
[[promptly]  provide [[[[prompt  opportunities]]  [[timely 
opportunities ]]]] for all interested parties [[that so request 
opportunities]]  to see all information [[[[ that is relevant to 
the presentation of their cases, that is not confidential ]] 
[[that is not confidential]]]] [[contained in the 
administrative record46, including information that is 
confidential]]  as defined in paragraph 5, [[[[with the 
exception of restri cted information47,]] [[ and that is used 
by the authorities in an anti -dumping investigation, and ]] 
[[in order]]  [[and that is [[used by before]]  the authorities 
in an anti-dumping investigation [[regardless of whether 
the authorities use or intend to  use a particular piece of 
information]]]]  and to prepare presentations on the basis 
of this information.  [[Authorities shall make available to 
all interested parties an updated list of all such 
information  contained in the file or the record of an anti-
dumping investigation, including a list of all information 
withheld because of confidentiality. The list shall be 
updated throughout the investigation.  Authorities shall  
maintain a location where information will be placed  
promptly after its receipt or  creation, and where free 
access shall be given to all interested parties to review or 
copy the information.]]  
______________________ 
 46 [[The administrative record shall contain all such 
information of a documentary or other nature as may be 
submitted to, or obtained by, the investigating authority in the 
course of an anti-dumping investigation or review proceedings, 
including government communicati ons classified as public or 
confidential, transcripts or minu tes of meetings and hearings, 
resolutions, and notices published in  the Official Journal of the 
importing Member.]]  
 47 [[Restricted information is information so sensitive 
that disclosure thereof can result in substantial and irreversible 
material or financial injury to the owner of such information, for 
example, secret formulas or processes with commercial value 
that are unpatented and are kno wn only to a limited group of 
persons who use it in the pr oduction of a commercial product.]]  
 6.4 The authorities shall whenever practicable  
provide timely  opportunities for all interested parties to 
see promptly all information that is relevant to the 
presentation of their cases, that is non t confidential 
information as defined in paragraph  5, and that is used by 
before the authorities in an anti-dumping investigation, 
and to prepare presentations  on the basis of this 
information. 
 Broad support was expressed for the proposal on general 
participation  rights.  However, some developing Member 
delegations believed that the requirement of "prompt" access to information was excessive and should be 
replaced with the concept of "reasonable" access.  Others 
believed that the proposed language was appropriate given the importance of the provision's objective, which is to 
secure interested parties' rights of participation.    
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 6.4bis The authorities shall maintain a file containing 
all non-confidential documents submitted to or obtained 
by the authorities in an anti-dumping proceeding, 
including non-confidential summaries of confidential 
documents and any explanations provided pursuant to 
Article 6.5.1 as to why summa rization is not possible, and 
shall allow any person to review and copy the documents 
in that file upon request.  Access to this file shall be 
provided promptly, and in any case within two working 
days of a request.  The non-confidential file shall be kept 
in an organized manner, and a complete index of all 
documents in the possession of the authorities, including 
confidential documents, shall be included therein.  Each 
file shall include all public notices related to that 
proceeding issued pursuant to Article 12, as well as 
separate reports issued pursuant to footnote 60 to that 
Article.  Each file shall be maintained for at least five 
years beyond the date that th e proceeding is completed.  
The authorities shall provide for the copying of 
documents in the non-confidential file at the reasonable 
expense of the person so requesting, or shall allow, 
subject to reasonable safeguards, that person to remove 
the documents for copying elsewhere.28   
_____________________ 
 28 The requirements of this paragraph may be met by 
making such non-confidential docu ments and indices available 
via the internet. 
 On the proposed text requiring the maintenance of a 
publicly accessible non-confidential file , some 
delegations welcomed the Chairman's text and could support it in its entirety.  Other delegations, however, 
raised the burden that the proposed system could place on 
resources, particularly for developing countries.  For instance, some delegations considered that a two-day 
standard for access was too short, with one delegation 
suggesting a requirement for "timely" access and another suggesting a 7 working-day standard "wherever 
practicable". Other delegations suggested that maintaining 
a non-confidential file was not unduly burdensome.  Delegations also disagreed as to whether the file should be 
accessible to all persons or only to interested parties.    
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6.5 Any information which is by nature confidential 
[[(for example, because its disclosure would be of 
significant competitive advantage to a competitor or 
because its disclosure would have a significantly adverse 
effect upon a person supplying the information or upon a 
person from whom that person acquired the 
information) ]], or which is provided on a confidential 
basis by [[interested]]  parties [[in to]] an investigation 
shall, upon good cause shown, be treated as such by the authorities. [[
Such information shall not be disclos ed 
without specific permission of the party submitting it. ]]48 
______________________ 
 48 Members are aware that in the territory of certain 
Members disclosure pursuant to a narrowly -drawn protective 
order may be required.  
 
 6.5 Any information which is by nature confidential 
(for example, because its disclosure would be of 
significant competitive advantage to a competitor or because its disclosure would have a significantly adverse 
effect upon a person supplying the information or upon a 
person from whom that person acquired the information), or which is provided on a confidential basis by parties to 
an investigation shall, upon good cause shown, be treated 
as such by the authorities.  Such information shall not be disclosed without specific permission of the party 
submitting it.
29 
_____________________ 
 29 Members are aware that in the territory of certain 
Members disclosure pursuant to a narrowly-drawn protective 
order may be required. 
   
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 6.5.1 [[ The authorities shall require interested 
parties providing confidential 
information to furnish [[ non-
confidential summaries thereof ]] [[a 
public version of the document 
containing the confidential information.  
The public version of the document 
shall be identical to the version 
containing the confidential information 
except that the confidential information 
shall be redacted and replaced by a non-
confidential summary.  Upon cause 
shown, where that is not possible, a  
non-confidential summary may replace 
the confidential document.]]   T h e s e  
summaries shall be in  sufficient[[ly]]  
detail[[ed]]  to permit a reasonable 
understanding of the substance of the information submitted in confidence.  In 
exceptional circumstances, [[
such]] 
parties may indicate that such 
information is not susceptible to 
summary.  In such exceptional circumstances, a statement of the 
reasons why summarization is not 
possible must be provided [[to all 
interested parties.]]]] [[ The authorities 
[[may only use confidential information 
provided by interested parties if such 
information is accompanied by]] [[ shall 
require interested parties providing 
confidential information to furnish 
non-confidential summaries thereof ]] 
[[a public version of the document 
containing confidential information]].  
[[The public version shall be identical to 
the version containing the confidential
  6.5.1 The authorities shall require interested 
parties providing confidential 
information to furnish non-confidential versions of the document containing the 
confidential information within two 
working days of submitting the original 
document. summaries thereof .  The non-
confidential version shall be identical to 
the version containing the confidential 
information, except that the confidential 
information shall be removed and 
replaced by a summary of that 
information These summaries shall be 
in sufficient detail to permit a reasonable understanding of the substance of the information submitted 
in confidence.  In exceptional 
circumstances, such 
parties providing 
confidential information may indicate 
that such information is not susceptible 
of summary.  In such exceptional 
circumstances, a statement of the 
reasons why summarization is not possible must be provided. 
 Regarding  non-confidential summaries, many 
delegations, some delegations supported the Chairman's 
text in its present form.  Other delegations considered however that a two-day requirement might be two short.   
Some delegations queried whether the failure to submit 
such summaries on time could give rise to the rejection of the underlying document and thus result in the use of facts 
available.        
  TN/RL/W/232
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  information, except that the confidential 
information shall be removed and 
replaced with a non-confidential 
summary.]]  These summaries shall be 
in sufficient detail to permit a reasonable understanding of the 
substance of the information submitted 
in confidence.  In exceptional circumstances, such parties may 
indicate that such information is not 
susceptible of summary.  In such exceptional circumstances, a statement 
of the reasons why summarization is not 
possible must be provided.]]
 
 
 6.5.1 bis[[For the purposes of an anti-dumping 
investigation, the information indicated 
below shall be treated as confidential, if 
it is presented as such by interested 
parties, because revealing or 
disseminating it to the public would be 
of significant competitive advantage to 
a competitor or would have a 
significantly adverse effect upon the 
interested party supplying the 
information or upon a person from 
whom the interested party acquired the 
information:  
 
   (a) Production processes 
for the goods at issue;  
 
   (b) production costs and 
specifications of the 
components;  
 
   (c) distribution costs;  
 
  
 
    
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   (d) terms and conditions 
of sale, except for 
those offered to the 
public;  
 
   (e) price of sale per 
transaction and per 
product, except for 
components of prices 
such as dates of sale 
and distribution of the 
product;  
 
   (f) description of the kind 
of individual clients, 
distributors or 
suppliers;  
    (g) where applicable, the 
exact amount of 
margin of dumping in 
individual sales;  
    (h) the names of natural 
or legal persons from 
whom the interested 
party obtained 
relevant information 
shall be available 
exclusively to the 
authority;  
    (i) amounts of the 
adjustments for terms 
and conditions of sale, 
volume or quantity, 
variable costs and 
taxes proposed by the 
interested party;  and  
 
    
  TN/RL/W/232
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   (j) any other specific 
information from the 
enterprise in question, 
or such information as 
it provides from 
related enterprises, 
subsidiaries, suppliers, 
clients or 
distributors.]]  
   
 6.5.2 If the authorities find that a request for 
confidentiality is not warranted and if 
the [[interested party that supplied]]  
[[supplier of ]] the information is either 
unwilling to make the information 
public or to authorize its disclosure in [[
generalized or ]] summary form, the 
authorities may disregard such 
information unless it can be 
demonstrated to their satisfaction from 
appropriate sources th at the information 
is correct.49 
______________________ 
 49 Members agree that requests for confidentiality 
should not be arb itrarily rejected. 
  6.5.2 If the authorities find that a request for 
confidentiality is not warranted and if 
the  supplier of the information is either unwilling to make the information 
public or to authorize its disclosure in 
generalized or summary form, the authorities may disregard such 
information unless it can be 
demonstrated to their satisfaction from 
appropriate sources that the information 
is correct.
30 
______________________ 
 30 Members agree that requests for confidentiality 
should not be arbitr arily rejected.   
  
 6.5.3 [[The authorities shall make available to 
interested parties an index of the 
administrative record, including a list of 
documents that have not been disclosed 
for reasons of confidentiality.  The 
authorities shall decide on a location in  
which information shall be deposited 
immediately upon receipt and to which 
all interested parties shall have freedom 
of access in order to consult or 
photocopy non-confidential 
information.]]  
    
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 6.5.4  [[The authorities shall establish a 
mechanism allowing timely access, for 
the representatives of interested parties, 
to confidential information contained in 
the administrative record, provided that 
the requirements of domestic legislation 
are met.50  T o  t h a t  e n d ,  t h e  
representatives shall be held to an 
undertaking of confidentiality strictly 
prohibiting the use of information for 
personal benefit and dissemination 
among individuals who are not 
authorized to access such information.  
The authorities shall lay down specific 
penalties for breach of undertakings by 
the representatives of interested 
parties.]]  
______________________ 
 50 [[Each Member shall take all necessary steps, of a 
general and/or particular character, to ensure that, not later than 
the date of entry into force of the amendments to the Agreement 
on Implementation of Article VI  of the General Agreement on 
Tariffs and Trade 1994, the requirements and procedures 
guaranteeing timely access to conf idential information contained 
in the record are established in its laws, regulations and 
administrative procedures.]]  
   
6.6 [[Except in circumstances provided for in 
paragraph  8, t , ] ]  The authorities shall during the course 
of an investigation satisfy them selves as to the accuracy of  
the information [[supplied by interested parties ]] upon 
which their findings are based.  [[Within a reasonable 
period   after receipt of responses to the questionnaires, the 
authorities shall set out in writing any requests for 
clarifications or additional requirements for information 
from the interested party concerned .  If evidence or 
information is not accepted, the supplying party shall be 
informed promptly of the reasons therefore, and shall have 
the opportunity to provide further evidence or information 
or explanations within a reasonable period.]]  
 6.6 Except in circumstances provided for in 
paragraph 8, the authorities shall during the course of an investigation satisfy themselves as to the accuracy of the 
information supplied by interested parties upon which 
their findings are based. 
   
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6.6bis [[Not later than [X] months after initiation of an 
investigation, the authorities shall make preliminary 
determinations of dumping and injury containing the 
information specified in Article 12.2.1.  Preliminary 
determinations of dumping shall not be made prior to the 
deadline for receipt of rep lies to questionnaires under 
Article 6.1.1, and the preliminary determinations of 
injury.  Prior to making a final determination, authorities 
shall give interested parties a reasonable time after the 
issuance of a public notice of a preliminary determination 
to provide additional factual information and legal 
argumentation.]]  
  Certain delegations regretted the absence in the 
Chairman's text of a requirement for mandatory 
preliminary determinations .  Many delegations 
considered that preliminary determinations should be 
mandatory in all cases, as  this would advance 
transparency, and Article 6.9 disclosures were not a satisfactory alternative. Other delegations considered that 
mandatory preliminary determinations would be 
burdensome, particularly for developing countries, and that the solution was adequate disclosure under Article 
6.9, with some delegations advocating toughening of 
those disclosure requirements.  Some delegations indicated that preliminary determinations were not 
possible within the short time-frames in their systems, and 
another delegation recognized that really rapid investigations might be analogous to preliminary 
determinations.  Some delegations considered that 
proposed time-frames were too short and should be extended or removed.  
6.7 In order to verify information provided or to 
obtain further details, the authorities may carry out investigations in the territory of other Members as 
required, provided they obtai n the agreement of the firms 
concerned and notify the representatives of the government of the Member in question, and unless that 
Member objects to the investigation.  The procedures 
described in Annex I shall apply to investigations carried out in the territory of other Members.  Subject to the 
requirement to protect confidential information, the 
authorities shall make the results of any such investigations available [[to all interested parties before a 
preliminary or final determination is made.  Such 
disclosure shall take place in su fficient time for the parties  
to defend their interests.]] [[ , or shall provide disclosure 
thereof pursuant to paragraph  9, to the firms to which they 
pertain and may make such results available to the 
applicants. ]] 
 6.7 In order to verify information provided or to 
obtain further details, the authorities may carry out investigations in the territory of other Members as 
required, provided they obtai n the agreement of the firms 
concerned and notify the representatives of the government of the Member in question, and unless that 
Member objects to the investigation.  The procedures 
described in Annex I shall apply to investigations carried out in the territory of other Members.  Subject to the 
requirement to protect confidential information, the 
authorities shall make the results of any su ch 
investigations available, or shall provide disclosure 
thereof pursuant to paragraph  9, to the firms to which they 
pertain and may make such results available to the 
applicants.  
 On verification , there was broad support for the thrust of 
the Chairman's text.  However, there were differences of view regarding the appropriate number of days of advance 
notice of the intended date of verification. Some 
delegations indicated that a 21-day period was too long.  Other delegations suggested that a 21-day period was a 
minimum, but that it should be clear that that the intended 
date was indicative, not firm.  Similarly, some delegations considered that requiring a verification outline 10 days in 
advance was unrealistic, while others considered it too 
short.   Likewise, differences were also apparent in respect 
of the proposed obligation to make a verification report 
available to all interested parties.  
  
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6.8 In cases in which any interested party refuses 
access to, or otherwise does  not provide, necessary 
information within a reasonable period or [[ significantly 
impedes the investigation ]] [[unreasonably refuses 
verification of such information, and after the authorities 
have made reasonable efforts to acquire such information 
from the interested party in question]] , preliminary and 
final determinations, affirmative or negative, may be 
made on the basis of the facts available [[to the extent 
necessary to substitute missing or rejected information]] .  
The provisions of Annex II shall be observed in the 
application of this paragraph. 
 6.8 In cases in which any interested party refuses 
access to, or otherwise does  not provide, necessary 
information within a reasonable period or significantly impedes the investigation, preliminary and final 
determinations, affirmative or negative, may be made on 
the basis of the facts availa ble.  The provisions of 
Annex II shall be observed in the application of this 
paragraph. 
   
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  6.8.1  Where an interested party substantiates 
that it does not control31 an affiliated 
party and that, despite its best efforts, it 
has been unable to obtain requested 
information from that affiliated party, 
the authorities shall consider whether to 
maintain, modify or withdraw the 
request, taking into account the 
importance of the information to the 
investigation.  In the event the 
authorities decide to maintain the 
request, whether in the same form or as 
modified, they shall take such 
reasonable steps as are available to them 
to support the interested party's efforts 
to obtain the information.  Where 
despite the interested party's best 
efforts, necessary information in the 
possession of an affiliated party is not 
supplied, the authorities may base their 
determinations on the facts available.  
They shall not, however, deem the 
interested party to have been non-
cooperative.  
 Some delegations welcomed the proposed Chairman's text 
on information requests to affiliates , which they 
considered went some way towards the objective of 
ensuring that interested parties were not treated as non-
cooperative if they failed to provide information from 
affiliates that they did not control.  These delegations however generally considered that further improvements 
were required in order for the text to fully achieve this 
objective.  In particular, these delegations generally considered that the concepts of affiliation and control 
should be defined more precisely and narrowly, and made 
various suggestions in this respect.  Some delegations urged replacing the concept of affiliated party" with 
"related party", and using the definitions in Article 4.1 of 
"related party" and "control" found in that provision.  One delegation that was generally supportive nevertheless 
cautioned that the concept of "non-cooperative" 
improperly suggested the existence of two different categories of facts available.  Another delegation 
suggested creation of a procedure so that questionnaires 
were sent directly to the affiliated party. 
 
Other delegations had concerns about the Chairman's text on this issue.  While these delegations generally 
welcomed the confirmation that investigating authorities 
might need to seek information from parties affiliated to interested parties, these delegations considered that the 
text introduced mandatory requirements that were 
subjective in nature and could constrain investigating authorities and provoke dispute settlement.  Reference 
was made for example to the assessment whether an 
interested party had made "best efforts" to obtain information.  Concern was raised that the obligation of 
investigating authorities to support interested parties' 
efforts to obtain information were not clear, and that it could place a heavy obligation on investigating 
authorities, particularly in developing Members.  It was 
also observed that the proposed text could encourage non-
cooperation.  The concerned delegations generally 
considered that the concept of control should go beyond 
strict legal control, and did not support efforts to narrow 
the concept of control.   
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 ______________________ 
 31 For purposes of this paragraph, one party shall be 
deemed to control another when the former is legally or 
operationally in a position to exercise  restraint or direction, or to 
exercise significant influence, over the latter.  When considering 
whether control exists, the authorities may take into account, 
inter alia , direct or indirect share holdings and any contractual, 
legal or family relationship between the parties.  
 
  
6.9 The authorities shall, before a [[preliminary 
or]]final determination is made, inform all interested 
parties of the essential facts under consideration[[, 
including how the authorities will assess these facts]]  
which form the basis for [[a the]] decision whether to 
apply [[provisional or]]  definitive measures.[[51]] [[Such 
disclosure [[shall should ]] take place in sufficient time for 
the parties to defend their interests.[[52]] ]] [[ [[ Such 
disclosure should take place in sufficient time for the 
parties to defend their interests. ]]  [[Such disclosure shall, 
due regard being paid to the requirement for the protection 
of confidential information, contain in particular:  
 
______________________ 
 51 [[The disclosure of esse ntial facts requires the 
specific identification by the authorities of all facts in the record 
of the investigation that  tend to support or cast doubt upon the 
determinations of dumping, injury and causation that will form 
the basis for a decision.]] 
 52  [[The interested parties shall have  full opportunity 
to defend their interests in accordance with Article 6.2, and shall 
be allowed no less than [20] days to comment.]]  
 
 6.9 The authorities shall, before a final determination 
is made, inform provide all interested parties with a 
written report of the essential facts under consideration 
which they intend will form the basis for the decision 
whether to apply definitive measures.  Interested parties 
shall have 20 days to respond to this report and the 
authorities shall address any responses in their final 
determination.32 Such disclosure should take place in 
sufficient time for the parties to defend their interests.  
______________________ 
 32 This disclosure shall be made within sufficient time 
to allow an exporter to offer an undertaking in response.  
 The objective underlying the proposed text on the 
disclosure of the essential facts under consideration  was 
generally well received.  However, some delegations were 
concerned that the text should go further and require 
disclosure of essential facts and considerations .  Other 
delegations expressed concerns about the implications of 
the proposal, in its present form, for their systems of anti-
dumping administration. Some delegations focused on the timing of any such disclosure and the need to find a 
balance between giving exporters sufficient time to defend 
their interests and avoiding undue delays to the investigative process.  
  
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 (i) the names of the suppliers, or when this 
is impracticable, the supplying countries 
involved;  
 
 (ii) a description of the product which is 
sufficient for customs purposes ; 
 
 (iii) the margins of dumping established and 
a full explanation of the reasons for the 
methodology used in the establishment 
and comparison of the export price and 
the normal value under Article 2;  
 
 (iv) considerations relevant to injury and 
causation as set out in Article 3.  
 
The parties shall be allowed 15 days to comment.]] ]]  
   
 6.9bis The authorities shall, normally within seven days 
after giving public notice of a final determination under 
Article 12.2, disclose to each exporter or producer for 
whom an individual rate of duty has been determined the 
calculations used to determine the margin of dumping for 
that exporter or producer.33  The authorities shall provide 
to the exporter or producer the calculations, either in 
electronic format (such as a computer programme or 
spreadsheet) or in another appropriate medium, a detailed 
explanation of the information used, the sources of that 
information and any adjustments made to the information 
prior to its use in the calculations.  The disclosure and 
explanation shall be in sufficient detail to permit the 
interested party to reproduce the calculations without 
undue difficulty.  
______________________ 
 33 This requirement is satisfied where the authorities 
make such a disclosure pursuant to Article 6.9 before the final 
determination is made.  
 There was broad support for the proposal that authorities 
disclose the calculations  used to determine the margin of 
dumping for each exporter or producer.  However, some delegations would prefer that such detailed disclosure 
occur prior to the final determination pursuant to 
Article 6.9.  It was suggested that such disclosures should also be required in respect of preliminary determinations.   
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6.10 The authorities shall, as a rule, determine an 
individual margin of dumpi ng for each known exporter or 
producer concerned of the product under investigation.  In cases where the number of exporters, producers, [[and]]
 
importers [[who reply to the questionnaire]]  or types of 
products involved is so large [[53]] a s  t o  m a k e  s u c h  a  
determination impracticable,[[54]] the authorities may[[, 
on an exceptional basis,]]  limit their examination[[55]] 
either to a reasonable number  of interested parties[[56]] or 
products by using samples which are statistically 
valid[[57]] on the basis of information available to the 
authorities at the time of the selection, or to [[ the largest 
percentage of the volume of the exports from the country 
in question which can reasonably be investigated ]] [[a 
representative sample including the largest possible 
proportion of the exporters or producers representing, 
normally, no less than those whose collective exports 
constitute two thirds of total imports from the exporting 
country under investigation.58  Samples relating to 
importers or to types of products shall equally be 
representative]] . 
______________________ 
 53 [[It shall be understood that the number of exporters 
is "so large" when more than 15 exporters or producers in an 
investigation involving a single country reply to the 
questionnaire.  In the case of investigations involving products 
of several origins, the authoritie s shall consider an individual 
dumping margin for at least five exporters for each country.]]  
 54 [[The authorities shall give a reasoned explanation 
why it is "impracticable" to calculate an individual margin for all 
the exporters involved interested in taking part in the 
investigation.  If the number of exporters replying to the 
questionnaire is so large, the au thorities shall select exporters 
representing at least 60 per cent of total exports, when this 
percentage is composed of several exporters, otherwise the 
percentage should be higher, in order to guarantee the right of 
defence to exporters who do not account for a substantial share 
of total exports.]]  
 
 6.10 The authorities shall, as a rule, determine an 
individual margin of dumpi ng for each known exporter or 
producer concerned of the product under investigation 
consideration .  In cases where the number of exporters, 
producers, importers or types of products involved is so 
large as to make such a determination impracticable, the authorities may limit their examination either to a 
reasonable number of interested parties or products by 
using samples which are statistically valid on the basis of information available to the authorities at the time of the 
selection, or to the largest percentage of the volume of the 
exports from the country in question which can reasonably be investigated. 
   
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 55 [[Authorities shall provide a reasoned and adequate 
explanation of the particular administrative difficulties that 
prevented it from complying with the general rule, in Article 
6.10, to provide an individual margin of dumping for each 
exporter or producer.  This explanation shall be set forth in any 
disclosure under Article 6.9 and also in the public notices 
referred to in paragraph 2 of Article 12.]]  
 56 [[Under no circumstances may "a reasonable number 
of interested parties" be less th an five exporters, although in the 
case of investigations into im ports originating in several 
countries, the examination should include at least 15 exporters 
from all the origins.]]  
 57 [[Authorities shall provide  a reasoned and adequate 
explanation demonstrating how th eir selection is statistically 
valid  in cases where this option is used. Such explanation  shall 
be set forth in any disclosure under Article 6.9 and also in the 
public notices referred to in paragraph 2 of Article 12.]]  
 58 [[Authorities may select, in  descending order, the 
largest exporters or producers, until the threshold has been 
reached. In an examination .involving serious difficulties in 
including the necessary number of exporters or producers in 
order to satisfy the two thirds threshold, the authorities may base 
their examination on a lower share of imports. In such a case the 
authorities shall provide a reasoned and adequate explanation 
demonstrating why the authorities would have serious 
difficulties in satisfying the threshold and how their selection 
nevertheless is demonstrated to  be representative.  This 
explanation  shall be set forth in  any disclosure under Article 6.9 
and also in the public notices referred to in paragraph 2 of 
Article 12.]] 
    
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6.10bis  [[The authorities shall, normally within 
seven days after giving public notice of a preliminary or 
final determination under Article 12.2, disclose to each 
interested party for whom an individual rate of duty has 
been determined, the calculations used to determine the 
rate of dumping and, if different, the rate of duty to be 
applied to that interested party.  The authorities shall 
provide to the interested part y the calculations, whether in 
electronic format (such as a computer programme or 
spreadsheet) or in any other medium, a detailed 
explanation of the information used, the sources of that 
information and any adjustments made to the information 
when used in the calculations.  The disclosure and 
explanation shall be in sufficient detail to permit the 
interested party to reproduce the calculations without 
undue difficulty.]]  
   
 6.10.1 [[ Any selection of exporters, producers, 
importers or types of products made 
under this paragraph shall 
[[preferably ]]be chosen in consultation 
with and [[preferably]]  with the consent 
of the exporters, producers or importers 
concerned.[[59]] ]] [[ Any selection of 
exporters, producers, importers or types 
of products made under this 
paragraph shall [[be made known to 
interested parties, giving them a time-
limit in which to express their opinion 
on the said selection]] [[ preferably be 
chosen in consultation with and with the 
consent of, the exporters, producers or 
importers concerned ]]. ]] 
______________________ 
 59 [[Authorities shall provide a reasoned and adequate 
explanation for any failure to select the sample with the consent 
of the interested parties concerned.   Such explanation shall be set 
forth in any disclosure under Article 6.9 and also in the public 
notices referred to in paragraph 2 of Article 12.]]  
 6.10.1 Any selection of exporters, producers, 
importers or types of products made 
under this paragraph shall preferably be 
chosen in consultation with,  and 
preferably with the consent of,  the 
exporters, producers or importers 
concerned. 
 
 With respect to limited examination  under Article 6.10, 
some delegations supported the idea that consultations 
with exporters be made mandatory.  Other delegations 
were, however, concerned that such consultations might be impractical, especially where there were large numbers 
of exporters, and could delay the investigation.  More 
generally, a number of delegations regretted that other proposals regarding limited examination, including most 
notably thresholds for the percentage of the volume of 
exports that should be investig ated, were not reflected in 
the Chairman's text.    
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6.10.2 In cases where the authorities have 
limited their examination, as provided 
for in this paragraph, they shall nevertheless determine an individual 
margin of dumping for any exporter or 
producer not initially selected who submits the necessary information in 
time for that information to be 
considered during the course of the investigation, excep t where the number 
of exporters or producers is so large that 
individual examinations would be unduly burdensome to the authorities 
and prevent the timely completion of the 
investigation. [[
60]]  [[The authorities 
shall consider v V]]oluntary responses 
[[shall not be discouraged ]] [[submitted 
by exporters and shall calculate an 
individual margin for them, unless the 
number of exporters is so large that it is 
impracticable to do so]] . 
______________________ 
 60  [[The authorities shall provide a reasoned and 
adequate explanation of why the number of  requested individual 
determinations was so large th at their acceptance would be 
unduly burdensome and prevent the timely completion of the 
investigation. Such explanation shall be set forth in any 
disclosure under Article 6.9 and also in the public notices 
referred to in paragraph 2 of Arti cle 12. Authorities shall, in any 
case,  where they have not de termined an individual dumping 
margin, accept, as a minimum, no less than ten such requests 
from respondents from each country under investigation.]] 
 6.10.2 In cases where the authorities have 
limited their examination, as provided 
for in this paragraph, they shall nevertheless determine an individual 
margin of dumping for any exporter or 
producer not initially selected who submits the necessary information in 
time for that information to be 
considered during the course of the investigation, excep t where the number 
of exporters or producers is so large that 
individual examinations would be unduly burdensome to the authorities 
and prevent the timely completion of the 
investigation.  Voluntary responses shall not be discouraged. 
   
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  6.10.3 [[When determining dumping margins, 
the authorities may only establish:  
 
 (i) individual margins for the 
known exporters or producers 
examined individually or as 
part of  a sample; and  
 (ii) a single margin for all other 
exporters or producers not 
examined, whether  known or 
unknown.]]  
 6.10.3 Where the authorities limit their 
examination pursuant to this paragraph, 
they shall explain, in their public notices 
pursuant to Article 12, the basis for their 
conclusion that it was impracticable to 
determine an individual margin of 
dumping for each known exporter or 
producer, the reasons for the specific 
selection made and the reasons why an 
individual margin was not determined 
for any exporter or producer not initially 
selected who submitted the necessary 
information in time for that information 
to be considered during the course of 
the investigation.  
 
 Regarding the proposed requirement for explanations 
concerning limited examination  in public reports, some 
delegations supported the idea, while others considered that it would be costly and could lead to litigation.  
Several delegations observed that such explanations could 
be in a separate report as well as in the public notices themselves.   
6.11 For the purposes of this Agreement, "interested 
parties" shall include: 
 6.11 For the purposes of this Agreement, "interested 
parties" shall include: 
  
(i) an exporter or fo reign producer or the 
importer of a product subject to investigation, or a trade or business 
association a majority of the members 
of which are producers, exporters or importers of such product; 
 
(ii) the government of the exporting 
Member;  and 
 
(iii) a producer of the like product in the 
importing Member or a trade and 
business  association a majority of the 
members of which produce the like product in the territory of the importing 
Member. 
 (i) an exporter or fo reign producer or the 
importer of a product subject to 
investigation,  under consideration  or a 
trade or business association a majority 
of the members of which are producers, exporters or importers of such product; 
 
(ii) the government of the exporting 
Member;  and 
 
(iii) a producer of the like product in the 
importing Member or a trade and 
business  association a majority of the 
members of which produce the like product in the territory of the importing 
Member. 
  
This list shall not preclude Members from allowing 
domestic or foreign parties other than those mentioned 
above to be included as interested parties. 
 This list shall not preclude Members from allowing 
domestic or foreign parties other than those mentioned 
above to be included as interested parties. 
   
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6.12 The authorities shall provide opportunities for 
industrial users of the product under investigation, and for 
representative consumer organizations in cases where the product is commonly sold at the retail level, to provide 
information which is relevant to the investigation 
regarding dumping, injury and causality. 
 6.12 The authorities shall provide opportunities for 
industrial users of the product under 
investigation
consideration , and for representative 
consumer organizations in cases where the product is 
commonly sold at the retail level, to provide information 
which is relevant to the investigation regarding dumping, injury and causality. 
  
6.13 The authorities shall take due account of any 
difficulties experienced by interested parties, in particular small companies [[
 [SMEs] ]] , in supplying information 
requested, and shall provide any assistance practicable.  
[[In particular the authorities shall respond in a timely 
manner to questions for clarifications of the questionnaire, 
and provide assistance in iden tifying the information that 
is needed.]]  
 6.13 The authorities shall take due account of any 
difficulties experienced by interested parties, in particular small companies, in supplying information requested, and 
shall provide any assistance practicable, including by 
responding in a timely manner to requests for clarification 
of questionnaires . 
  
6.14 The procedures set out above are not intended to 
prevent the authorities of a Member from proceeding 
expeditiously with regard to initiating an investigation, 
reaching preliminary or fina l determinations, whether 
affirmative or negative, or from applying provisional or final measures, in accordance w ith relevant provisions of 
this Agreement. 
 6.14 The procedures set out above are not intended to 
prevent the authorities of a Member from proceeding 
expeditiously with regard to initiating an investigation, 
reaching preliminary or fina l determinations, whether 
affirmative or negative, or from applying provisional or final measures, in accordance w ith relevant provisions of 
this Agreement. 
   
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6.15 [[Members shall maintain a facility, open for a 
specified, reasonable period du ring normal working hours, 
where any person can, without  charge or appointment, 
review all non-confidential documents submitted to or 
obtained by the authority in an anti-dumping proceeding.  
Such documents shall be organized in a manner easily 
accessible to any person visiting such facility, and a 
complete index of documents in the possession of the 
authority shall be available to that person to facilitate the 
identification and location of particular documents in the 
file.  It is desirable that su ch documents and indices also 
be available over the Internet .  Members shall also make 
available in this facility a file of all public notices, in 
chronological order, issued pursuant to Article 12, as well 
as copies of any documents submitted to the Committee 
on Anti-Dumping Practices pursuant to Article 16.4  of 
this Agreement.  Members shall permit any non-
confidential document in the facility to be copied at the 
reasonable expense of the person accessing it.  Members 
shall notify the Committee on Anti-Dumping Practices of 
the location, opening hours, and the name and contact 
information of a person re sponsible for facilitating access 
to the facility.]]  
 [See Article 5.4 bis of the Chairman's text.]   
6.16 [[The authorities shall keep a public file 
containing all non-confidential information submitted to 
or obtained by the authority.  The public file shall also 
contain an index of all the documents included in the 
public file and documents not included in the public file 
because of the conf idential nature of the document.  The 
authorities shall decide on a procedure to make the public 
file available to interested parties.]]  
    
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[[Article 6bis  
Group of Independent Experts]]  
   
6bis.1 [[The Committee on Anti-dumping Practices 
shall establish a group of experts composed of five 
investigating authorities’ officials from different 
Members, highly qualified in anti-dumping matters.  
These experts shall serve in their individual capacities and 
not as government representativ es, nor as representatives 
of any organization.  Members shall therefore not give 
them instructions, nor seek  to influence them as 
individuals with regard to matters before the group of  
experts.  The composition of the group shall be 
established following a proposal of the Secretariat.  The 
Secretariat shall act as the secretariat to the group of 
independent experts. ]]    
6 bis.2 [[If a Member considers that the evidence on the 
basis of which an investigation has been initiated against 
its exports does not fulfil the requirements of paragraphs 1 
and 2 of Article 5, or that the investigating authorities 
have not acted in accordance with paragraphs 3, 4, 6 and 8 
of the same Article, such Member may request the 
opinion of the group of independent experts.  The request 
shall be made in writing and shall clearly identify the 
specific issues and alleged violations.]]    
6 bis.3 [[The authorities of the Member which initiated 
such investigation, and those of the exporting Member, 
shall co-operate to the best of their ability with the work 
of such group.]]    
6 bis.4 [[Any information which is confidential, within 
the meaning of paragraph 5 of Article 6, shall be treated 
as such by the group of independent experts and shall not 
be disclosed, even after the gr oup or any of its elements is 
discharged of its functions.]]     
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6 bis.5 [[The group of independent experts shall hold 
one hearing with the parties and issue its opinion within a 
specified deadline [or within Z days/months].  Such 
opinion may be presented before a panel established 
according to Article 17 of th e ADA, although the panel 
may arrive at a different assessment.]]  
   
Article 7  
[[Preliminary Determinations and ]] Provisional Measures  
 Article 7  
Provisional Measures  
  
7.1 Provisional measures may be applied only if: 
 7.1 Provisional measures may be applied only if: 
  
(i) an investigation has been initiated in 
accordance with the provisions of 
Article 5, a public notice has been given to that effect and interested parties have 
been given adequate opportunities to 
submit information and make comments; 
 
(ii) a preliminary affirmative determination 
has been made of dumping and 
consequent injury to a domestic industry;  and 
 
(iii) the authorities concerned judge such 
measures necessary to prevent injury 
being caused during the investigation. 
 (i) an investigation has been initiated in 
accordance with the provisions of 
Article 5 and
, a public notice has been 
given to that effect; and   
 
(ii) interested parties have been given 
adequate opportunities to submit 
information, including responses to 
questionnaires sent in accordance with 
Article 6.1.1,  and make comments;  
 
(iii) a detailed preliminary affirmative 
determination has been made of 
dumping and consequent injury to a domestic industry taking into account 
any responses to questionnaires and any 
other relevant information submitted by 
interested parties ; and 
 
(iiiiv) the authorities concerned judge such 
measures necessary to prevent injury 
being caused during the investigation. 
   
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7.2 Provisional measures may take the form of a 
provisional duty or, preferably, a security - by cash 
deposit or bond - equal to the amount of the anti-dumping duty provisionally estimated, being not greater than the 
provisionally estimated margin of dumping.  Withholding 
of appraisement is an  appr opriate provisional measure, 
provided that the normal duty and the estimated amount of 
the anti-dumping duty be indi cated and as long as the 
withholding of appraisement is subject to the same conditions as other provisional measures. 
 7.2 Provisional measures may take the form of a 
provisional duty or, preferably, a security - by cash 
deposit or bond - equal to the amount of the anti-dumping duty provisionally estimated, being not greater than the 
provisionally estimated margin of dumping.  Withholding 
of appraisement is an  appr opriate provisional measure, 
provided that the normal duty and the estimated amount of 
the anti-dumping duty be indi cated and as long as the 
withholding of appraisement is subject to the same conditions as other provisional measures. 
 
  
7.3 Provisional measures shall not be applied sooner 
than 60 days from the date of initiation of the 
investigation. 
 7.3 Provisional measures shall not be applied sooner 
than 60 days from the date of initiation of the 
investigation. 
  
7.4 The application of provisional measures shall be 
limited to as short a period as possible, not exceeding four 
months or, on decision of the authorities concerned, upon 
request by exporters representing a significant percentage 
of the trade involved, to a period not exceeding six 
months.  When authorities, in the course of an investigation, examine whether a duty lower than the 
margin of dumping would be sufficient to remove injury, 
these periods may be six and nine months, respectively. 
 7.4 The application of provisional measures shall be 
limited to as short a period as possible, not exceeding 
four
six months or, on decision of the authorities 
concerned, upon request by exporters representing a 
significant percentage of the trade involved, to a period 
not exceeding six nine months.  When authorities, in the 
course of an investigation, exa mine whether a duty lower 
than the margin of dumping would be sufficient to remove 
injury, these periods may be six and nine months, 
respectively.  
 See comments on lesser duty in the context of Article 9.1 
of the Chairman's text.   
7.5 The relevant provisions of Article 9 shall be 
followed in the application of provisional measures. 
 7.5 The relevant provisions of Article 9 shall be 
followed in the application of provisional measures. 
   
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7.6 [[Investigating authorities shall make preliminary 
determinations of dumping and consequent injury to a 
domestic industry in all investigations, regardless 
provisional measures are a pplied or not. Preliminary 
determinations shall be made no sooner than 60 days and 
no later than 240 days from the date of initiation of the 
investigation. Any extension of the 30-day period given to 
exporters or foreign producers to answer to the 
questionnaires shall be equally reflected in both limits of 
the above-mentioned period. The investigating authorities 
shall, before a final determination is made, give interested 
parties a reasonable period of  time after the issuance of 
the public notice provided for in Article 12.2 to submit 
any comments or compleme ntary information. The 
preliminary determination shall take place at least 60 days 
before the disclosure provided for in paragraph 9 of 
Article 6.]]  
   
Article 8  
Price Undertakings 
 Article 8  
Price Undertakings   
8.1 Proceedings may61 be suspended or terminated 
without the imposition of provisional measures or 
anti-dumping duties upon receipt of satisfactory voluntary 
undertakings from any exporter to revise its prices or to cease exports to the area in qu estion at dumped prices so 
that the authorities are satisfied  that the injurious effect of 
the dumping is eliminated.  Price increases[[
62]] under 
such undertakings shall not be higher than necessary to 
eliminate the margin of dumping [[determined for the said 
exporter]] .  It is desirable that the price increases be less 
than the margin of dumping if such increases would be 
adequate to remove the injury to the domestic industry. 
______________________ 
 61 The word "may" shall not be interpreted to allow the 
simultaneous continuation of proceedings with the 
implementation of price undertakings except as provided in 
paragraph 4. 
 62 [[Authorities may require that the price of each 
import transactions made pursuant to an undertaking be equal to 
or above the agreed undertaking price.]]  
 8.1 Proceedings may34 be suspended or terminated 
without the imposition of provisional measures or 
anti-dumping duties upon receipt of satisfactory voluntary 
undertakings from any exporter to revise its prices or to cease exports to the area in qu estion at dumped prices so 
that the authorities are satisfied  that the injurious effect of 
the dumping is eliminated.  Price increases under such undertakings shall not be higher than necessary to 
eliminate the margin of dumping.  It is desirable that the 
price increases be less than th e margin of dumping if such 
increases would be adequate to remove the injury to the 
dome stic industry.  
______________________ 
 34 The word "may" shall not be interpreted to allow the 
simultaneous continuation of proceedings with the 
implementation of price undertakings except as provided in 
paragraph 4. 
 See comments on lesser duty  in the context of Article 9.1 
of the Chairman's text.   
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8.2 Price undertakings shall not be sought or 
accepted from exporters unle ss the authorities of the 
importing Member have made a preliminary affirmative determination of dumping and injury caused by such 
dumping [[, or, if no affirmative preliminary 
determination is made, and the investigation is not 
otherwise terminated, unless the authorities have made the 
final disclosure pursuant to paragraph 9 of Article 6.  The 
authorities shall inform the exporters of their right to offer 
price undertakings, as well as of the applicable rules and 
procedures, including relevant time limits, and give them 
adequate opportunity (at least [X] days after the 
affirmative preliminary determination or, in the absence 
of an affirmative preliminary determination, at least [X] 
days after the disclosure pursuant to paragraph 9 of 
Article 6) to make a price undertaking offer .]] 
 8.2 Price undertakings shall not be sought or 
accepted from exporters unle ss the authorities of the 
importing Member have made a preliminary affirmative determination of dumping and injury caused by such 
dumping or, if no affirmative preliminary determination is 
made, until the authorities have made disclosure pursuant 
to paragraph 9 of Article 6.  The authorities shall inform 
exporters of their right to offer undertakings and shall 
allow them an adequate opportunity to do so . 
 Some delegations supported the idea that where no 
preliminary determination was made, price undertakings  
could be offered after disclosure had been made under Article 6.9.  Other delegations, however, considered that 
disclosure came too late in the proceedings and preferred 
mandatory preliminary determinations.   
8.3  [[Acceptance or rejec tion of a price undertaking 
shall be based on its own merits.  Authorities shall publish 
and inform exporters of the standard terms and conditions 
of the price undertakings, and the general factors normally 
used to assess the merits of a price undertaking offer.  
Moreover, the authorities may not require as a condition 
for acceptance of a price undertaking that price 
undertakings be offered by or  accepted from some or all 
other exporters.  Likewise , they may not reject an  
Uu]]ndertaking[[ s]] offered [[on grounds]]  [[need not be 
accepted if the authorities cons ider their acceptance 
impractical, for example, if ]] [[that]]  the number of actual 
or potential exporters is too great, [[ or for other reasons, 
including reasons of general policy ]] [[unless the 
importing Member concerned op erates a prospective duty 
assessment system whereby an ti-dumping duty is assessed 
at entry by reference to a prospective normal value]] .  
[[Should the case arise and where practicable, t T]]he 
authorities shall provide to the exporter the reasons which have led them to consider acceptance of an undertaking as 
inappropriate, and shall[[
, to the extent possible, ]] give the 
exporter an opportunity to make comments thereon [[and 
to reformulate its proposal]] . 
 8.3  Undertakings offered need not be accepted if the 
authorities consider their acceptance impractical, for 
example, if the number of actual or potential exporters is 
too great, or for other reasons, including reasons of general policy.  Should the case arise and where 
practicable, t The authorities shall provide to the exporter 
the reasons which have led them to consider acceptance of an undertaking as inappropriat e, and shall, to the extent 
possible,  give the exporter an opportunity to make 
comments thereon.  
 While most delegations welcomed a mandatory 
explanation and opportunity to comment when price 
undertakings  were rejected, one delegation considered 
that no such opportunity should be required where undertakings are rejected as a matter of general policy.      
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8.4 If an undertaking is accep ted, the investigation of 
dumping and injury shall nevertheless be  completed if the 
exporter so desires or the authorities so decide.  In such a case, if a negative determination of dumping or injury is 
made, the undertaking shall automatically lapse, except in 
cases where such a determination is due in large part to the existence of a price undert aking.  In such cases, the 
authorities may require that an undertaking be maintained 
for a reasonable period consistent with the provisions of this Agreement.  In the event that an affirmative 
determination of dumping and injury is made, the 
undertaking shall continue consistent with its terms and the provisions of this Agreement. 
 8.4 If an undertaking is accep ted, the investigation of 
dumping and injury shall nevertheless be  completed if the 
exporter so desires or the authorities so decide.  In such a case, if a negative determination of dumping or injury is 
made, the undertaking shall automatically lapse, except in 
cases where such a determination is due in large part to the existence of a price undert aking.  In such cases, the 
authorities may require that an undertaking be maintained 
for a reasonable period consistent with the provisions of this Agreement.  In the event that an affirmative 
determination of dumping and injury is made, the 
undertaking shall continue consistent with its terms and the provisions of this Agreement. 
 
  
8.5 Price undertakings may be suggested by the 
authorities of the importing Member, but no exporter shall 
be forced to enter into such undertakings.  The fact that 
exporters do not offer such undertakings, or do not accept 
an invitation to do so, shall in no way prejudice the 
consideration of the case.  However, the authorities are free to determine that a threat of injury is more likely to 
be realized if the dumped imports continue. 
 8.5 Price undertakings may be suggested by the 
authorities of the importing Member, but no exporter shall 
be forced to enter into such undertakings.  The fact that 
exporters do not offer such undertakings, or do not accept 
an invitation to do so, shall in no way prejudice the 
consideration of the case.  However, the authorities are free to determine that a threat of injury is more likely to 
be realized if the dumped imports continue. 
   
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8.6 Authorities of an importing Member may require 
any exporter from whom an undertaking has been 
accepted to provide periodically  information relevant to 
the fulfilment of such an undertaking and to permit 
verification of pertinent data.  In case of violation of an 
undertaking, the authorities of the importing Member may take, under this Agreement in conformity with its 
provisions, expeditious actions which may constitute 
immediate application of provisional measures using the best information available.  In such cases, definitive duties 
may be levied in accordan ce with this Agreement on 
products  entered for consumption not more than 90 days before the application of such provisional measures, 
except that any such retro active assessment shall not 
apply to imports entered before the violation of the undertaking.  [[However, the authorities shall exercise 
their  decision to revoke a price undertaking with special 
care.  Prior to revocation of a price undertaking, the 
authorities of the importing Member shall provide the 
exporter concerned an opportunity to comment.  A price 
undertaking may not be revoked on grounds of 
inadvertent errors, non-complia nce for reasons outside the 
control of the exporter, or for minor inconsistencies.]]     
 8.6 Authorities of an importing Member may require 
any exporter from whom an undertaking has been 
accepted to provide periodically  information relevant to 
the fulfilment of such an undertaking and to permit 
verification of pertinent data.  In case of material violation 
of an undertaking, the authorities of the importing Member may take, under this  Agreement in conformity 
with its provisions, expeditious actions which may 
constitute immediate application of provisional measures using the best information available.
35  In such cases, 
definitive duties may be levi ed in accordance with this 
Agreement on products  entered for consumption not more than 90 days before the application of such 
provisional measures, except that any such retroactive 
assessment shall not apply to imports entered before the violation of the undertaking. 
______________________ 
 35 Without prejudice to the right to take expeditious 
actions, the authorities shall inform the exporter if they consider 
that there has been a material violation of the undertaking, and 
shall provide the exporter an opportunity to comment.   
 Regarding the proposal that authorities could take 
expeditious action only in the case of a material  violation 
of an undertaking , some delegations were supportive.  
However, other delegations were concerned that the term 
"material" was not clearly defined, with one delegation 
observing that undertakings shou ld be strictly enforced as 
a series of minor breaches could be major.  
8.7 [[An exporter subject to a price undertaking shall 
have the right to request an adjustment of the minimum 
price stated in the underta king if there are changed 
circumstances.]]  
   
Article 9  
Imposition and Collection of Anti-Dumping Duties  
 Article 9  
Imposition and Collection of Anti-Dumping Duties   
9.1 [[(a)]]  The decision whether or not to impose 
an anti-dumping duty in cases where all requirements for 
the imposition have been fulfilled, [[ and the decision 
whether the amount of the anti -dumping duty to be 
imposed shall be the full margin of dumping or 
less,]][[is are a]] decision[[ s]] to be made by the authorities 
of the importing Member.[[63]]  [[ [[While]]  it is desirable 
the imposition be permissive in the territory of all 
Members[[, any duty imposed shall be less than the 
margin of dumping to the extent that such lesser duty is 9.1 The decision whether or not to impose an 
anti-dumping duty in cases where all requirements for the 
imposition have been fulfilled, and the decision whether the amount of the anti-dumping duty to be imposed shall 
be the full margin of dumping or less, are decisions to be 
made by the authorities of the importing Member.  It is 
desirable that the imposi tion be permissive in the territory 
of all Members, and that the duty be less than the margin 
if such lesser duty would be adequate to remove the injury 
to the domestic industry.   Each Member whose national Participants were sharply divided on the desirability of a 
possible procedure for ta king due account of the 
representations of domestic interested parties  when 
deciding whether to impose a duty and if so whether to 
impose that duty at the full margin of dumping or less.  
Some considered that the proposed procedure would impinge on Members' sovereignty, would be costly and 
time-consuming, and must be removed.  Others welcomed 
such a procedure and sought language to further clarify 
and strengthen the procedure.  In this regard, a Working  
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adequate to remove the injury to the domestic industry. 
The provisions of Annex V shall be followed in 
determining the level of the lesser duty adequate to 
remove the injury to the domestic industry.]]  [[It is 
desirable that the imposition be permissive in the territory 
of all Members, and that the duty be less t han the margin 
if such lesser duty would be adequate to remove the injury 
to the domestic industry.  ]][[However, the amount of the 
anti-dumping duty shall not exceed the margin of 
dumping as established under Article 2 or the injury 
margin, whichever is lower. For purposes of this 
Agreement, the term “injury margin” shall be interpreted 
to mean the margin calculated in accordance with the 
principles set out in Annex IV to this Agreement.]] ]] [[It 
is desirable that the imposition be permissive in the territory of all Members[[.  Where importers and exporters 
have cooperated with the auth ority in its investigation,]] 
[[, and that ]]the duty [[shall]]  be less than the margin if 
such lesser duty would be adequate to remove the injury 
to the domestic industry.]]  [[ [[While  Ii]]t is desirable that 
the imposition be permissive in the territory of all 
Members, [[any]][[ and that the ]] duty [[imposed shall]]  be 
less than the margin [[of dumping]]  if such lesser duty 
[[is]] [[ would be ]] adequate to remove the injury [[caused 
by the dumped imports]]  to the domestic industry[[, but in 
no event the duty may exceed the full margin of dumping.  
The provisions of Annex III shall be observed in 
determining the level of the lesser duty adequate to 
remove the injury to the domestic industry]].]] [[ It is 
desirable that the imposition be permissive in the territory 
of all Members, and that the duty be less than the margin 
if such lesser duty would be adequate to remove the injury to the domestic industry[[,
 and that a measure not be 
imposed if it is not in the interest of the importing 
Member to do so.]] ]]  
______________________ 
 63 [[In cases where margins of  dumping are established 
by comparing selected normal values and export prices on a 
transaction-to-transaction basis, the margins of dumping so 
obtained shall only be used to  establish the anti-dumping duty 
applicable to those selected types of the product under 
consideration.]]  legislation contains provisions on anti-dumping measures 
shall establish procedures in its laws or regulations36  t o  
enable its authorities, in making such decisions in an 
investigation initiated pursuant to Article 5, to take due 
account of representations made  by domestic interested 
parties37 whose interests might be affected by the 
imposition of an anti-dumping duty.38  The application of 
these procedures, and decisions made pursuant to them, 
shall not be subject to dispute settlement pursuant to the 
DSU, Article 17 of this Agreement or any other provision 
of the WTO Agreement.  
______________________  36 Each such Member shall publish those procedures 
and shall notify them to the Committee pursuant to Article 18.5.  
 
 37 For the purpose of this paragraph, the term 
"domestic interested parties" sha ll include industrial users of the 
imported product under considera tion and of the domestic like 
product, suppliers of inputs to th e domestic industry and, where 
the product is commonly sold at th e retail level, representative 
consumer organizations.  
  38 Decisions taken pursuant to  these procedures are not 
subject to the judicial review requirements of Article 13.  Paper was submitted,* which proposed, inter alia , to 
require authorities to apply the procedures in individual 
proceedings, to clarify that the requirement for such a procedure would apply to reviews pursuant to Article 11, 
to broaden the scope of the "domestic interested parties 
entitled to participate, and to delete the language exempting decisions under the procedures from the 
judicial review requirements under Article 13.  
Delegations discussed the issue of the extent to which dispute settlement should apply in the context of this 
procedure, and whether clarity on what was and was not 
subject to dispute settlement was possible.  Some delegations remarked that under their national legal 
systems it was not possible to  exclude judicial review, 
while others pointed out that the Chairman's text merely allowed, but would not require, Members to exclude 
judicial review.  
 On lesser duty , many delegations reiterated their strong 
desire that a mandatory lesser duty rule be included.  One 
delegation submitting a Working Paper, which was 
subsequently circulated as TN /RL/W/224 at the request of 
thirteen delegations, providing that imposition of an anti-dumping duty "shall be permissive" and that the duty 
"shall be less than the margin of dumping if such lesser 
duty would be adequate to re move the injury...."  Other 
delegations welcomed the non-inclusion of such a rule in 
the draft text, with one delegation noting that it was not 
practically possible to calculate an injury margin.  Many delegations also objected to the removal of language 
regarding the desirability of applying a lesser duty, noting 
that no Member had requested the removal of this language.  Various delegations emphasized the view that 
public interest and lesser duty  are distinct concepts and 
should not be traded off against each other.  
*  A submission building on this paper was subsequently 
circulated as TN/RL/W/222 at the request of nine delegations. 
  
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 (b) [[Each Member shall establish 
procedures in its domestic law to allow its authorities to 
take due account of representations made by domestic 
interested parties64 whose interests might be adversely 
affected by the imposition of an anti-dumping duty.65]] 
______________________ 
 64 [[For the purpose of this paragraph, the term 
"domestic interested parties" shall include consumers and 
industrial users of the imported product subject to 
investigation.]]  
 65 [[The determination of whether or not the initiation 
of these procedures is warranted in the circumstances of a 
particular case is to  be made by the authorities of the importing 
Member.]]  
   
9.1 bis [[Each Member shall establish appropriate 
procedures in its law to allow its authorities to inquire into 
whether the imposition of an anti-dumping duty or the 
imposition of such a duty in the full amount would not be 
in the public interest.  These procedures shall require the 
authorities to take due account of representations made by 
any domestic party whose intere sts may be affected by the 
imposition of the anti-dumping duty, including, but not 
limited to, industrial users of the product under 
consideration, representative consumer organizations, and 
the domestic competition law authorities of the Member.  
In conducting such an inquiry, the authority concerned 
should consider all relevant information, including those 
factors set out in Annex III to this Agreement.  As a result 
of any such inquiry, the authorities may decide to 
eliminate or reduce the level of duties that would 
otherwise be applied. For greater clarity, public interest 
decisions cannot give rise to claims of violation under the 
DSU.]]  
   
 9.1 .1 [[In this regard, the importing Member 
shall take into consideration  
representations by relevant persons66 on 
how they may be affected economically 
by an anti-dumping measure67. Relevant 
persons shall be given no less than [20] 
days to make written representations68.     
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Paragraphs 1 (except 1.1 and 1.3), 2 to 
5, 9 and 13 of Article 6 apply to the 
process under Article 9.1.1 mutatis 
mutandis, and “relevant persons” shall 
also be regarded as “interested parties” 
for this purpose.  Before a definitive 
anti-dumping measure is imposed69 or 
continued, as the case may be, the 
importing Member shall give public 
notice, in sufficient detail, of the 
representations received and any 
analysis or conclusion associated with 
them.  This Article 9.1.1 applies to the 
original imposition of an anti-dumping 
measure, and to a review of the measure 
under Article 11 where the review 
involves an examination of injury.]]  
_____________________ 
 66 [["Relevant persons” shall mean the traders and 
industrial users of the product under consideration in the 
importing Member, trade associations thereof and, where the 
product is commonly sold at the retail level, re presentative 
consumer organizat ions in the importing Member.]]  
 67 [[Relevant persons may comment on, inter alia , 
possible effects of the anti-dumping measure on the following:  
(i) costs for the industrial us ers, consumers, importers, 
wholesalers and retailers of th e product under consideration;  
(ii) competition in the market of the product under 
consideration in the importing Member;   
(iii) choice or availability of like products at 
competitive prices for industrial users and 
consumers;  
 (iv) profitability and co mpetitiveness of industrial 
users, importers, wholesalers an d retailers of the product under 
consideration.]]  
 68 [[The importing member shall issue a public notice 
and separately notify known releva nt persons of this right.  
Moreover, for the purpose of this provision, the rights of 
interested parties under Article 6 apply to relevant persons.]]  
 69 [[Nothing in this sentence shall prevent a Member 
from imposing a definitive anti-dumping measure before 
completing the process in Article 9.1.1 provided that the 
measure is suspended until co mpletion of the process.]]  
  
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9.2 When an anti-dumping duty is imposed in 
respect of any product, such anti-dumping duty shall be 
collected in the appropriate amounts in each case, on a non-discriminatory basis on imports of such product from 
all sources found to be dumped and causing injury, except 
as to imports from those sources from which price undertakings under the terms of this Agreement have been 
accepted.  The authorities sh all name the supplier or 
suppliers of the product concerned.  If, however, several suppliers from the same country are involved, and it is 
impracticable to name all these suppliers, the authorities 
may  name the supplying country concerned.  If several suppliers from more than one country are involved, the 
authorities may name either all the suppliers involved, or, 
if this is impracticable, all the supplying countries 
involved. 
 9.2 When an anti-dumping duty is imposed in 
respect of any product, such anti-dumping duty shall be 
collected in the appropriate amounts in each case, on a non-discriminatory basis on imports of such product from 
all sources found to be dumped and causing injury, except 
as to imports from those sources from which price undertakings under the terms of this Agreement have been 
accepted.  The authorities sh all name the supplier or 
suppliers of the product concerned.  If, however, several suppliers from the same country are involved, and it is 
impracticable to name all these suppliers, the authorities 
may  name the supplying country concerned.  If several suppliers from more than one country are involved, the 
authorities may name either all the suppliers involved, or, 
if this is impracticable, all the supplying countries 
involved. 
  
9.3 The amount of the anti-dumping duty shall not exceed [[ [[the lesser of the injury margin as established 
under Annex V or]]  the margin of dumping as established 
under Article 2]] [[ [[the lesser of]] the margin of 
dumping as established under Article 2 or the injury 
margin as established under Annex III]].]]  [[For the 
purpose of this paragraph, de minimis margins of 
dumping as defined in paragraph 8 of Article 5 shall be 
treated as zero margins of du mping.  Upon request, the 
authorities shall establish the margin of dumping based 
upon normal values contemporaneous with the export 
transaction(s).  In cases wher e the number of exporters, 
producers, importers, or transactions involved is so large 
as to make such a determination impracticable, the 
authorities may limit their ex amination in accordance with 
paragraph 10 of Article 6.  For purposes of this provision, 
in determining whether the amount of the anti-dumping 
duty exceeds the margin of dumping, the authorities may 
calculate the margin of dumping on the basis of an 
individual export transaction or multiple export 
transactions.  The authorities are not required to offset the 
results of a comparison for any transaction for which the 
export price is greater than the normal value against the 
results of a comparison for any transaction for which the 
export price is less than the normal value.70]] 9.3 The amount of the anti-dumping duty shall not 
exceed the margin of dump ing as established under 
Article 2.  In this regard , each Member shall establish 
procedures39 to ensure a prompt refund, upon request, 
where the duty or security collected exceeds the actual 
margin of dumping.40  In this respect, the following 
subparagraphs shall apply.  
______________________ 
 39 These procedures shall be set forth in the Member's 
laws, regulations or published ad ministrative procedures and 
shall be notified to the Committee pursuant to Article 18.5.  
 40 The actual dumping margin determined by the 
authorities shall be based on th e relevant updated normal value 
and export price.  
 Many delegations supported strengthened obligations 
regarding duty assessment , including the explicit 
obligation to establish duty assessment procedures, to 
publish such procedures, to allow exporter requests on 
behalf of importers, and to subject such proceedings to the requirements of Article 12.  Some delegations would go 
further and apply Article 6 rules on evidence to such 
proceedings.  It was also suggested that the results of such proceedings should form the basis for new duty rates, and 
that the rules regarding limited examination should apply 
to duty assessment proceedings.  Finally, a few delegations considered that establishment of a duty 
assessment system would be burdensome and should not 
be required at all. 
 
Concerns were also raised about the reference to "security ", which in the view of some delegations would 
improperly recast duties collected pursuant to definitive 
measures as security, thus exempting those duties from 
the requirements of Articles 9.1, 9,2 and 9.3 chapeau  that 
the duties collected not exceed the margin of dumping 
established pursuant to Article 2.  A proposal by three delegations to delete the reference to security was 
subsequently circulated in  TN/RL/GEN/157/Rev.1. 
    
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_____________________ 
 70 [[The rules on evidence and procedure in Article 6 
and the public notice and explanati on requirements in Article 12 
shall be applied mutatis mutandis  in the context of proceedings 
pursuant to Article 9.3 and its sub-paragraphs.]]  
   
  9.3.1 New A determination of final liability for 
payment of anti-dumping duties, or of 
whether a duty in excess of the margin 
of dumping has been paid, may be made 
on the basis of (i) individual import 
transactions, (ii) all import transactions 
by an importer from an exporter or 
producer, or (iii) all import transactions 
from an exporter or producer.  In 
determining the existence or amount of 
liability for any duty, or the entitlement 
to any refund, the authorities may 
disregard the amount by which the 
export price exceeds the normal value 
for any comparisons.  
 See comments on zeroing in the context of Article 2.4.2 
of the Chairman's text. 
9.3.1 When the amount of the anti-dumping 
duty is assessed on a retrospective basis, the  determination of the final liability 
for payment of anti-dumping duties 
shall take place as soon as possible, normally within 12 months, and in no 
case more than 18 months, after the date 
on which a request for a final 
assessment of the amount of the 
anti-dumping duty has been made.
71  
Any refund shall be made promptly and 
normally in not more  than 90 days 
following the determination of final liability made pursuant to this 
sub-paragraph.  In any case, where a 
refund is not made within 90 days, the authorities shall provide an explanation 
if so requested.  [[The results of any 
refund proceeding pursuant to this 
provision shall provide the basis for the 9.3.1 When the amount of the anti-dumping 
duty is assessed on a retrospective basis, the  determination of the final liability 
for payment of anti-dumping duties 
shall take place as soon as possible, normally within 12 months, and in no 
case more than 18 months, after the date 
on which a request for a final 
assessment of the amount of the 
anti-dumping duty has been made.
41  
Any refund shall be made promptly and 
normally in not more  than 90 days 
following the determination of final liability made pursuant to this 
sub-paragraph.  In any case, where a 
refund is not made within 90 days, the authorities shall provide an explanation 
if so requested. 
______________________ 
 41 It is understood that the observance of the   
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anti-dumping duty rate imposed on 
imports following the completion of 
such proceeding.]]  
_____________________ 
 71 It is understood that the observance of the 
time-limits mentioned in  this subparagraph and in subparagraph 
3.2 may not be possible where the product in question is subject 
to judicial review proceedings. 
 time-limits mentioned in  this subparagraph and in subparagraph 
3.2 may not be possible where the product in question is subject 
to judicial review proceedings.  
 
9.3.2 When the amount of the anti-dumping 
duty is assessed on a prospective basis, provision shall be made for a prompt 
refund [[
, upon request, ]] of any duty 
paid in excess of the margin of dumping [[determined in accordance with Article 
9.3]] .  A refund of any such duty paid in 
excess of the[[ actual  ]] margin of 
dumping [[determined in accordance 
with Article 9.3]]  shall normally take 
place within 12 months, and in no case 
more than  18 months, after the date on 
which a request [[ for a refund, duly 
supported by evidence, ]][[pursuant to 
this provision]]  has been made[[ by an 
importer of the product subject to the 
anti-dumping duty ]].  The refund 
authorized should normally be made 
within 90 days of the above-noted  decision.  [[The results of any refund 
proceeding pursuant to this provision 
shall provide the basis for the anti-
dumping duty rate imposed on imports 
following the completion of such 
proceeding.]]  
 9.3.2 When the amount of the anti-dumping 
duty is assessed on a prospective basis, provision shall be made for a prompt 
refund, upon request, of any duty paid 
in excess of the margin of dumping.  A refund of any such duty paid in excess 
of the actual margin of dumping shall 
normally take place within 12 months, and in no case more than  18 months, 
after the date on which a request for a 
refund, duly supported by evidence, has 
been made by an importer of the 
product subject to the anti-dumping duty, or by an exporter on behalf of, and 
in association with, one or more 
importers .  The refund authorized 
should normally be made within 90 days 
of the above-noted  decision. 
 With respect to refund requests, concerns were raised by 
some delegations about the possibility of requests being submitted by exporters on behalf of importers.   
9.3.3 In determining whether and to what 
extent a reimbursement should be made 
when the export price is constructed in accordance with paragraph 3 of 
Article 2, authorities should take 
account of any change in normal value, 
any change in costs incurred between 9.3.3 In determining whether and to what 
extent a reimbursement should be made 
when the export price is constructed in accordance with paragraph 3 of 
Article 2, authorities should take 
account of any change in normal value, 
any change in costs incurred between   
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importation and resale, and any 
movement in the resale price which is 
duly reflected in subsequent selling prices, and should calculate the export 
price with no deduction for the amount 
of anti-dumping duties paid when conclusive evidence of the above is 
provided. 
 importation and resale, and any 
movement in the resale price which is 
duly reflected in subsequent selling prices, and should calculate the export 
price with no deduction for the amount 
of anti-dumping duties paid when conclusive evidence of the above is 
provided. 
 
 9.3.4 [[In determining the final liability for 
payment of anti-dumping duties or 
whether and to what extent a 
reimbursement should be made, the 
authorities may rely on the margin of 
dumping calculated on the basis of the 
export transactions relating to the 
importer concerned.]]  
 9.3.4 In the event that monies paid or 
deposited are refunded pursuant to this 
paragraph, the authorities shall pay a 
reasonable amount of interest on the 
monies refunded.  
 Numerous delegations objected to the proposed 
requirement to pay interest , with several noting that 
agencies other than the investigating authorities would be 
implicated.  Other delegations considered it appropriate that interest be paid where the authorities refunded monies 
paid or deposited.   
9.4 When the authorities have limited their 
examination in accordance w ith the second sentence of 
paragraph 10 of Article 6, [[they may apply]]  an[[ y]] 
anti-dumping duty[[, at a single all others 
rate,]][[ applied ]] to [[all other]] imports from exporters or 
producers [[from the country under investigation and]] not 
included in the examination.  [[That rate]] shall not 
exceed:  9.4 When the authorities have limited their 
examination in accordance w ith the second sentence of 
paragraph 10 of Article 6, any anti-dumping duty applied 
to imports from exporters or producers not included in the 
examination shall not exceed: 
  
(i) [[the lesser of the weighted average 
injury margin as established under 
Annex V or]]  the weighted average [[of 
the]]  margin[[s]]  of dumping [[or 
margins of injury]]  established [[and 
applied to determine the level of anti-
dumping duty]]  with respect to the 
selected exporters or producers or, 
 
(ii) where the liability for payment of 
anti-dumping duties is calculated on the basis of a prospective normal value, the 
difference between[[:
 the weighted 
average normal value of the selected (i) the weighted average margin of 
dumping established with respect to the 
selected exporters or producers or, 
 
(ii) where the liability for payment of 
anti-dumping duties is calculated on the 
basis of a prospective normal value, the 
difference between the weighted average normal value of the selected 
exporters or producers and the export 
prices of exporters or producers not individually examined,   
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exporters or producers and the export 
prices of exporters or producers not 
individually examined, ]] 
 
  [[(a) weighted average of the lesser 
of the normal value of the 
selected exporters or producers 
or the NIP as established under 
Annex III, and  
 
  (b) the export pr ices (import price 
as the case may be) in relation 
to the exporters or producers 
that were not individually 
examined,]]  
 
provided that the authorities shall disregard for the 
purpose of this paragraph any zero and de minimis  
margins and margins established under the circumstances 
referred to in paragraph 8 of Article 6.  The authorities 
shall apply individual duties or normal values to imports from any exporter or producer not included in the 
examination who has provided the necessary information 
during the course of the investigation, as provided for in subparagraph 10.2 of Article 6. 
 provided that the authorities shall disregard for the 
purpose of this paragraph any zero and de minimis  
margins and margins established under the circumstances 
referred to in paragraph 8 of Article 6.  The authorities 
shall apply individual duties or normal values to imports from any exporter or producer not included in the 
examination who has provided the necessary information 
during the course of the investigation, as provided for in subparagraph 10.2 of Article 6. 
  
9.5 If a product is subject to anti-dumping duties in 
an importing Member, the authorities shall promptly carry 
out a review for the purpose of determining individual 
margins of dumping for any exporters or producers in the 
exporting country in question who have not exported the product to the importing Member during the period of 
investigation, provided that  these exporters or producers 
can show that they are not re lated to any of the exporters 
or producers in the exporting country who are  subject to 
the anti-dumping duties on the product[[, and that they 
have exported the product in commercially representative 
quantities, depending on the type of product or market 
concerned.  The investigating authority's assessment of 
whether the quantities exported are commercially 
representative shall take in to account:  (a) whether the 9.5 If a product is subject to anti-dumping duties in 
an importing Member, the authorities shall promptly carry 
out a review for the purpose of determining individual 
margins of dumping for any exporters or producers in the 
exporting country in question who have not exported the product to the importing Member during the period of 
investigation, provided that  these exporters or producers 
can show that (a) 
they are not related to any of the 
exporters or producers in the exporting country who are  
subject to the anti-dumping duties on the product, and (b) 
they have engaged in bona fide  sales in commercial 
quantities into the importing Member (as evidenced by 
shipments of the product or by a contract for sale pursuant 
to which such shipments will occur within six months of 
the date upon which the contract was concluded) . Delegations generally were open to discuss the issue of 
new shipper reviews  on the basis of the Chairman's text, 
but had questions about various of the concepts in the text. 
 
Many delegations supported the requirement that there be "bona fide sales in commercial quantities", with one 
delegation advocating the possibility to sanction abuse of 
new shipper reviews.  Some delegations however were of the view that this requirement needed required further 
clarification. One delegation noted that the important 
thing was the volume of sales, and not the number of transactions, and proposed in a non-paper to specify that 
sales were in "commercial quantities" if they were in a 
quantity that formed the basis for the determination of export price or normal value in the original investigation.  
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volumes can be considered as ordinary for the product 
concerned and for the importer's market; (b) whether the 
exports are subject to cyclical variations or seasonality; 
(c) whether the number of units corresponds to ordinary 
sales through normal marketing channels, and not 
samples; (d) whether such vo lumes are marketed normally 
in international markets]] .  [[ Such a review [[may not 
extend over more than [XX months] following the date of 
the request from the export er concerned.  In this 
connection, and in conformity with the provisions of 
Article 6.7 and Annex I, the investigating authorities may 
carry out on-the-spot investigations in the territory of the 
country of the applicant for the review.]] ]]  [[Such a 
review shall be initiated and carried out on an accelerated 
basis, compared to normal duty assessment and review proceedings in the importing Member[[, and shall be 
completed within no more than 12 months]] [[shall in no 
case exceed nine months]] [[shall be completed within 9 
months of the request for the review.  An extension of up 
to 3 months may be granted upon the request of the 
exporters or producers]].]]  [[Within [ X ] months after the 
initiation of such a review, the authority shall make a 
threshold determination whether the exporter or producer 
has shown that it is not related to any of the exporters or 
producers in the exporting co untry who are subject to the 
anti- dumping duties on the product, and has shown that it 
has engaged in bona fide commercial sales to the 
importing Member (examining such factors as normal 
commercial quantities, channels and methods of 
distribution, and the timing, pricing, terms and process of 
sales).  If the authority determines that the exporters or 
producers have so shown, nN ]]o anti-dumping duties shall 
be levied on imports from such exporters or producers 
[[for the remainder of the review]][[while the review is 
being carried out ]].  The authorities may, however, 
withhold appraisement and/or request guarantees to 
ensure that, should such a review result in a determination 
of dumping in respect of such producers or exporters, anti-dumping duties can be levied  retroactively to the date 
of the initiation of the review.  [[Similarly, if the anti-
dumping duty resulting from the review of the exporter is 
less than the duty paid by the exporter prior to the date of  Other delegations did not consider that a "commercial quantities" requirement was necessary at all. 
 With respect to time-frames and process, some 
delegations were concerned that the total nine months for 
the review might be too short, especially as there might be a need to align new shipper reviews with other 
proceedings, as was the three-month period for the 
initiation decision.  A period of one year was suggested.  Others considered that the time-frames, and in particular 
the three-month period for initiation, might be too long, 
with one delegation proposing in a non-paper a period of 60 days.  Other delegations questioned the necessity for a 
two-phase system, which was inconsistent with the need 
for an accelerated review.  
A number of delegations advocated that new shipper 
reviews also be made available to exporters or producers that did not benefit from individual margins as a result of 
the operation of Article 6.10.  
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initiation of the review, the importing Member shall 
reimburse the difference to the exporter.  In the contrary 
case, the importing Member may not charge the difference 
to the exporter.  The provision of paragraph 8 of Article 5 
regarding de minimis margins of dumping shall apply to 
reviews carried out under this paragraph.]]  
 
  9.5.1 A decision whether or not to initiate a 
review under this paragraph shall be 
taken within three months of receipt of a 
duly substantiated request, during which 
period the authorities may take such 
steps as they deem a ppropriate to verify 
the accuracy and adequacy of the 
information contained in the request.  
The applicant and the domestic industry 
shall be advised of the initiation of any 
review and a public notice of the 
initiation shall also be made.  The Such 
a review shall be initiated and carried 
out on an accelerated basis, compared to normal duty assessment and review 
proceedings in the importing Member, 
and shall in any event be concluded 
within nine months of receipt of a duly 
substantiated request .   
  
  9.5.2 No anti-dumping duties shall be levied 
on imports from such exporters or 
producers while the review is being 
carried out.  The authorities may, however, withhold appraisement and/or 
request guarantees to ensure that, should 
such a review result in a determination of dumping in respect of such producers 
or exporters, anti-dumping duties can be 
levied retroactively to the date of the initiation of the review.  Upon 
collection of any such duties due, the 
authority shall promptly release any 
guarantee or bond.    
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9.6 [[The provisions of Article 2 shall apply to all 
determinations pursuant to paragraphs 3 and 5 of this 
Article.  The authorities shall normally use the same 
methodologies consistently in determining a margin of 
dumping in an investigation initiated pursuant to Article 5, 
and in subsequent determinations pursuant to paragraph 3. 
If the authorities use a different methodology in 
subsequent determinations pursuant to paragraph 3, the 
parties concerned shall be provided with an opportunity to 
make comments, and a full explanation shall be given 
why such different methodology was used.]]  
   
9.7 [[Notwithstanding any other provision of this 
Agreement or of Article VI of the GATT 1994, the 
authorities may impose an anti-dumping duty with respect 
to a product that was not within the product under 
consideration in an investigation that resulted in 
imposition of a duty, if the authorities determine, pursuant 
to a review carried out in accordance with this paragraph, 
that subsequent to the initiation of the investigation, 
imports of the product under consideration have been 
supplanted, in whole or in part,  
 [See Article 9 bis of the Chairman's text.]  
(a) by imports from the country subject to the 
duty of another product that has the same general 
characteristics and uses as the product under 
consideration,  
   
(b) by imports of parts or unfinished forms of the 
product under consideration produced in the 
country subject to the duty, where only a minor 
or insignificant process of completion or 
assembly is necessary to convert the parts or 
unfinished forms into the product under 
consideration, and the cost of the parts or 
unfinished forms makes up a significant portion 
of the total cost of production of the completed 
product, or    
(c) by imports of the product under consideration 
from a third country that have been completed or    
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assembled from parts or unfinished forms 
produced in the country subject to the duty if 
only a minor or insignificant process of 
completion or assembly is necessary to convert 
the parts or unfinished forms into the product 
under consideration, and the cost of the parts or 
unfinished forms makes up a significant portion 
of the total cost of production of the completed 
product.   
 
The provisions of Article 6 of the ADA regarding 
evidence and procedure shall apply to any review carried 
out under this paragraph.]]  
   
 9.7.1 [[Factors pertinent to a consideration of 
whether imports of the product under 
consideration have been supplanted by 
imports of another product, by imports 
of parts or unfinished forms, or by 
imports of the product completed or 
assembled in a third country for 
purposes of this paragraph may include 
the pattern of trade, the timing of any 
changes in such patterns, and any 
association or compensatory 
arrangement between the exporter and 
the importer or a third party.  No one or 
several of these factors can necessarily 
give decisive guidance.]]  
   
 9.7.2 [[Factors pertinent to a consideration of 
whether a product has the same general 
characteristics and uses as the product 
under consideration for purposes of this 
paragraph may include general physical 
characteristics, purchaser expectations, 
end uses, channels  of trade, the 
interchangeability of the products, the 
processes, facilities and employees used 
in production of the products, and the 
manner in which the products are 
advertised and displayed.  No one or    
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several of these factors can necessarily 
give decisive guidance.]]  
 
 9.7.3 [[Factors pertinent to a consideration of 
whether a process of completion or 
assembly is minor or insignificant for 
purposes of this paragraph may include 
the level of investment, research and 
development related to the completion 
or assembly, the nature and cost of the 
production process and the extent of the 
facilities used for completion or 
assembly.  No one or several of these 
factors can necessarily give decisive 
guidance.]]  
   
9.8 [[The provisions of Article 2 shall apply to all 
determinations pursuant to paragraphs 3 and 5 of this 
Article.  The authorities shall normally use the same  
methodologies consistently in determining a margin of 
dumping in an investigation initiated pursuant to Article 5 
and in subsequent determinations pursuant to paragraph 3.   
If the authorities use a different methodology, the parties 
concerned shall be provided with opportunities to make 
comments, and a full explanation shall be given why such 
different methodology was used.]]  
   
9.9 [[The provisions of Article 6 shall apply to all 
determinations pursuant to paragraphs 3 and 5 of this 
Article.]]  
   
Article 9bis  
Public Interest  
 Article 9bis  
Circumvention   
9bis.1  [[Before applying a definitive anti-dumping 
measure, authorities shall provide full opportunity for 
persons who may be affected by the measure to comment 
on the matter.  To this end, authorities shall give public 
notice and separate notifications72 to known relevant 
persons73, and shall give relevant persons at least [  ] days 
to comment74 as referred to in paragraph 2 below. ]]  9bis.1 The authorities may extend the scope of 
application of an existing definitive anti-dumping duty to 
imports of a product that is not within the product under 
consideration from the country subject to that duty if the 
authorities determine that such imports take place in 
circumstances that constitute circumvention of the 
existing anti-dumping duty.42 On anti-circumvention , the Group was sharply divided 
on whether or not specific rules on anti-circumvention 
should be included in the text , and on the adequacy of the 
proposed rules contained in the Chairman's text.  Some 
delegations considered that no rules on anti-circumvention 
should be included, as anti-circumvention was in their 
view contrary to the spirit and idea of the current anti- 
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______________________ 
 72 [[Including by electronic means.]]  
 73 [[For the purpose of this Article, the term "relevant 
persons" refers to interested pa rties, wholesalers, retailers, 
industrial users and, where the product is commonly sold at the 
retail level, representative consumer organizations.  Where the 
number of traders/producers involved is particularly high, 
separate notification may inst ead be provided only to the 
relevant trade associations or to the authorities of the exporting 
Member (in the case of exporters).]]  
 74 [[Including providing information and views.]]  
 
 ______________________ 
 42 Throughout this Article anti-dumping duty will be 
understood as duty or undertaking.  
 dumping rules and would have a negative effect on trade 
and investment.*  These delegations believed that the only 
appropriate reaction to perceived circumvention was to seek initiation of a new investigation.  Other delegations 
considered that anti-circumvention was a reality, and that 
rules on anti-circumvention were necessary to achieve some degree of harmonisation among the procedures used 
by different Members.   
 With respect to the specific rules proposed in the 
Chairman's text, some delegations considered that the 
proposed text allowed too much discretion  to 
investigating authorities or reach ed too broadly.  In this 
respect, some delegations considered that findings of 
dumping, injury and causation should be required.  It was also suggested that anti-circumvention measures should 
be company-specific  rather than country-wide, and that 
the provisions regarding slightly modified product were too loose.  Others considered that the type of rules in the 
Chairman's text were a good basis for further work.  Yet 
other delegations considered that while anti-
circumvention rules were needed, the proposed rules were 
so restrictive as to be non-operational.  In this respect, reference was made, inter alia , to dumping, causation and 
standing requirements.  It was suggested that the 
quantitative safe havens provided a roadmap for circumvention.         
 
* A statement by several delegations to this effect was circulated in TN/RL/W/216. 
9bis.2 [[Relevant persons may comment on, inter alia , 
possible effects of the anti-dumping measure on the 
following:  
 
(i) costs for the industrial users, 
consumers, importers, wholesalers and 
retailers of the product under 
consideration;  
(ii) competition in the market of the 
product under consideration in the 
importing member;   
(iii) choice or availa bility of like products 9bis.2 Authorities may only find circumvention within 
the meaning of paragraph 1 if they demonstrate that:  
 
(i) Subsequent to the initiation of the 
investigation that resulted in the imposition 
of the existing definitive anti-dumping duty, 
imports of the product under consideration 
from the country subject to that duty have 
been supplanted, in whole or in part43: 
  - by imports from the country subject to 
the anti-dumping duty of parts or   
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at competitive prices for industrial 
users and consumers;  
(iv) profitability and competitiveness of 
industrial users, im porters, wholesalers 
and retailers of the product under  
consideration.]]  
 unfinished forms of a product for 
assembly or completion into a product 
that is the same as the product under 
consideration;  
  - by imports of a product that is the 
same as the product under consideration 
and that has been assembled or 
completed in a third country from parts 
or unfinished forms of a product 
imported from the country subject to the 
existing anti-dumping duty;  or  
 
  - by imports of a slightly modified 
product44 from the country subject to the 
existing anti-dumping duty;  
 ______________________ 
 43 Factors pertinent to a consideration of whether 
imports of the product under consid eration have been supplanted 
include whether there has been a change in the pattern of trade 
of the exporters subject to th e anti-dumping duty, the timing of 
such change, and any association or compensatory arrangement 
between the exporter and the importer or a third party.  No one 
or several of these factors can  necessarily give decisive 
guidance.  
 44 A slightly modified product is a product that is not 
within the product under consideration but that has the same 
general characteristi cs as the product under consideration.  
Factors pertinent to a consider ation of whether a product is a 
slightly modified product include general physical 
characteristics, purchaser expectations, end uses, channels of 
trade, the interchangeability of  the products, the processes, 
facilities and employees used in production of the products, 
differences in the costs of production, the manner in which the 
products are advertised and displayed, and the costs to transform 
the slightly modified product into the product under 
consideration.  No one or severa l of these factors can necessarily 
give decisive guidance.   
  (ii) The principal cause of the change 
described in subparagraph 2(i) is the 
existence of the anti-dumping duty on the 
product under consideration from the   
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country subject to the duty rather than 
economic or commercia l factors unrelated 
to that duty;45  and  
 
  (iii) The imports that have supplanted the 
imports of the product under consideration 
from the country subject to the existing 
anti-dumping duty undermine the 
remedial effect of that duty.46 
______________________ 
 45 Factors pertinent to a consideration of the possible 
role of economic or commercial factors unrelated to the duty 
include technological developmen ts, changes in customers' 
preferences and changes in relative costs.  No one or several of 
these factors can necessarily give decisive guidance.   
 46 Factors pertinent to a consideration of whether the 
remedial effect of an existi ng anti-dumping duty is undermined 
include the evolution of the pric es and quantities of the product 
assembled or completed in the importing country or in a third 
country or of the slightly modified product and whether those 
products are sold to the same customers and for the same uses as 
the product subject to the existing  definitive anti-dumping duty.  
No one or several of these factor s can necessarily give decisive 
guidance.  
  
9bis.3 [[Opportunity to comment under paragraph 1 
shall be provided at the earliest opportunity when relevant 
persons are able to provide meaningful comments.  Where 
opportunity to comment is provided before the details of 
the proposed definitive anti-dumping measure (including 
the reasons for the dumping and injury determinations) 
are known, then relevant persons shall be given [  ] days 
to supplement the comments originally provided after 
such details are known.]]  
 9bis.3 With respect to imports referred to in 9 bis.2 of 
parts or unfinished forms of a product and imports 
referred to in 9 bis.2 of a product assembled or completed 
in a third country, the authorities shall only find 
circumvention if they establish that (i) the process of 
assembly or completion is minor or insignificant47 and (ii) 
the cost of the parts or unfinished forms makes up a 
significant proportion of the total cost of the assembled or 
completed product.  The authorities shall in no case find 
that circumvention exists unless they determine that the 
value of the parts or unfinished forms is 60 per cent of the 
total value of the parts or unfinished forms of the 
assembled or completed product or more, and that the 
value added to the parts or unfinished forms during the 
assembly or completion process is 25 per cent of the total 
cost of manufacture or less.  
______________________ 
 47 Factors pertinent to a consideration of whether a   
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process of completion or assemb ly is minor or insignificant 
include the level of investment, research and development 
related to the completion or assembly, the nature and cost of the 
production process and the extent of the facilities used for 
completion or assembly.  No one or several of these factors can 
necessarily give decisive guidance.  
 
9bis.4 [[For the purposes of this Article, relevant 
persons who are not already interested parties shall also 
enjoy the rights of interested parties under paragraph 1 
(except 1.1 and 1.3), paragraphs 2 to 575 and paragraphs 9 
and 13 of Article 6.]]  
______________________ 
 75 [[Access to information under Article 6.4 shall not 
be limited to information obtained pursuant to this Article.]]  
 9bis.4 The authorities may extend the scope of 
application of an existing definitive anti-dumping duty to 
imports of parts or unfinished forms of the product under 
consideration assembled or completed in a third country 
only if they find that such imports are dumped pursuant to 
Article 2.  
  
9bis.5   [[Comments received pursuant to this Article 
shall be taken into due consideration by the authorities in 
an objective and unbiased evaluation.  Where no 
information is received or  information received is 
considered incomplete, author ities shall take into account 
best information available from public sources if such 
information is already in their possession or is reasonably 
obtainable by them.  If thereafter the importing Member 
concludes that it is not in its economic interest to impose 
the definitive anti-dumping measure, the measure shall 
not be imposed.]]  
  9bis.5 A determination of the existence of 
circumvention within the meaning of this Article shall be 
based on a formal review initiated pursuant to a duly 
substantiated request.  Except in special circumstances, 
such a review shall not be initiated unless the authorities 
have determined, on the basis of an examination of the 
degree of support for, or opposition to, the request 
expressed by domestic producers of the like product that 
the request has been made by or on behalf of the domestic 
industry within the meaning of Article 5.4.  
  
 9 bis.6 The provisions regarding evidence and procedure 
in Article 6 shall apply to any review carried out under 
this Article.  Any such review shall be carried out 
expeditiously and shall normally be concluded within 12 
months of the date of initiation of the review.   
  
 9 bis.7 If the authorities have determined in accordance 
with this Article that circumvention exists, they may apply 
the anti-dumping duty to the imported products found to 
be circumventing the existing definitive anti-dumping 
duty48, including retroactively to imports entered after the 
date of the initiation of the review.  
   
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______________________ 
 48 If a review under this Article  has been initiated on a 
country-wide basis, the authoriti es shall exempt imports from 
particular exporters from the scope of any extended anti-
dumping duty if they find that those imports take place in 
circumstances that do not constitut e circumvention of an existing 
anti-dumping duty.   
Article 10  
Retroactivity 
 Article 10  
Retroactivity   
10.1 Provisional measures and anti-dumping duties 
shall only be applied to products which enter for 
consumption after the time when the decision taken under 
paragraph 1 of Article 7 and paragraph 1 of Article 9, respectively, enters into force, subject to the exceptions 
set out in this Article. 
 10.1 Provisional measures and anti-dumping duties 
shall only be applied to products which enter for 
consumption after the time when the decision taken under 
paragraph 1 of Article 7 and paragraph 1 of Article 9, respectively, enters into force, subject to the exceptions 
set out in this Article. 
  
10.2 Where a final determination of injury (but not of 
a threat thereof or of a material retardation of the 
establishment of an industry) is made or, in the case of a 
final determination of a threat  of injury, where the effect 
of the dumped imports would, in the absence of the 
provisional measures, have led to a determination of 
injury, anti-dumping duties may be levied retroactively for the period for which provisional measures, if any, have 
been applied. 
 10.2 Where a final determination of injury (but not of 
a threat thereof or of a material retardation of the 
establishment of an industry) is made or, in the case of a 
final determination of a threat  of injury, where the effect 
of the dumped imports would, in the absence of the 
provisional measures, have led to a determination of 
injury, anti-dumping duties may be levied retroactively for the period for which provisional measures, if any, have 
been applied. 
  
10.3 If the definitive anti-dumping duty is higher than 
the provisional duty paid or payable, or the amount 
estimated for the purpose of the security, the difference 
shall not be collected.  If the definitive duty is lower than the provisional duty paid or payable, or the amount 
estimated for the purpose of the security, the difference 
shall be reimbursed or the du ty recalculated, as the case 
may be. 
 10.3 If the definitive anti-dumping duty is higher than 
the provisional duty paid or payable, or the amount 
estimated for the purpose of the security, the difference 
shall not be collected.  If the definitive duty is lower than the provisional duty paid or payable, or the amount 
estimated for the purpose of the security, the difference 
shall be reimbursed or the du ty recalculated, as the case 
may be. 
  
10.4 Except as provided in paragraph 2, where a determination of threat of injury or material retardation is made (but no injury has yet occurred) a definitive 
anti-dumping duty may be imposed only from the date of 
the determination of threat of injury or material retardation, and any cash deposit  made during the period 10.4 Except as provided in paragraph 2, where a 
determination of threat of injury or material retardation is made (but no injury has yet occurred) a definitive 
anti-dumping duty may be imposed only from the date of 
the determination of threat of injury or material retardation, and any cash deposit  made during the period   
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of the application of provisional measures shall be 
refunded and any bonds released in an expeditious 
manner.  of the application of provisional measures shall be 
refunded and any bonds released in an expeditious 
manner. 
 
10.5 Where a final determination is negative, any cash deposit made during the period of the application of 
provisional measures shall be refunded and any bonds 
released in an expeditious manner. 
 10.5 Where a final determination is negative, any cash 
deposit made during the period of the application of 
provisional measures shall be refunded and any bonds 
released in an expeditious manner. 
  
10.6 A definitive anti-dumping duty may be levied on 
products which were entered for consumption not more 
than 90 days prior to the date of application of provisional measures, when the authorities determine for the dumped 
product in question that: 
 10.6 A definitive anti-dumping duty may be levied on 
products which were entered for consumption not more 
than 90 days prior to the date of application of provisional measures, when the authorities determine for the dumped 
product in question that: 
  
(i) there is a history of dumping which 
caused injury or that  the importer was, 
or should have been, aware that the 
exporter practises dumping and that such dumping would cause injury, and 
 
(ii) the injury is caused by massive dumped 
imports of a product in a relatively short 
time which in light of the timing and the 
volume of the dumped imports and other circumstances (such as a rapid 
build-up of inventories of the imported 
product) is likely to seriously undermine 
the remedial effect of the definitive 
anti-dumping duty to be applied, provided that the importers concerned 
have been given an opportunity to 
comment. 
 (i) there is a history of dumping which 
caused injury or that  the importer was, 
or should have been, aware that the 
exporter practises dumping and that such dumping would cause injury, and 
 
(ii) the injury is caused by massive dumped 
imports of a product in a relatively short 
time which in light of the timing and the 
volume of the dumped imports and other circumstances (such as a rapid 
build-up of inventories of the imported 
product) is likely to seriously undermine 
the remedial effect of the definitive 
anti-dumping duty to be applied, provided that the importers concerned 
have been given an opportunity to 
comment.  
10.7 The authorities may, after initiating an 
investigation, take such measures as the withholding of 
appraisement or assessment as may be necessary to collect 
anti-dumping duties retroactively, as provided for in 
paragraph 6, once they have sufficient evidence that the 
conditions set forth in that paragraph are satisfied.  10.7 The authorities may, after initiating an 
investigation, take such measures as the withholding of 
appraisement or assessment as may be necessary to collect 
anti-dumping duties retroactively, as provided for in 
paragraph 6, once they have sufficient evidence that the 
conditions set forth in that paragraph are satisfied. 
   
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10.8 No duties shall be levied retroactively pursuant 
to paragraph 6 on products entered for consumption prior 
to the date of initiation of the investigation.  10.8 No duties shall be levied retroactively pursuant 
to paragraph 6 on products entered for consumption prior 
to the date of initiation of the investigation. 
  
 10.8 bis In the event that monies paid or deposited are 
refunded pursuant to paragraphs 3 or 5 of this Article, the 
authorities shall pay a reason able amount of interest on 
the monies refunded.  
  
Article 11  
Duration and Review of Anti-Dumping Duties and 
 Price Undertakings  
 Article 11  
Duration and Review of Anti-Dumping Duties and 
Price Undertakings  
  
11.1 An anti-dumping duty shall remain in force only 
as long as and to the extent necessary to counteract 
dumping which is causing injury.  11.1 An anti-dumping duty shall remain in force only 
as long as and to the extent necessary to counteract 
dumping which is causing injury.   
[[11.2 The authorities shall review the need for the 
continued imposition of the duty, where warranted, on 
their own initiative or, provid ed that a reasonable period 
of time has elapsed since the imposition of the definitive 
anti-dumping duty, upon request by any interested party which submits positive information substantiating the 
need for a review.
76  Interested parties shall have the right 
to request the authorities to examine whether the continued imposition of the duty is necessary to offset 
dumping, whether the injury would be likely to continue 
or recur if the duty were removed or varied, or both.  If, as a result of the review under this paragraph, the authorities 
determine that the anti-dumping duty is no longer 
warranted, it shall be terminated immediately. [[Where the 
authorities determine in a review conducted under this 
paragraph that the level of duty that is necessary to offset 
dumping is de minimis  as defined in paragraph 8 of 
Article 5, the duty to be imposed shall be zero.]]  
 
_____________________  
76 A determination of final liability for payment 
of anti-dumping duties, as provided for in paragraph 3 of 
Article 9, does not by itself constitute a review within the 
meaning of this Article. 11.2 The authorities shall review the need for the 
continued imposition of the duty, or for a modification of 
the level of the duty49, where warranted, on their own 
initiative or, provided that a reasonable period of time has 
elapsed since the imposition of the definitive anti-dumping duty, upon request by any interested party 
which submits positive information substantiating the 
need for a review.
50  Interested parties shall have the right 
to request the authorities to examine whether the 
continued imposition of the duty is necessary to offset 
dumping, whether the injury would be likely to continue or recur if the duty were removed or varied, or both.  
Interested parties may also request a modification in the 
level of a duty.  If, as a result of the review under this 
paragraph, the authorities determine that there has been a 
change in circumstances of a lasting nature51 since the 
original investigation or the last review under Article 11.2 
or 11.3, such that the anti-dumping duty is no longer 
warranted or the level of the duty applicable to one or 
more exporters is no long er appropriate, the duty , it shall 
be terminated immediately or its level modified . 
______________________ 
 49 Or in the case of a retrospective system, of the level 
of any security collected.  Where the anti-dumping duty imposed 
takes the form of a prospective normal value, this requirement With respect to so-called "interim" reviews , there was 
general support for the principle that Article 11.2 could be 
clarified to specify its application to the modification of 
the level of the duty.   There was, however, substantial 
debate regarding the introduction of the concept of a "change in circumstances of a lasting nature".  Some 
delegations considered that this element was unnecessary 
and should be deleted.  In this respect, it was suggested that the results of a duty assessment proceeding under 
Article 9.3 should determine the level of the measure 
under Article 11.2, or in any event that duty assessment proceedings should trigger an Article 11.2 review.  Other 
delegations considered that the principle should in any 
event be clarified, perhaps with a list of illustrative criteria.  Yet other delegations considered that the concept 
of "change in circumstances of a lasting nature" was 
important and should be retained, and that the proposed text adequately addressed the issue.   
 
More generally, several delegations suggested that the Chairman's text sought to address too many situations 
under a single provision.  It was noted in this respect that 
reviews regarding possible revocation of a measure should 
be addressed separately to reviews relating to  
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 relates to the modification of the prospective normal value.  
 50 A determination of final liability for payment of 
anti-dumping duties, as provided for in paragraph 3 of Article 9, 
does not by itself constitute a review within the meaning of this 
Article.  However, a determina tion made pursuant to that 
paragraph is relevant evidence which may be considered when 
deciding whether the initiation of a review to examine the 
possible modification of the level of a duty under this Article is 
warranted.  
 51 In determining whether there has been a change of 
circumstances of a lasting nature, the authorities may take into 
account, inter alia , the impact of the existing duty and the 
possible effects if that duty we re terminated or modified.  
 modifications in the level of a measure, and that the 
distinction between Article 9.3 and Article 11.2 
proceedings were unclear.  Finally, a number of delegations requested the inclusion of additional elements 
regarding Article 11.2 reviews, including time-frames for 
the initiation and completion of reviews, reinforced public notice provisions and the application of de minimis  
standards in such reviews. 
 Some delegations considered that the reference to 
"security " in footnote 49 would improperly recast duties 
collected pursuant to definitive measures as security, thus exempting those duties from the requirements of Articles 
9.1, 9,2 and 9.3 chapeau  that the duties collected not 
exceed the margin of dumping  established pursuant to 
Article 2 A proposal to delete footnote 49 was 
subsequently circulated at th e request of three delegations 
in document TN/RL/GEN/157/Rev.1.   
11.2.1 [[The authorities shall make an 
examination in accordance with the 
second sentence of this paragraph 
regarding whether the continued 
imposition of the duty is necessary to 
offset dumping and/or whether injury is 
likely to continue or recur if the duty 
were removed or varied, taking account 
of the effect of the measures in force.]]  
   
11.2.2 [[Where the review involves an 
examination of whether the continued 
imposition of the duty is necessary to 
offset dumping, the authorities shall 
base their examination on all relevant 
economic factors concerning the 
operation of producers and exporters in 
the exporting country during the period 
of review, and all economic factors 
relevant to whether the continued 
imposition of the duty is necessary to 
offset dumping.  These factors include, 
but are not limited to, prices, costs, 
inventories, production capacity,     
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capacity  utilization, sales in the 
exporting country and exports to the 
importing country and to third 
countries.]]  
 
 11.2.2.1 [[In making an examination of whether 
the continued imposition of the duty is 
necessary to offset dumping under 
subparagraph 2.2, the authorities shall 
make a determination of dumping for 
the period of review  in accordance with 
Article 2.77,  78]] 
______________________ 
 77 [[This does not indicate that the authorities must 
calculate the margin of dumping for the period of review where 
there are no, isolated or sporadic  export transactions during that 
period.  In a review conducted by the authorities in such 
circumstances, such review shall be conducted in accordance 
with subparagraph 2.2.]]  
 78 [[Where the authorities ma ke a determination of 
dumping for the period of review, and the review does not result 
in termination of the duty, the authorities shall, as a result of the 
review, adjust the anti-dumping duty to the dumping margin that 
was determined for the period of the review unless the 
authorities determine that continued imposition of the duty at the 
previously determined rate is ne cessary to offset dumping, based 
on the examination in accord ance with subparagraph 2.2.]]  
   
11.2.3 [[Where the review involves an 
examination of whether the injury 
would be likely to continue or recur if 
the duty were removed or varied, the 
authorities shall base their examination 
on the factors listed above, as well as on 
all relevant economic factors concerning 
the domestic industry during the period 
of review and all economic factors 
relevant to whether injury would be 
likely to continue or recur.   These 
factors include, but are not limited to,  
those factors listed in paragraph 4 of 
Article 3.]]  
    
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 11.2.3.1 [[In making an examination of whether 
the injury would be likely to continue or 
recur if the duty were removed or varied 
under subparagraph 2.3, the authorities 
shall also examine whether the dumped 
imports in and of themselves, through 
the effects of dumping, are likely to 
cause injury if the duties were 
terminated or varied.  This examination 
shall be based on all relevant evidence 
before the authorities.]]  
   
11.2.4 [[The authorities shall make an 
examination in accordance with the 
second sentence of this paragraph based 
on positive evidence and not merely on 
allegation, conjecture or remote 
possibility.]]  
   
11.2.5 [[In making an examination in 
accordance with subparagraphs 2.2 and 
2.3, the authorities may not presume 
that the continued imposition of the duty 
is necessary to offset dumping, or that 
the injury would be likely to continue or 
recur if the duty were removed or 
varied, solely based on any one or any 
combination of the following:  
   
 (i) Dumping continued at above de 
minimis  margins of dumping as 
defined in paragraph 8 of 
Article 5 after the imposition of 
the duty;  
 
 (ii) Imports of the products under 
investigation ceased after the 
imposition of the duty;  
 
 (iii) Dumping was eliminated after 
the imposition of the duty and 
import volumes for the    
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products under investigation 
declined significantly;  
 
 (iv) The fact that dumping and 
injury were found in the 
investigation initiated pursuant 
to Article 5.]]  
 
11.2.6 [[The anti-dumping duty shall be 
deemed to be no longer warranted and 
shall be terminated immediately when:  
   
 (i) There are zero or de minimis 
margins of dumping as defined 
in paragraph 8 of Article 5 for 
two consecutive determinations 
under subparagraph 3.1 of 
Article 9, excluding situations 
where there are no, isolated or 
sporadic export transactions 
during that period; or  
 
 (ii) The domestic producers whose 
collective output of the 
products constitutes the major 
proportion (more than 50 
percent) of the total domestic 
production of the like products 
request the termination of the 
existing measure.]]  
   
11.2.7 [[It shall be rebu ttably presumed that the 
anti-dumping duty is no longer 
warranted, if either of the following  
conditions is met:  
   
 (i) The exporter does not have 
sufficient excess capacity to 
significantly increase exports 
to the importing country, is not 
likely to increase its capacity in 
the near future, and exports a    
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substantial portion of its 
exports to one or more third 
country markets at  price levels 
which are likely to make 
exports to the importing 
country commercially 
unattractive, where there are 
zero or de minimis  margins of 
dumping as defined in 
paragraph 8 of Article 5 by the 
exporter for the period of 
review, excluding situations 
where there are no, isolated or 
sporadic export transactions 
during that period;  
 
 (ii) The foreign producers sell their 
products not below per unit 
costs in the domestic market of 
the exporting country and sell 
them at prices significantly less 
than the prices of the like 
products in the domestic 
market of the importing 
country, where there are zero 
or de minimis margins of 
dumping as defined in 
paragraph 8 of Article 5 by the 
exporter for the period of 
review, excluding situations 
where there are no, isolated or 
sporadic export transactions 
during that period; or  
   
 (iii) There are significant supply 
shortages in the domestic 
market of the importing 
country that are likely to 
continue if the anti-dumping 
duty is not terminated, where 
there are zero or de minimis 
margins of dumping as defined    
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in paragraph 8 of Article 5 by 
the exporter for the period of 
review, excluding situations 
where there are no, isolated or 
sporadic export transactions 
during that period.]] ]]  
 
[[11.2 [[ The authorities shall review the need for the 
continued imposition of the duty , where warranted, on 
their own initiative or, provid ed that a reasonable period 
of time has elapsed since the imposition of the definitive 
anti-dumping duty, upon requ est by any interested party 
which submits positive information substantiating the 
need for a review.79  Interested parties shall have the right 
to request the authorities to examine whether the 
continued imposition of the duty is necessary to offset 
dumpin g, whether the injury would be likely to continue 
or recur if the duty were removed or varied, or both.  If, as 
a result of the review under this paragraph, the authorities 
determine that the anti -dumping duty is no longer 
warranted it shall be terminated i mmediately ]]  [[Upon 
request of any interested party which submits positive 
evidence substantiating a claim that the circumstances for 
the imposition of the duty in force have changed or on 
their own initiative, investigating authorities shall, 
provided that a reasonable period of time has elapsed 
since the imposition of the definitive anti-dumping duty, 
carry out a review80 under this paragraph to examine: a) 
whether the duty is to be varied in order to offset dumping 
or the duty is to be removed; b) whether the injury would 
be likely to continue or recur if the duty were removed or 
varied; or c) both. Reviews under this paragraph shall not 
extend the maximum period that a duty can remain in 
force set out in Article 11.3.]]  
______________________ 
 79 A dete rmination of final liability for payment of 
anti-dumping duties, as provided for in paragraph  3 of Article  9, 
does not by itself constitute a review within the meaning of this 
Article.  
 80 [[A determination of final liability for payment of 
anti-dumping duties, as provided for in paragraph 3 of Article 9, 
does not by itself constitute a review within the meaning of this    
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Article.]]  
 
 11.2.1 [[Where the review involves an 
examination of whether the duty is to be 
varied in order to offset dumping or 
removed, the following provisions shall 
apply:  
   
  In a prospective assessment of duties  
 
 11.2.1.1 Whenever there are transactions in 
commercial quantities during the period 
of review, the calculation of a dumping 
margin for the period of review shall be 
made in accordance with Article 2 
(without zeroing).  The level of the anti-
dumping duty to be imposed shall not 
exceed the lesser of the dumping margin 
for the period of review or the most 
recent injury margin determined by the 
investigating authorities.  Where the 
investigating authorities determine that 
the dumping margin for the period of 
review is de minimis as defined in 
paragraph 8 of Article 5, or that there 
was no dumping for the period of 
review, the duty to be imposed shall be 
zero, unless investigating authorities 
have reasons to believe that the future 
level of the export price is not likely to 
be de minimis or above the normal 
value81. ]] 
 
______________________ 
 81 [[In this case, investigating authorities shall disclose 
positive evidence which have led them to such determination 
and shall provide the exporter or producer an opportunity to 
make comments thereon.]]  
   
 11.2.1.2 [[Whenever there are sporadic or no 
transactions during the period of 
review, investigating authorities shall    
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allow exporters or producers to submit 
the expected price at which the product 
would be exported if there was no anti-
dumping duty in force (referred to as 
the “expected export price”). The 
expected export price shall be  
substantiated by relevant information 
relating to the exporter or producer past 
performance82, provided that: a) the 
difference between the expected export 
price and the normal value for the 
period of review is lower than the 
dumping margin of the original 
investigation; or b) the expected export 
price is above the normal value for the 
period of review. ]]  
______________________ 
 82 [[For example, the export price of the like product to 
third countries.]]  
 
 11.2.1.2.1 [[If investigating authorities 
have no reasons to believe that the level 
of the export price after the suspension 
of the anti-dumping duty is not likely to 
be at or above the level of the expected 
export price81, the imposition of the 
anti-dumping duty shall be suspended 
for 12 months.  If the anti-dumping 
duty in force is suspended, 
investigating authorities may establish 
a reference price and duties may be 
definitively collected based on this 
basis.  The reference price shall be the 
lesser of the normal value or the non-
injurious price.]]  
____________________ 
 81 [[In this case, investigating authorities shall disclose 
positive evidence which have led them to such determination 
and shall provide the exporter or producer an opportunity to 
make comments thereon.]]  
     
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 11.2.1.2.2 [[Based on the export prices of 
the period of suspension of the anti-
dumping duty, investigating authorities 
may determine a new anti-dumping 
duty, calculated in accordance with 
Article 2 (without zeroing).  
Investigating authorities may conduct 
on-the-spot investigations, so as to 
verify the data concerned to the 
expected export pri ce and/or the actual 
export price for the period of 
suspension.  The level of the anti-
dumping duty to be imposed shall not 
exceed the lesser of the newly 
calculated dumping margin or the 
injury margin.  If the weighted average 
actual export price for that period is 
above the normal value for the period 
of review or is de minimis as defined in 
paragraph 8 of Article 5, the duty to be 
imposed shall be zero, unless 
investigating authorities have reasons 
to believe that the future level of the 
export price is not likely to be de 
minimis or above the normal value81.  
Except for the period of suspension and 
pending the result of the review, the 
level of the anti-dumping duty to be 
imposed shall not exceed the lesser of 
the dumping margin of the original 
investigation or the injury margin.]]  
____________________ 
 81 [[In this case, investigating authorities shall disclose 
positive evidence which have led them to such determination 
and shall provide the exporter or producer an opportunity to 
make comments thereon.]]    
  [[In a prospective normal value 
assessment of duties]]  
 
11.2.1.3 [[Notwithstanding paragraphs 11.2.1.1 
and 11.2.1.2, investigating authorities 
shall calculate a normal value for the    
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exporter or producer for the period of 
review, in accordance with Article 2.  
The level of the anti-dumping duty to be 
imposed shall be based on the lesser of 
the normal value or the non-injurious 
price. ]]  
 
  [[In a retrospective assessment of 
duties]]  
 
 11.2.1.4 [[Investigating authorities shall calculate 
a dumping margin for the exporter or 
producer for the period of review if 
there has been no review carried out 
under Article 9.3.1 for a period of two 
years. Investigating authorities are not 
required to carry out reviews under this 
paragraph if, as a result of reviews 
carried out under Article 9.3.1, new 
dumping margins, calculated in 
accordance with Ar ticle 2 (without 
zeroing) have been determined for the 
purpose of calculating cash deposits.]]  
   
 11.2.1.4.1 [[Whenever there are 
transactions in commercial quantities 
during the period of review, the 
calculation of a dumping margin for the 
period of review shall be made in 
accordance with Ar ticle 2 (without 
zeroing).  The level of the anti-dumping 
duty to be imposed shall not exceed the 
lesser of the dumping margin for the 
period of review or the most recent 
injury margin determined by the 
investigating authorities.  Where the 
investigating authorities determine that 
the dumping margin for the period of 
review is de minimis as defined in 
paragraph 8 of Article 5, or that there 
was no  dumping for the period of 
review, the duty to be imposed shall be    
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zero83. ]] 
______________________ 
 83 [[This provision does not prevent investigating 
authorities from determining the final liability for payment of 
anti-dumping duties, as provided for in Article 9.3.1.]]  
 
 11.2.1.4.2 [[Whenever there are sporadic or 
no transactions during the period of 
review, investigating authorities shall 
allow exporters or producers to submit 
the expected price at which the product 
would be exported if there was no anti-
dumping duty in force (referred to as the 
“expected export price”).  The expected 
export price shall be substantiated by 
relevant information relating to the 
exporter or producer past performance82, 
provided that: a) th e difference between 
the expected export price and the normal 
value for the period of review is lower 
than the dumping margin of the original 
investigation; or b) the expected export 
price is above the normal value for the 
period of review.]]  
 
______________________ 
 82 [[For example, the export price of the like product to 
third countries.]]  
    
 11.2.1.4.2.1 [[If investigating authorities 
have no reasons to believe that the level 
of the export price after the suspension 
of the anti-dumping duty is not likely to 
be at or above the level of the expected 
export price81, the imposition of the 
anti-dumping duty in force shall be 
suspended for 12 months.  If the anti-
dumping duty is suspended, 
investigating authorities may establish a 
reference price and duties may be    
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definitively collected based on this 
basis.  The reference price shall be the 
lesser of the normal value or the non-
injurious price.]]  
 
______________________ 
 81 [[In this case, investigating authorities shall disclose 
positive evidence which have led them to such determination 
and shall provide the exporter or producer an opportunity to 
make comments thereon.]]  
  
 11.2.1.4.2.2   [[Based on the export prices of 
the period of suspension of the anti-
dumping duty, investigating authorities 
may determine a new anti-dumping 
duty, calculated in accordance with 
Article 2 (without zeroing).  
Investigating authorities may conduct 
on-the-spot investigations, so as to 
verify the data concerned to the expected 
export price and/or the actual export 
price for the period of suspension.  The 
level of the anti-dumping duty to be 
imposed shall not exceed the lesser of 
the newly calculated dumping margin or 
the injury margin. If the weighted 
average actual export price for that 
period is above the normal value for the 
period of review or is de minimis as 
defined in paragraph 8 of Article 5, the 
duty to be imposed shall be zero.  Except 
for the period of suspension and pending 
the result of the review, the level of the 
anti-dumping duty to be imposed shall 
not exceed the lesser of the dumping 
margin of the original investigation or 
the most recent injury margin  
determined by the investigating 
authorities.]]  
   
 11.2.2 [[Where the review involves an    
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examination of whether the injury would 
be likely to continue or recur if the duty 
were removed or varied, investigating 
authorities shall evaluate all relevant 
factors, includin g the following:  
 
  (a) the likely volume of the likely 
dumped imports, and, in 
particular, whether there is 
likely to be a significant 
increase in the volume of these 
imports, either in absolute 
terms or relative to the 
production or consumption of 
the like product in the 
importing Member;  
   
  (b) the likely prices of the likely 
dumped imports, and likely 
effect of such prices on the 
prices of the domestic like 
product, in particular, whether 
these imports are likely to 
significantly undercut the 
prices of the domestic like 
product, or lead to price 
depression or price 
suppression;  
   
  (c) the likely impact of the likely 
dumped imports on the 
domestic industry, having 
regard to all relevant economic 
factors and indices, including 
any potential decline in output, 
sales, market share, profits, 
productivity, return on 
investments or utilization of 
production capacity, and any 
potential negative effects on 
cash flow, inventories, 
employment, wages, growth,    
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including efforts to produce a 
derivative or more advanced 
version of the like product, or 
the ability to raise capital or 
investments;  
 
  (d) changes in market conditions in 
the exporting country, in the 
importing Member and in third 
countries, including changes in 
the supply of and demand for 
the like product84, as well as 
any changes in trends and in 
sources of the like product in 
the importing Member; and  
______________________ 
 84 [[This may include eviden ce of the imposition of 
anti-dumping or countervailing duties by other Members in 
respect of the like product, and evidence that such duties are 
likely to cause a diversion of imports into the Member.]]  
   
  (e) likely effects of known factors 
other than the likely dumped 
imports to the injury to the 
domestic industry, including, 
inter alia, the likely volumes 
and prices of imports of the like 
product other than those from 
exporters or producers likely to 
dump, contraction in demand or  
changes in the patterns of 
consumption, trade restrictive 
practices of and competition 
between the foreign and 
domestic producers, 
developments in technology  
and of products other than the 
like product, and the export 
performance and productivity 
of the domestic industry.]]  
   
 11.2.2.1  [[In making an examination of    
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whether the injury would be likely to 
continue or recur if the duty were 
removed or varied, investigating 
authorities shall also examine whether 
the likely dumped imports in and of 
themselves, through the effects of 
dumping, are likely to cause injury if the 
duties were terminated or varied.  This 
examination shall be based on all 
relevant evidence before the 
authorities.]]  
 
 11.2.3 [[Investigating authorities shall examine 
the accuracy and adequacy of the 
evidence provided in the request to 
determine whether there is sufficient 
evidence to justify the initiation of a 
review under this paragraph.  The 
decision to initiate, or not, a review 
under this paragraph shall be taken 
without undue delay.  In case 
investigating authorities decide not to 
initiate a review, they shall provide 
reasoned explanations  to the interested 
parties.]] ]]  
   
11.3 [[ Notwithstanding the provisions of paragraphs 1 
and 2, any definitive anti-dumping [[measure]][[ duty]] 
shall be terminated on a date not later than five years from its imposition[[.
(or from the date of the most recent 
review under paragraph 2 if that review has covered both 
dumping and injury, or under this paragraph), unless the 
authorities determine, i n a review initiated before that date 
on their own initiative or upon a duly substantiated 
request made by or on behalf of the domestic industry 
within a reasonable period of time prior to that date, that 
the expiry of the duty would be likely to lead to 
continuation or recurrence of dumping and injury.85  The 
duty may remain in force pending the outcome of such a 
review ]]]]  [[ Notwithstanding the provisions of 
paragraphs 1 and 2, any definitive anti-dumping duty shall be terminated on a date not later than five years from its 11.3 Notwithstanding the provisions of paragraphs 1 
and 2, any definitive anti-dumping duty shall be 
terminated on a date not later than five years from its imposition (
or from the effective date of the most recent 
review of the duty under this paragraph, or under 
paragraph 2 if that review has covered both dumping and 
injury, or under this paragraph),  unless the authorities 
determine, in a review initiated before that date on their 
own initiative or upon a duly substantiated request made 
by or on beh alf of the domestic industry within a 
reasonable period of time prior to that date, that the expiry 
of the duty would be likely to lead to continuation or recurrence of dumping and injury.
52  The duty may remain 
in force pending the outcome of such a review. 
_______________________  52 When the amount of the anti-dumping duty is A key element in the discussion of sunset was the 10-year 
automatic termination suggested in the text.  Some 
delegations welcomed the text's suggestion of automatic termination, but suggested shor tening it to eight years, and 
including detailed criteria governing the five-year sunset 
review.*  Other delegations believed that an absolute five-year automatic termination with no sunset reviews at all 
was the proper approach.  Delegations favouring 
automatic termination generally considered that Article 11.3.6 on expedited action undermined the value of the 
automatic termination, and that the transition rule in 
Article 18.3.1 bis should be modified or eliminated. 
 
Other delegations rejected the principle of automatic 
termination altogether.  The view was expressed that 
anti-dumping measures should continue as long as  
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imposition (or from the date of the most recent review 
under paragraph 2 if that review has covered both 
dumping and injury[[ , or under this paragraph ), unless the 
authorities determine, [[ in a review initiated [[ before that 
date on th eir own initiative or ]] upon a duly substantiated 
request made by or on behalf of the domestic industry [[at 
least seven months]] [[ within a reasonable period of 
time]] prior to that date, that the expiry of the duty would 
be likely to lead to continuation or recurrence  of dumping and injury.
86  The duty [[ may remain in force ]] [[shall be 
suspended or imposed provisionally pursuant to Articles 7 
and 10, where appropriate, from the date of expiry]]  
pending the outcome of such a review.]] [[  in a review 
[[initiated ]] [[completed]]  before that date[[87]] [[and 
initiated]]  [[on their own initiative or ]] upon a duly 
substantiated request made by or on behalf of the 
domestic industry [[as defined under]] [[as required by]] 
[[Article 5.4,]] [[ within a reasonable p eriod of time prior 
to that date, ]] that the expiry of the duty would be likely to 
lead to continuation or recurrence of dumping and 
injury.88  [[The duty may remain in force pending the 
outcome of such a review. ]]  [[The duty [[shall in no 
event]][[ may]] remain in force [[after [X] years from the 
imposition of the duty]] [ [pending the outcome of such a 
review .]] [[ ,and may be amended thereafter, due account 
being taken of the provisions of paragraph 1 .]] [[If the 
authorities determine that the expiry of the duty would be 
likely to lead to continuation or recurrence of dumping 
and injury, such duty may remain in place for three years 
after the completion of the review, at which time the duty 
shall expire.  The authorities may not conduct multiple 
expiry reviews.]] [[In no event, shall such a review be 
initiated more than one time and any definitive 
anti-dumping duty be applied for a period longer than 10 
years from the date of its imposition.]] ]]  
______________________ 
 8 5 [[When the amount of the anti -dumpi ng duty is 
assessed on a retrospective basis, a finding in the most recent 
assessment proceeding under subparagraph  3.1 of Article  9 that 
no duty is to be levied shall not by  itself require the authorities to 
terminate the definitive duty .]] 
 86 When the amount of the anti-dumping duty is assessed on a retrospective basis, a finding in the most recent 
assessment proceeding under subparagraph 3.1 of Article 9 that 
no duty is to be levied shall not by  itself require the authorities to 
terminate the definitive duty. 
 necessary, and that 10-year automatic sunset could result 
in a perfunctory 5-year examination. Some of these 
delegations believed that a better approach would be to further develop the standards and criteria governing sunset 
determinations, including clearer requirements to gather 
information, in order to ensure that sunset reviews involve a full investigation.  Other delegations cautioned against 
adopting overly complicated standards, especially for 
developing Members. Some delegations cautioned that if there were to be some form of automatic termination, then 
a provision allowing for expeditious action was necessary.   
 *One delegation submitted a Working Paper suggesting 
elements along these lines, which paper was subsequently 
circulated as TN/RL/W/220.  
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assessed on a retrospective basis, a finding in the most recent 
assessment proceeding under subparagraph 3.1 of Article 9 that 
no duty is to be levied shall not by  itself require the authorities to 
terminate the definitive duty. 
 87 [[When the authorities susp end the imposition of the 
definite anti-dumping duty pursuant  to subparagraph 3.5.1, such 
suspension shall be made before th at date and the review shall be 
completed within [Y] months from that date.]]  
 88 When the amount of the anti-dumping duty is 
assessed on a retrospective basis, a finding in the most recent 
assessment proceeding under subparagraph 3.1 of Article 9 that 
no duty is to be levied shall not by  itself require the authorities to 
terminate the definitive duty. 
 
 11.3.1 [[[[In determining whether the expiry of 
the anti-dumping duty would be likely to 
lead to continuation or recurrence of 
dumping and injury, the authorities shall 
make a determination based on positive 
evidence involving an objective 
examination of all relevant factors.  The 
authorities may not presume that 
dumping or injury is likely to continue 
or recur on the basis of one or more 
factors without evaluating all relevant 
factors. ]]]]  11.3.1 Except in sp ecial circumstances, a 
review under this paragraph shall be 
initiated upon a written application by 
or on behalf of the domestic industry.  
Such an application shall contain 
information reasonably available to the 
applicant and shall explain why, in the 
view of the applicant, dumping and 
injury are likely to continue or recur 
should the duty expire.  The application 
shall in particular contain information 
on the development of the condition of 
the domestic industry since the 
imposition of the anti-dumping duty, the 
present condition of the domestic 
industry and the potential impact that 
any continuation or recurrence of 
dumping could have thereon if the duty 
were terminated.  The authorities shall 
determine whether there is sufficient 
evidence53 to warrant a review.  In any 
case, a review shall not be initiated 
unless the authorities have determined, 
on the basis of an examination of the 
degree of support for, or opposition to, 
the application expressed54 by domestic 
producers of the like product, that the 
application has been made "by or on 
behalf" of the domestic industry within There were varied views about the desirability of certain 
proposed provisions relating to the initiation of sunset 
reviews , such as the limitation on ex officio  reviews, and 
proposed standing and evidentiary thresholds for initiation.  Some delegations welcomed the approach to ex 
officio  reviews in the Chairman's text, while others 
considered that the possibility for self-initiation in special circumstances was subjective and unnecessary and should 
be eliminated, or in any case more clearly defined.  While 
many delegations supported a standing requirement, one delegation suggested that any such requirement should 
differ from that applicable in original investigations.    
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the meaning of Article 5.4.  
______________________ 
 53 The terms "sufficient evidence" and "positive 
evidence" as used in connection with the initiation and conduct 
of a review under paragraph 3 shall be interpreted in light of the 
prospective nature of the analysis required by such a review and 
of the possible effects of the ex istence of the anti-dumping duty 
on the state of the domestic in dustry and on the behaviour of 
exporters with respect to margins of dumping and volume of 
exports.  In this regard, existing conditions will not necessarily 
be determinative in considering compliance with the "sufficient 
evidence" and "positive evidence" standards of sub-paragraphs 
3.1, 3.2 and 3.4.  
 54 In the case of fragmented industries involving an 
exceptionally large number of producers, authorities may 
determine support and opposition by using statistically valid 
sampling techniques.  
 
 11.3.2 [[[[In determining whether the expiry of 
the duty would be likely to lead to 
continuation or recurrence of dumping, 
the authorities shall make a 
determination based on positive 
evidence with respect to an objective 
examination of all relevant factors, 
including:]]  
 
  [[(a) whether there has been 
dumping while the duty was in 
place and, if applicable, the 
period during which the 
dumping occurred, the volume 
and prices of the dumped and 
non-dumped imports, the 
margin of dumping, and for 
non-dumped imports, the 
amount by which the export 
price exceeded the normal 
value;  
 
  (b) the past and likely future 
performance of the exporters, 
foreign producers, brokers and  11.3.2 If in special circumstances, authorities 
initiate a review under paragraph 3 in 
the absence of a written application by 
or on behalf of the domestic industry, 
they shall proceed only if they have 
sufficient evidence to warrant an 
examination as to whether dumping and 
injury are likely to continue or recur 
should the duty expire.  The authorities 
shall set forth in the relevant public 
notices pursuant to Article 12 the 
special circumstances underlying the 
decision to initiate a review in the  
absence of a written application by or 
on behalf of the domestic industry.    
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traders including in respect of 
production, capacity utilization, 
the potential to extend 
production to facilities 
currently used to produce other 
products, costs, sales volumes, 
prices, inventories, market 
share, exports, and profits;  
 
  (c) changes in market conditions in 
the economy of the Member 
and internationally, including 
changes in the supply of and 
demand for the imports, in 
sources of imports into the 
Member, and in prices, market 
share and inventories; and  
 
  (d) evidence of the imposition of 
anti-dumping or countervailing 
duties by other Members in 
respect of like or similar 
products, and evidence that 
such duties are likely to cause a 
diversion of imports into the 
Member.]]]]  
 
 11.3.3 [[[ [In determining whether the expiry of 
the duty would be likely to lead to 
continuation or recurrence of injury, the 
authorities shall make a determination 
based on positive evidence with respect 
to an objective ex amination of all 
relevant factors, including:]]  
 
  [[(a) the likely volume of dumped 
imports if the duty is allowed to 
expire, and, in particular, 
whether there is likely to be a 
significant increase in the 
volume of the dumped imports, 
either in absolute terms or  11.3.3 A review under paragraph 3 shall be 
initiated not later than six months prior 
to the end of the five year period 
following the imposition of the duty or 
of the five year period following the 
most recent review of the anti-dumping 
duty.  The review shall preferably be 
completed before the end of that five-
year period and shall in no case be 
completed later than six months 
thereafter.  Irresp ective of whether a 
review under paragraph 3 is completed 
after the end of that five-year period, the 
result of the review shall be effective as 
of that date.  In the event that the review Some delegations welcomed the timeframes  for 
completion of investigations in the Chairman's text, while 
another delegation indicated that the changes were acceptable even if they requir ed changes to its current 
system.  One delegation continued to support completion 
of the review with the five-year period.    
A number of delegations considered that while refunds 
might appropriately be made, there was no need to provide for the payment of interest.    
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relative to the production or 
consumption of the like 
product;  
 
  (b) the likely pri ces of the dumped 
imports if the measure is 
allowed to expire and their 
effect on the prices of the like 
product, and, in particular, 
whether the dumped imports 
are likely to significantly 
undercut the prices of the like 
product, or lead to price 
depression or price 
suppression;  
 
  (c) the likely performance of the 
domestic industry and of the 
foreign industry, taking into 
consideration their recent 
performances, including trends 
in production, capacity 
utilization, the potential for 
foreign producers to extend 
production to facilities 
currently used to produce other 
products, the employment 
levels, prices, sales, 
inventories, market share, 
exports and profits;  
 
  (d) the likely impact of the dumped 
imports on the domestic 
industry if the measure is 
allowed to expire, having 
regard to all relevant economic 
factors and indices, including 
any potential decline in output, 
sales, market share, profits, 
productivity, return on 
investments or utilization of 
production capacity, and any results in the termination of the duty, the 
importing Member shall refund any 
monies collected in respect of imports 
occurring after the effective date of the 
termination and shall pay a reasonable 
amount of interest on such monies.    
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potential negative effects on 
cash flow, inventories, 
employment, wages, growth, 
including efforts to produce a 
derivative or more advanced 
version of the like product, or 
the ability to raise capital;  
 
  (e) changes in market conditions in 
the economy of the Member 
and internationally, including 
changes in the supply of and 
demand for the imports, as well 
as any changes in trends and in 
sources of imports into the 
Member; and  
 
  (f) evidence of the imposition of 
anti-dumping or countervailing 
duties by other Members in 
respect of like or similar 
products, and evidence that 
such duties are likely to cause a 
diversion of imports into the 
Member.]]  
 11.3.4  [[The determination whether the expiry 
of the duty would be likely to lead to 
continuation or recurrence of dumping 
shall be made on an exporter or 
producer specific basis.  The authorities 
shall terminate the anti-dumping duty 
for any exporter or producer for which 
the authorities have not found that the 
expiry of the duty would be likely to 
lead to continuation or recurrence of 
dumping.]]  
 
 11.3.4.1 [[The authorities shall evaluate all 
relevant factors, including the following 
factors, in determining whether the 
expiry of the duty would be likely to 
lead to continuation or recurrence of  11.3.4 A determination whether the expiry of 
an anti-dumping duty would be likely to 
lead to continuation or recurrence of 
dumping and injury shall be based on 
positive evidence and involve an 
objective examination of all relevant 
factors.  The weight to be accorded to 
particular factors will depend upon the 
facts of each review, and no one or 
several factors can necessarily give 
decisive guidance.55  
______________________ 
 55 Thus, the authorities shall not rely on presumptions 
that assign decisive we ight to particular 
factors.  They may, however, draw 
reasonable inferences about the future from 
evidence on current facts if such inferences   
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dumping:  
 are supported by an anal ysis of the evidence 
as a whole.  
  (a) the normal value in the most 
recent one year period and  
any changes in the export 
transaction prices and volume 
thereof to the importing 
Member from the imposition 
of the anti-dumping duty up 
to the time of this review;89 
______________________ 
 89 [[If the authorities calculate the margin of dumping, 
such margin of dumping shall be calculated in accordance with 
the provisions of Article 2.]]  
   
  (b) the past and likely future 
performance of the exporter 
and producer, including in 
respect of production, 
capacity utilization, costs, 
sales, prices, inventories, 
market share, exports to third 
countries, and profits; and  
   
  (c) changes in market conditions 
in the exporting country, in 
the importing Member and in  
third countries, including 
changes in the supply of and 
demand for the like product90, 
in sources of the like product 
in the importing Member, and 
in prices, market share and 
inventories thereof.]]  
______________________ 
 90 [[This may include eviden ce of the imposition of 
anti-dumping or countervailing duties by other Members in 
respect of the like product, and evidence that such duties are 
likely to cause a diversion of imports into the Member.]]  
   
 11.3.5 [[The authorities shall determine 
whether the expiry of the duty would be  11.3.5 Any anti-dumping duty extended 
beyond the end of the initial five year   
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likely to lead to continuation or 
recurrence of injury to the domestic 
industry through the effects of imports 
from exporters or producers likely to 
dump if the duty expires (referred in this 
paragraph as “likely dumped imports”).  
The authorities may find that the 
likelihood to lead to recurrence of injury 
exists only where the recurrence of 
injury to the domestic industry is clearly 
foreseen and imminent.]]  
 
 11.3.5.1 [[The authorities shall evaluate all 
relevant factors, including the following 
in determining whether the expiry of the 
duty would be likely to lead to 
continuation or recurrence of injury to 
the domestic industry:  
 period following a review in accordance 
with paragraph 3 shall be terminated on 
a date not later than ten years after the 
date of the imposition of the anti-
dumping duty.  
  (a) the likely volume of the likely 
dumped imports, and, in 
particular, whether there is 
likely to be a significant 
increase in the volume of 
these imports, either in 
absolute terms or relative to 
the production or 
consumption of the like 
product in the importing 
Member;    
  (b) the likely prices of the likely 
dumped imports, and likely 
effect of such prices on the 
prices of the domestic like 
product, in particular, whether 
these imports are likely to 
significantly undercut the 
prices of the domestic like 
product, or lead to price 
depression or price 
suppression;  
    
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  (c) the likely impact of the likely 
dumped imports on the 
domestic industry, having 
regard to all relevant 
economic factors and indices, 
including any potential 
decline in output, sales, 
market share, profits, 
productivity, return on 
investments or utilization of 
production capacity, and any  
potential negative effects on 
cash flow, inventories, 
employment, wages, growth, 
including efforts to produce a 
derivative or more advanced 
version of the like product, or 
the ability to raise capital or 
investments;  
   
  (d) changes in market conditions  
in the exporting country, in 
the importing Member and in 
third countries, including 
changes in the supply of and 
demand for the like product91, 
as well as any changes in 
trends and in sources of the 
like product in the importing 
Member; and  
______________________ 
 91 [[This may include eviden ce of the imposition of 
anti-dumping or countervailing duties by other Members in 
respect of the like product, and evidence that such duties are 
likely to cause a diversion of imports into the Member.]]  
   
  (e) likely effects of known 
factors other than the likely 
dumped imports to the injury 
to the domestic industry, 
including, inter alia, the likely 
volumes and prices of imports    
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of the like product other than 
those from exporters or 
producers likely to dump, 
contraction in demand or 
changes in the patterns of 
consumption, trade restrictive 
practices of and competition 
between the foreign and 
domestic producers, 
developments in technology  
and of products other than the 
like product, and the export 
performance and productivity 
of the domestic industry.]]  
 
 11.3.5.2 [[For purposes of determinations under 
this paragraph, authorities may not 
cumulatively assess the likely effects of 
likely dumped imports from more than 
one country when determining the 
likelihood of recurrence of injury to the 
domestic industry, unless these imports 
are simultaneously subject to the review 
under this paragraph and the authorities 
determine that (a) the likely volume of 
likely dumped imports from each 
country is not negligible, and (b) a 
cumulative assessment of the likely 
effects of the likely dumped imports is 
appropriate in light of the conditions of 
competition between these imports and 
the conditions of competition between 
these imports and the like domestic 
product.]]  
   
 11.3.6 [[A request from the domestic industry 
to initiate a review under this paragraph 
shall include evidence of likelihood to 
lead to continuation or recurrence of 
dumping and injury if the anti-dumping 
duty expires.  Simple assertion, 
unsubstantiated by relevant evidence,  11.3.6 If during a period not longer than two 
years from the date of termination of an 
anti-dumping duty pursuant to sub-
paragraph 3.5, the authorities initiate an 
investigation pursuant to Article 5 on 
the basis of an application containing 
sufficient evidence of dumping, injury   
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cannot be considered sufficient to meet 
the requirements of this paragraph.  The 
request shall contain such information as 
is reasonably available to the applicant 
on the following:  
 and causal link pursuant to Article 5.3, 
the authorities of the importing Member 
may take, under this Agreement in 
conformity with its provisions, 
expeditious actions which may 
constitute immediate application of 
provisional measures using the best 
information available.  In such cases, 
definitive duties may be levied in 
accordance with th is Agreement on 
products entered for consumption not 
more than 90 days before the 
application of such provisional 
measures, except that any such 
retroactive assessment shall not apply to 
imports entered before the date of 
termination of the anti-dumping duty.  
  (i) information demonstrating that 
the request is made on behalf of 
the domestic industry as 
defined under paragraph 4 of 
Article 5 at the time of the 
request;  
   
  (ii) the identity of each known 
exporter or foreign producer, 
which has been covered by the 
measure under review;  
   
  (iii) information on the current 
normal value of the product in 
question, and the current export 
prices thereof, or, where 
appropriate, the current 
constructed export price 
thereof, and information, where 
the export price is not available, 
on the prices at which the 
product is sold from the 
country or countries of origin 
or export to a third country or 
countries and the prices in the    
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country of origin or export;  
 
  (iv) information on the likely trend 
of normal value, and likely 
trend of export price, or where 
appropriate of the likely 
constructed export price 
thereof, if the duty expires; and  
   
  (v) information on the likely 
impact of the likely dumped 
imports on the domestic 
industry, as demonstrated by 
relevant factors and indices, 
such as those listed in 
subparagraph 3.5.1.]]  
   
 11.3.6.1 [[The authorities shall examine the 
accuracy and adequacy  of the evidence 
provided in the request to determine 
whether there is sufficient evidence to 
justify the initiation of a review under 
this paragraph.]]  
   
 11.3.7 [[Notwithstanding the provisions of 
subparagraph 3.4.1, the authorities shall 
allow exporters or producers subject to a 
review under this paragraph to submit 
the expected price at which the product 
would be exported by the exporter or 
producer to the importing Member if the 
definitive anti-dumping duty in force 
were to be terminated (referred in this 
paragraph as “expected export price”), 
substantiated by relevant information 
relating to its past performance92, 
provided that such expected export price 
is not less than the normal value in the 
most recent one year period (or the 
normal value found in the most recent  
proceeding, including a review under 
Article 9, a review under paragraph 2 of  
   
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this Article if that review has covered 
dumping, or the original investigation, 
whichever is most recent).93]]  
_____________________ 
 92 [[One example of such re levant information would 
be the export price of the like product by the exporter or 
producer to a third country.]]  
 
 93 [[This shall not be interpreted that the exporter or 
producer must provide the necessary evidence regarding normal 
value in cases where the authorities have already obtained such 
evidence from previous proceedings.]]  
 
 11.3.7.1  [[In cases where the exporter or 
producer submit the expected export 
price, the imposition of the definitive 
anti-dumping duty shall be suspended 
for [Y] months unless the authorities 
determine, based on relevant 
information relating to the past 
performance of the exporter or producer, 
that the actual level of the export price 
after the suspension of the anti-dumping 
duty is not likely to be at or above the 
level of the expected export price,94 or 
the authorities determine, based on an 
evaluation of the factors in subparagraph 
3.4.1, that the expiry of the duty would 
not be likely to lead to continuation or 
recurrence of dumping (in which case 
the anti-dumping measure shall be 
terminated pursuant to subparagraph 
3.3).]]  
_____________________ 
 94 [[If the authorities determine that the actual level of 
the export price after the suspen sion of the anti-dumping duty is 
not likely to be at or above the le vel of the expected export price, 
the authorities shall disclose positive evidence which have led 
them to such determination an d shall provide the exporter or 
producer an ample opportunity to make comments thereon.]]  
 
 
    
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 11.3.7.2  [[When the imposition of the definitive 
anti-dumping duty has been suspended 
pursuant to subparagraph 3.7.1, the 
authorities may require the exporter or 
producer to provide information relevant 
to the actual export pr ice for a period of 
[Z] months after the suspension. The 
authorities may determine that the 
expiry of the duty is likely to lead to 
continuation or recurrence of dumping 
only if the weighted average actual 
export price for that period is less than 
the expected export price, in which case 
anti-dumping duties may be levied 
retroactively for the period of the 
suspension of the anti-dumping 
measure, provided that the authorities 
determine, pursuant to subparagraph 3.5, 
that the expiry of the duty would be 
likely to lead to continuation or 
recurrence of injury to the domestic 
industry. ]] ]]  
   
11.4 The provisions of Article 6 regarding evidence 
and procedure shall apply to any review carried out under 
this Article.  Any such review shall be carried out expeditiously and shall [[
normally ]] be concluded within 
12 months of the date of initiation of the review [[,but in 
no case longer than 18 months]] . 
 11.4 The provisions of Article 6 regarding evidence 
and procedure shall apply to any review carried out under 
this Article.  Any such review shall be carried out expeditiously and shall normally be concluded within 12 
months of the date of initiation of the review. 
  
11.5 The provisions of this Article shall apply 
mutatis mutandis  to price undertakings accepted under 
Article 8.  11.5 The provisions of this Article shall apply 
mutatis mutandis  to price undertakings accepted under 
Article 8.   
11.6 [[If the authorities calculate the margin of 
dumping in any review under this Article, such margin of 
dumping shall be calculated in accordance with the 
provisions of Article 2.]]  
    
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Article 12  
Public Notice and Explanation of Determinations  
 Article 12  
Public Notice and Explanation of Determinations   
12.1 When the authorities are satisfied that there is 
sufficient evidence to justify the initiation of an 
anti-dumping investigation pursuant to Article 5, the 
Member or Members the produc ts of which are subject to 
such investigation and other interested parties [[identified 
byknown to ]] the investigating authorities [[ to have an 
interest therein ]]shall be notified and a public notice shall 
be given. 
 12.1 When the authorities are satisfied that there is 
sufficient evidence to justify the initiation of an 
anti-dumping investigation pursuant to Article 5, the 
Member or Members the produc ts of which are subject to 
such investigation and other interested parties known to 
the investigating authorities to have an interest therein 
shall be notified and a public notice shall be given.   
 12.1.1 A public notice of the initiation of an 
investigation shall contain, or otherwise make available through a separate 
report
95, adequate information on the 
following: 
______________________ 
 95 Where authorities provide information and 
explanations under the provisions of this Article in a separate 
report, they shall ensure that such report is readily available to 
the public. 
 12.1.1 A public notice of the initiation of an 
investigation shall contain, or otherwise make available through a separate 
report
56, adequate information on the 
following: 
  
  [[ [[ (i) the name of the exporting 
country or countries and the 
product involved;  
 
  (ii)  the date of initiation of the 
investigation;  
 
  (i ii) the basis on which dumping is 
alleged in the application;  
   (iv)
 a summary of the factors on 
which the allegation of injury 
is based;  
 
  (v)  the address to which 
representations by interested 
parties should be directed;  
 
  (vi)  the time -limits allowed  to    
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interested parties for making 
their views known. ]] 
 
 [[(i) a description of the product 
under investigation to which 
the initiation applies, including 
its tariff classification for 
Customs purposes, the name of 
the exporting country or 
countries, and the names of the 
known exporters and foreign 
producers of the product under 
investigation;   
   (i) a description of the product 
under consideration, including 
its tariff classification for 
customs purposes, the name of 
the exporting country or 
countries,  and the names of the 
known exporters and foreign 
producers of the 
productproduct involved ;  
 (ii) information concerning the 
domestic like product and 
domestic industry, including 
the names of the domestic 
producers of the like product 
submitting and supporting the 
application, the names of other 
domestic producers of the like 
product insofar as they are 
known to the investigating 
authorities and, if relevant, 
information regarding any 
exclusion of producers for the 
purposes of defining the 
domestic industry;  
   (ii) the domestic like product and 
the domestic industry, 
including whether any domestic 
producers were excluded from 
the domestic industry, and the 
names of the applicant and of 
the domestic producers of the 
like product (or, if relevant, 
associations of producers) 
supporting the application and 
of other domestic producers of 
the like product insofar as they 
are known to the investigating 
authorities;   
 (iii) information concerning the 
procedural background of the 
investigation, including the 
date on which  the application 
was received, the date on 
which  the application was 
found to be in compliance with 
the requirements of Article 5 as 
to the allegations of dumping 
and injury and the 
determination of industry 
support, and the date of   (iii) the procedural background of 
the investigation, including the 
date on which the application 
was received and the date of 
initiation of the investigation;   
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initiation of the investigation;  
 
 (iv) the basis on which dumping is 
alleged in the application;  
   (iv ii) the basis on which dumping is 
alleged in the application;  
 (v) a summary of the factors on 
which the allegation of injury 
is based, and;  
   (i v) a summary of the factors on 
which the allegation of injury is 
based;  
 (vi) information relevant to the  
continuation of the 
investigation, including next 
steps in the process, and related 
time frames, and information 
concerning a contact to whom 
representations by interested 
parties should be directed.]] ]]  
   (vi) whether the authorities may 
consider limiting their 
examination in accordance with 
paragraph 10 of Article 6 and 
any procedures in that respect;  
and  
   (vii ) next steps in the process, 
related time frames, periods of 
data collection and a contact to 
whom the address to which  
representations by interested 
parties should be directed;  
   (vi)  the time -limits allowed to 
interested parties for making 
their views known . 
 _____________________ 
 56 Where authorities provide information and 
explanations under the provisions of this Article in a separate 
report, they shall ensure that such report is readily available to 
the public. 
 
  
  [[ [[(i) a description of the product 
under investigation to which 
the initiation applies, including 
its tariff classification for 
customs purposes,]]  the name 
of the exporting country or countries involved[[, and the    
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names of the known exporters 
and foreign producers of the 
product under investigation;]]  
 
  (ii) the date of initiation of the 
investigation;  
   
  (iii) [[the names of all individual 
domestic producers of the like 
product who support the 
application, and the volume 
and value of each such 
producer’s domestic 
production of the like 
product;]]  
   
  (iv) the basis on which dumping is 
alleged in the application; 
  (v) a summary of the factors on 
which the allegation of injury 
[[and the existence of causal 
link]]  is based; 
    
  (vi) the address to which 
representations by interested 
parties should be directed; 
   
  (vii) the time-limits allowed to 
interested parties for making 
their views known [[, and any 
other information relevant to 
the continuation of the 
investigation including next 
steps and related time-
frames;]]  
   
  (viii) [[whether the authorities may 
consider limiting their 
examination in accordance 
with paragraph 10 of Article 6,    
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and any procedures in that 
respect.]] ]]  
 
12.2 Public notice shall be given of any preliminary or final determination, whether affirmative or negative, of 
any decision to accept an undertaking pursuant to 
Article 8, of the termination of such an undertaking, and of the termination of a definitive anti-dumping duty.  Each 
such notice shall set forth, or otherwise make available 
through a separate report, in sufficient detail the findings and conclusions reached on all issues of fact and law 
considered material by the investigating authorities.  [[The 
authorities shall provide a reasoned and adequate 
explanation for all findings and conclusions made, 
including an explanation of how each relevant factor has 
been evaluated.]]  All such notices and reports shall be 
forwarded to the Member or Members the products of 
which are subject to such determination or undertaking 
and to other interested parties known to have an interest 
therein. 
 12.2 Public notice shall be given of any preliminary or 
final determination, whether affirmative or negative, of 
any decision to accept an undertaking pursuant to 
Article 8, of the termination of such an undertaking, and of the termination of a definitive anti-dumping duty.  Each 
such notice shall set forth, or otherwise make available 
through a separate report, in sufficient detail the findings and conclusions reached on all issues of fact and law 
considered material by the investigating authorities.  All 
such notices and reports shall be forwarded to the Member or Members the products of which are subject to such 
determination or undertaking and to other interested 
parties known to have an interest therein.   
 12.2.1 [[In the A]] public notice of [[ the 
imposition of provisional 
measures ]][[preliminary determination 
the authorities]]  shall set forth, or 
otherwise [[within seven days of the 
public notice]]  make available through a 
separate report, sufficiently detailed explanations for the preliminary 
determinations on dumping and injury 
[[
and shall refer to the matters of fact 
and law which have led  to arguments 
being accepted or rejected ]].  Such a 
notice or report shall, due regard being paid to the requirement for the 
protection of confidential information, 
contain in particular: 
  12.2.1 A public notice of the imposition of 
provisional measures shall set forth, or 
otherwise make available through a 
separate report, sufficiently detailed explanations of the analysis underlying 
for the preliminary determinations on 
dumping and injury and shall refer to the matters of fact and law which have 
led to arguments being accepted or 
rejected.  Such a notice or report shall, due regard being paid to the requirement 
for the protection of confidential 
information, contain in particular: 
  
[[ [[(i) the names of the suppliers, or 
when this is impracticable, the 
supplying countries involved;  
  (i)  the names of the suppliers, or when this 
is impracticable, the supplying countries 
involved;  
 (i i) a description of the product under   
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consideration, including its tariff 
classification which is sufficient for 
customs purposes, the name of the 
exporting country or countries, and the 
names of the known exporters and 
foreign producers of the product under 
consideration ; 
 
(ii) a description of the product 
which is sufficient for customs 
purposes;  
 
  (ii) information concerning the domestic 
like product and the domestic industry, 
including the names of all known 
domestic producers of the like product;   
(iii) the margins of dumping 
established and a full 
explanation of the reasons for 
the methodology used in the 
establishment  and comparison 
of the export price and the 
normal value under Article  2; 
  (iii) the periods of data collection for both 
the preliminary dumping and 
preliminary injury analysis, and the 
basis for the selection of such periods;   
(iv) considerations releva nt to the 
injury determination as set out 
in Article  3; 
  (iv ii) the margins of dumping established and 
information concerning the calculation 
of the margins of dumping, including 
ana full  explanation of the basis upon 
which normal values were established 
(sales in the home market, sales to a 
third market or constructed normal 
value), the basis upon which export 
prices were established (including, if 
appropriate, the adjustments related to 
the construction of export price), and 
reasons for the methodology used in the 
establishment and comparison of normal 
values and the export prices  (including 
any adjustments made to reflect 
differences affecting price 
comparability) and the normal value 
under Article  2;  
(v) the main reasons leading to the 
determination. ]] 
 (iv) considerations information relevant to 
the injury determination as set out in Article 3, including information   
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concerning the domestic market for the 
subject imports and the like product, the 
volume and the price effects of the 
subject  imports, the consequent impact 
of the subject imports on the domestic 
industry and, if relevant, the factors 
leading to a conclusion of threat of 
material injury or material retardation of 
the establishment of a domestic 
industry ; 
  (vi) information concerning any use of full 
or partial facts available, including, 
where applicable, the reasons why 
information submitted by a party was 
rejected;   
  (vii) information concerning the on-the-spot 
verification of information used by the 
authorities, if undertaken;   
  (viii) information on any provisional measures 
being imposed, including the form, 
level, and duration of such measures; 
and  
  (ix) information concerning next steps in the 
process, and related time frames, and 
information concerning a contact to 
whom representations by interested 
parties should be directed (v) the main 
reasons leading to the determination . 
  
  [[(i) Name of the applicant;  
   
  (ii) A full description of the 
product under investigation 
including the name of the 
exporting country or countries 
involved and the names of the 
known exporters and foreign 
producers of the product under 
investigation;  
 
    
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  (iii) Date and number of the public 
notice to initiate;  
   
  (iv) Information concerning the 
domestic like product and the 
domestic industry;  
   
  (v) Information concerning 
verification of information used 
by the authorities;  
   
  (vi) Margins of dumping and 
methodology used to determine 
the margin of dumping;  
   
  (vii) Injury factors considered;  
   
  (viii) Causality factors considered;  
and 
   
  (ix) Information on provisional 
measures, if any, being 
imposed.]]  
   
  [[(i) a description of the product 
under investigation, including 
its tariff classification for 
Customs purposes, the name of 
the exporting country or 
countries, and the names of the 
known exporters and foreign 
producers of the product under 
investigation;   
   
  (ii) the periods of data collection 
for both the preliminary 
dumping and preliminary injury 
analysis, and an explanation of 
the rationale for the selection of 
such periods;  
    
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  (iii) the margins of dumping 
established and information 
concerning the calculation of 
the dumping margin, including 
information regarding: normal 
values, including whether 
normal values were based on 
sales in the home market, sales 
to a third market or constructed 
normal value; export prices, 
including, if appropriate, the 
adjustments related to the 
construction of export price; the 
methodology of comparisons 
including adjustments, and, if 
appropriate, information on any 
application of sampling;  
   
  (iv) information concerning any 
situation where the 
determination of dumping was 
made on the basis of full or 
partial facts available, including 
information as to why resort 
was had to facts available, and 
what information the 
authorities used to determine 
the dumping margin. The 
information provided should 
include, if applicable, the 
reasons why information 
submitted by a party was 
rejected in favour of recourse to 
facts available;  
   
  (v) information concerning the 
domestic like product and 
domestic industry, including    
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the names of all known 
domestic producers of the like 
product and, if relevant, 
information regarding any 
exclusion of producers for the 
purposes of defining the 
domestic industry;  
 
  (vi) information, as is reasonably 
available, relevant to the injury 
determination as set out in 
Article 3, including information 
concerning the domestic market 
for the subject imports and the 
like product, the volume and 
the price effects of the subject 
imports, the consequent impact 
of the subject imports on the 
domestic industry and, if 
relevant, the factors leading to a 
conclusion of threat of material 
injury;  
   
  (vii) information concerning the 
verification of information used 
by the authorities, if 
undertaken;    
  (viii) information on the provisional 
measures being imposed, 
including the form, level, and  
duration of such measures;      
  (ix) information relevant to the 
continuation of the 
investigation, including next 
steps in the process, and related 
time frames, and information 
concerning a contact to whom 
representations by interested 
parties should be directed; and     
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  (x) information concerning the 
possibility for exporters to offer 
price undertakings.]]  
   
  [[(i) [[ the names of the suppliers, or 
when this is impracticable, th e 
supplying countries involved]]  
[[the name of the exporting 
country or countries involved, 
and the names of the known 
exporters and foreign 
producers of the product under 
investigation]];  
   
  (ii) a description of the product 
[[under investigation, including 
its tariff classification]]  [[which 
is sufficient]]  for customs 
purposes;   
  (iii) the margins of dumping 
established and a full 
explanation of the reasons for 
the methodology used in the establishment and comparison 
of the export price and the 
normal value under Article 2[[, 
including information regarding 
normal values (including 
whether normal values were 
based on sales in the home 
market, sales to a third market 
or constructed normal value), 
export prices, and - if 
appropriate - any adjustments 
made]];    
  (iv) [[considerations relevant to]]  
the injury determination as set 
out in Article 3[[, and the facts 
upon which it is based]];     
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  (v) the main reasons leading to the 
determination[[ .;]] 
   
  (vi) [[the periods for data collection 
for the dumping and injury 
analysis, and an explanation of 
the rationale for the selection of 
such periods;]  
   
  (vii) [[the names of all known 
domestic producers of the like 
product, and the volume and 
value of each such producer’s 
domestic production of the like 
product, identifying which 
producers support the 
application to initiate an 
investigation , and, if relevant, 
information regarding any 
exclusion of producers for the 
purposes of defining the total 
domestic production;]]  
   
  (viii) [[the right of exporters to offer 
price undertakings as well as 
information regarding the 
applicable rules and procedures 
to be followed in requesting 
consideration of price 
undertakings, including any 
procedural deadlines;]]  
   
  (ix) [[the considerations 
which led to the use of 
a limited examination 
according to 
paragraph 10 of 
Article 6, the 
procedure used to 
select the producers or 
exporters included , 
and an explanation of    
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the choice of 
companies or 
products;]]  
 
  (x) [[information 
concerning the 
verification of 
information used by 
the authorities, if 
undertaken; and]]  
   
  (xi) [[information relevant 
to the continuation of 
the investigation, 
including next steps in 
the process, and 
related time frames, 
and information 
concerning contact to 
whom representations 
by interested parties 
should be directed.]] 
]] 
   
12.2.2 A public notice of conclusion or 
suspension of an investigation in the case of an affirmative determination 
providing for the imposition of a 
definitive duty or the acceptance of a price undertaking shall contain, or 
otherwise make available through a 
separate report, all relevant information on the matters of fact and law and 
reasons which have led to the 
imposition of final measures or the acceptance of a price  undertaking, due 
regard being paid to the requirement for 
the protection of confidential  information.  In particular, the notice or 
report shall contain the information 
described in subparagraph 2.1, as well 
as the reasons for the acceptance or 12.2.2 A public notice of conclusion or 
suspension of an investigation in the case of an affirmative determination 
providing for the imposition of a 
definitive duty or the acceptance of a price undertaking shall contain, or 
otherwise make available through a 
separate report, all relevant information on the matters of fact and law and 
reasons which have led to the 
imposition of final measures or the acceptance of a price  undertaking, due 
regard being paid to the requirement for 
the protection of confidential  information.  In particular, the notice or 
report shall contain the information 
described in subparagraph 2.1, to the 
extent applicable, as well as the reasons   
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rejection of relevant arguments or 
claims made by the exporters[[, the 
producers of the exporting Member  and 
importers.]][[ , and the basis for any 
decision made under subparagraph  10.2 
of Article  6.]] 
 for the acceptance or rejection of 
relevant arguments or claims made by 
the exporters, foreign producers  and 
importers, and the basis for any decision 
made under subparagraph  10.2 of 
Article  6. 
 
12.2.3 A public notice of the termination or 
suspension of an investigation following 
the acceptance of an undertaking pursuant to Article 8 shall include, or 
otherwise make available through a 
separate report, the non-confidential part of this undertaking.  
 12.2.3 A public notice of the termination or 
suspension of an investigation following 
the acceptance of an undertaking pursuant to Article 8 shall include, or 
otherwise make available through a 
separate report, the non-confidential part of this undertaking.  
  
12.3New [[Public notice shall be given, in sufficient detail, 
of the procedures referred to in subparagraph 9.1(b), and 
of any determinations, including supporting reasons, 
associated with such procedures.]]  
   
12.3 The provisions of [[paragraphs 1 and 2 of]]  this 
Article shall apply mutatis mutandis  to the initiation and 
completion of reviews pursuant to Article 11 and to decisions under Article 10 to apply duties retroactively. 
 12.3 The provisions of this Article shall apply 
mutatis mutandis  to proceedings conducted pursuant to 
Articles 9.1, 9.3 and 9.5,  to decisions under Article 10 to 
apply duties retroactively and to the initiation and 
completion of reviews pursuant to Articles 9 bis and  11 
and to decisions under Article  10 to apply duties 
retroactively . 
 Several delegations believed that the obligation to publish 
duty assessment determinations pursuant to Article 12 
would be unduly burdensome, particularly in light of the large number of determinations.   
[[12.4 The authorities shall ma intain a public register of 
all definitive anti-dumping measures currently in 
force in that Member.  The register shall contain 
the following information in respect of each of 
the anti-dumping measures in question:  
   
 (i) the subject product (including its tariff 
classification for customs purposes);  
   
 (ii) the exporting country or countries 
concerned;  
   
 (iii) the date(s) of imposition of the anti-    
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dumping measure and subsequent 
review(s)96; 
 
 (iv) in respect of each exporting country 
concerned, the range (i.e. the highest 
and lowest) of individual anti-dumping 
duty rate currently in force, the 
applicable duty for “all other” exporters 
under paragraph 4 of Article 9 and the 
lesser duty rate97; 
   
 (v) the size98 of the domestic industry;   
   
 (vi) the total volume or value of import of 
the subject product from each exporting 
country concerned, and the share of the 
domestic consumption of the like 
product (including the product under 
consideration) in the importing 
Member, for the most recent calendar or 
financial year99, unless information has 
to be withheld to protect confidential 
business information of 
producers/exporters;  
   
 (vii) the total amount of anti-dumping duty 
collected100 on the subject product 
imported during the most recent 
calendar or financial year from each 
exporting country.]]  
   
______________________ 
 96 [[Where the measure is s ubject to ongoing review, 
the type of review and the date of initiation; if the measure is 
terminated during the reporting period, the date of termination.]]  
 97 [[For Members operating a prospective normal value 
system, information on the range  of anti-dumping duty rate and 
all others rate to be provided refers to the relevant dumping 
margins established at the  time of the original investigation.  
Where duty is suspended, the date and duration of suspension 
should be given.]]  
 98  [[i.e. the actual or estimated number of producers    
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and employees at the time of initiation, or more recent figures if 
available.  Information should be based on identified official or 
other independent sources.  If su ch sources are not available, 
information may be base d on best estimates.]]  
 99 [[Where actual figures cannot be obtained despite 
best endeavours, the figures ma y be based on be st estimates.]]  
 100 [[In the case of a retros pective duty assessment 
system, this includes the cash deposits paid in respect of entries 
made during the reference period.]]  
 
Article 13  
Judicial Review  
 Article 13  
Judicial Review   
 Each Member  whose national legislation 
contains provisions on anti-dumping measures shall maintain judicial, arbitral or administrative tribunals or 
procedures for the purpose, inter alia , of the prompt 
review of administrative actions relating to final determinations and reviews of determinations within the 
meaning of Article 11.  Such tribunals or procedures shall 
be independent of the authorities responsible for the determination or review in question. 
  Each Member  whose national legislation 
contains provisions on anti-dumping measures shall maintain judicial, arbitral or administrative tribunals or 
procedures for the purpose, inter alia , of the prompt 
review of administrative actions relating to final determinations and reviews of determinations within the 
meaning of Article 11.  Such tribunals or procedures shall 
be independent of the authorities responsible for the determination or review in question. 
  
Article 14  
Anti-Dumping Action on Behalf of a Third Country  
 Article 14  
Anti-Dumping Action on Behalf of a Third Country  
  
14.1 An application for anti-dumping action on behalf 
of a third country shall be made by the authorities of the 
third country requesting action.  
 14.1 An application for anti-dumping action on behalf 
of a third country shall be made by the authorities of the 
third country requesting action.   
14.2 Such an application shall be supported by price 
information to show that the imports are being dumped and by detailed information to show that the alleged 
dumping is causing injury to the domestic industry 
concerned in the third country.  The government of the third country shall afford all assistance to the authorities 
of the importing country to obtain any further information 
which the latter may require.  14.2 Such an application shall be supported by price 
information to show that the imports are being dumped and by detailed information to show that the alleged 
dumping is causing injury to the domestic industry 
concerned in the third country.  The government of the third country shall afford all assistance to the authorities 
of the importing country to obtain any further information 
which the latter may require. 
  
14.3 In considering such an application, the 
authorities of the importing country shall consider the 14.3 In considering such an application, the 
authorities of the importing country shall consider the   
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effects of the alleged dumping on the industry concerned 
as a whole in the third country;  that is to say, the injury 
shall not be assessed in relation only to the effect of the alleged dumping on the industry's exports to the importing 
country or even on the industry's total exports.  [[The 
decision whether or not to pr oceed with a case shall rest 
with the importing country.]]  
 effects of the alleged dumping on the industry concerned 
as a whole in the third country;  that is to say, the injury 
shall not be assessed in relation only to the effect of the alleged dumping on the industry's exports to the importing 
country or even on the industry's total exports. 
 
14.4 [[ The decision whether or not to proceed with a 
case shall rest with the  importing country.  If the 
importing country decides that it is prepared to take 
action, the initiation of the approach to the Council for 
Trade in Goods seeking its approval for such action shall 
rest with the importing country. ]] 
 14.4 Notwithstanding the provisions of Article 
VI:6(b) of GATT 1994, Tthe decision whether or not to 
proceed with a case shall rest solely with the importing 
country;  provided, that  If the importing country decides 
that it is prepared to take action, the initiation of the 
approach to  shall notify the Council for Trade in Goods of 
its decision to initiate such an investigation seeking  its 
approval for such action shall rest with the importing 
country . 
 Some delegations welcomed the Chair text on the issue of 
third country dumping, as in their view the current rules 
in this area are unworkable , although it was emphasized 
that many other issues would have to be addressed if this 
provision were to be operationalised.  Other delegations expressed concern that the proposed text might make such 
actions too easy and that there was a risk of politicization 
of such actions.  While it was noted that Members might be unlikely to take such actions in favour of third 
countries, one delegation noted that today, when trans-
national corporations could supply their home market 
exclusively from offshore production bases, the use of 
such a provision might be more likely.  Other delegations questioned whether it was desirable to operationalise this 
provision at all, with one delegation preferring that the 
provision be deleted entirely. 
Article 15  
Developing Country Members  
 Article 15  
Developing Country Members  
  
15. It is recognized that special regard must be given 
by developed country Members to the special situation of 
developing country Members when considering the 
application of anti-dumping measures under this 
Agreement. [[ Possibilities of c C]]onstructive remedies 
[[provided for by this Agreement ]] shall be explored 
before applying anti-dumping [[measures]][[ duties where 
they would affect the es sential interests of developing 
country Members ]].  [[In this regard, developed country 
Members shall invite consultations, within a reasonable 
period of time, before the initiation of an investigation 
against goods originating in or exported from a 
developing country Member.  Such consultations shall 
explore constructive remedies, with a view to arriving at a  It is recognized that special regard must be given by developed country Members to the special situation of 
developing country Members when considering the 
application of anti-dumping measures under this 
Agreement.  Possibilities of constructive remedies provided for by this Agreement shall be explored before 
applying anti-dumping duties where they would affect the 
essential interests of developing country Members. 
 After the Chairman's text was released, two groups of 
developing Members submitted a proposal relating to 
special and differential treatment and technical 
assistance in trade remedies (TN/RL/GEN/154),   
building on a non-textual proposal previously submitted to the Group.  The proposal relates to three broad areas: the 
exploration of constructive remedies in the case of 
developing Member exporters; the role of the government in assisting domestic industrie s in respect of the initiation 
of investigations; and tech nical assistance to enhance 
developing Members' ability to use AD measures.   With respect to constructive remedies , the proponents 
advocate that developed Members be required to invite 
developing Members to pre-initiation consultations before  
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mutually agreed upon solution short of investigation or 
imposition of measures by the developed country against 
the developing country Member.]]  
 initiating an investigation against goods originating in or 
exported from the developing Member, in order to explore 
constructive remedies short of investigation or imposition of measures.  Constructive remedies identified include 
application of a lesser duty, price undertakings, and longer 
timeframes for responses to questionnaires.  
Some delegations were generally supportive of the 
proposals.  Other delegations had doubts about the utility of inter-governmental consultations, given that dumping is 
private action outside government's control.  Certain 
delegations cautioned that consultations would cause delays, or would come too early in the process, and should 
not be mandatory. Various delegations suggested that 
consultations should be required irrespective of whether the importing Member was a developed or developing 
country.  Regarding the constructive remedies identified, 
some delegations supported or were willing to consider such remedies, while one delegation registered its strong 
opposition to the lesser duty rule.  
 
With respect to the role of governments in assisting 
domestic industries , the proposal indicated that "special 
circumstances" exist in developing Members to justify ex 
officio  initiations, and identified actions developing 
Members could take to help domestic industries gather information to initiate an investigation, including through 
information requirements associated with automatic 
import licensing and pre-shipment inspection.  Various delegations expressed concerns about these proposals.  It 
was suggested that licensing could represent a trade 
barrier, that the proposal could require governments to reveal confidential information,  and that there was a 
potential conflict of interest if a government was both 
preparing the application and judging the investigation.  Some delegations were particularly concerned about 
requiring importers to provide information about prices in 
the exporting country.             
Regarding technical assistance to enhance developing 
Members' ability to use AD measures, some delegations 
were supportive and considered the question of capability  
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to be the key to this issue.  Other delegations supported 
technical assistance gene rally, but could not accept 
mandatory technical assistance on demand.  Some delegations suggested that the focus should be on 
technical assistance for developing expo rters.                
         
[[Initiation of Investigation  
 
15.1  Members further recognise that "special 
circumstances" referred to in Article 5.6, which permit 
authorities to initiate investigations without having 
received a written application by or on behalf of the 
domestic industry for the initiation of such investigation, 
exist in developing countries.  
   
 15.1.1 Due to these "special circumstances" 
prevailing in developing countries, the 
Governments of these countries may 
play an active role in:  
   
• Assisting the domestic industry 
which is alleging that increased 
dumped imports are causing 
injury, in collecting information, 
inter alia,  on volume of imports 
and on prices, both export prices 
and prices prevailing on the 
domestic market of the exporter 
for the like product;    
• Assisting such industries in 
collecting evidence required by 
Article 5.4 on the degree of 
support or opposition to the 
application expressed by 
domestic producers in order to 
establish that the application has 
been made by or on behalf of the 
industry;    
• Requesting the investigating 
authorities to initiate 
investigations where there are    
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reasonable grounds to believe, on 
the basis of the information 
collected, that ther e is sufficient 
evidence to suggest that 
increased imports are causing 
injury to the domestic industry 
and the industry has no technical 
capacity to apply for 
investigations.  
 
 15.1.2 In the collection of evidence referred to 
in 15.1.1 above, the governments could 
exercise surveillance of trends in 
imports and the prices of products that 
are alleged to be injured by dumped 
products.   Such surveillance could be 
exercised by:  
   
• Requiring the customs 
administration to provide on 
transaction-by transaction basis, 
data on volume of imports and 
the prices of products put under 
surveillance;  
   
• Adopting systems of automatic 
licensing of imports of such 
products.  
   
 15.1.3 Where a licensing system is adopted for 
the surveillance of the imports, the 
importers shall be required to submit in 
their application for licences, 
information on quantities to be 
imported, the import price and the price 
at which the like product is being sold in 
the domestic market of the exporting 
country.   
   
 15.1.4 Such licences shall be issued 
automatically and shall not be used for    
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restrictive purposes.  The provisions of 
the WTO Agreem ent on licensing 
procedures, which require that 
automatic licences should be issued 
within a period of 10 days, shall apply 
to such licensing systems.  
 
 15.1.5 The informati on collected under the 
surveillance mechanism shall be 
published and could be used as evidence 
in support of applications to the 
investigating authorities for initiation of 
investigations:  
   
• By the affected domestic 
industry; or    
• By governments, where 
application for initiation of 
investigations is made by them.  
   
 15.1.6 The governments of countries which use 
the services of Preshipment Inspection 
Companies may use the services of 
these companies to obtain information 
on prices, of the products put under 
surveillance in the domestic market of 
the exporting country.]]  
[[Application of Anti-dumping Measures  
 
15.2  Constructive remedies shall be explored.  Such 
constructive remedies shall take the form of, inter alia ,: 
   
• Application of lesser anti-dumping duty 
than the margin of dumping, if such 
lesser duty would be adequate to remove 
the injury to the domestic industry;  
 
• Non-application, including suspension 
or termination, of provisional 
measures/or anti-dumping duties where 
any exporter from a developing country    
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Member undertakes to review its prices 
or to cease exports to the area in 
question at dumped prices;  
 
• Acceptance of pri ce undertakings from 
any exporter from a developing country 
Member provided that the undertaking is 
sufficient to eliminate the margin of 
injury;  
 
• Longer timeframes for receiving 
answers to questionnaires from 
exporters and producers of developing 
country Members.]]  
 
[[Technical Assistance  
 
15.3  Technical Assistan ce to developing country 
Members shall be provided on request by Members, and 
by the WTO Secretariat within  its competence to enhance 
the capacities of these Member countries in the 
application of anti-dumping m easures in accordance with 
the rules of the Agreement.  The areas in which such 
assistance would be needed include among others;  
   
• Establishment and strengthening of 
national legal and institutional 
frameworks for the application of anti-
dumping measures to countries which 
have not been able to establish such 
framework and for training of personnel 
in undertaking inves tigations according  
to the procedures prescribed by the 
Agreement;  
   
• Establishment and strengthening of 
regional investigating authority for 
investigations of complaints on dumping 
in countries belonging to a regional 
economic grouping;  
   
• Building and enhancing the technical    
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capacities of the officials of the 
investigating authorities for undertaking 
investigations;  
 
• Establishment of mechanisms for 
surveillance of imports of products that 
are alleged to be causing injury to 
domestic industry with a view to 
assisting them in collecting relevant 
information on trends in imports and 
their prices;  
   
• Training of lawyers, accountants and 
other professionals in the application of 
anti-dumping measures.]]  
   
[[Review of the Operation of Article 15  
 15.4  The provisions of Article 15 shall be reviewed by 
the Committee on Anti-dumping Practices after three 
years with a view to examin ing whether any modifications 
and improvements would be necessary to make it 
responsive to the needs of developing countries.]]  
   
15.5 [[Developed country Members shall have special 
regard to:  
  (a) the use of facts av ailable in the absence 
of a detailed and full response by an 
exporter in a developing country;  
 
 (b) the automatic increase in the de minimis  
margin of dumping;  
 
 (c) the automatic increase in the negligible 
volume of imports; and  
 
 (d) the automatic lapse of anti-dumping 
duties after 5 years.]]  
 
    
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PART II 
 
Article 16  
Committee on Anti-Dumping Practices  
 PART II 
 
Article 16  
Committee on Anti-Dumping Practices   
16.1 There is hereby established a Committee on 
Anti-Dumping Practices (referred to in this Agreement as 
the "Committee") composed of representatives from each 
of the Members.  The Committee shall elect its own Chairman and shall meet not less than twice a year and 
otherwise as envisaged by relevant provisions of this 
Agreement at the request of any Member.  The Committee shall carry out responsibilities as assigned to it under this 
Agreement or by the Memb ers and it shall afford 
Members the opportunity of consulting on any matters relating to the operation of the Agreement or the 
furtherance of its objectives.  The WTO Secretariat shall 
act as the secretaria t to the Committee. 
 16.1 There is hereby established a Committee on 
Anti-Dumping Practices (referred to in this Agreement as 
the "Committee") composed of representatives from each 
of the Members.  The Committee shall elect its own Chairman and shall meet not less than twice a year and 
otherwise as envisaged by relevant provisions of this 
Agreement at the request of any Member.  The Committee shall carry out responsibilities as assigned to it under this 
Agreement or by the Memb ers and it shall afford 
Members the opportunity of consulting on any matters relating to the operation of the Agreement or the 
furtherance of its objectives.  The WTO Secretariat shall 
act as the secretaria t to the Committee. 
  
16.2 The Committee may set up subsidiary bodies as 
appropriate. 
 16.2 The Committee may set up subsidiary bodies as 
appropriate. 
  
16.3 In carrying out their functions, the Committee 
and any subsidiary bodies may consult with and seek 
information from any source they deem appropriate.  
However, before the Committee or  a subsidiary body seeks such information from a source within the 
jurisdiction of a Member, it shall inform the Member 
involved.  It shall obtain the consent of the Member and any firm to be consulted. 
 16.3 In carrying out their functions, the Committee 
and any subsidiary bodies may consult with and seek 
information from any source they deem appropriate.  
However, before the Committee or  a subsidiary body seeks such information from a source within the 
jurisdiction of a Member, it shall inform the Member 
involved.  It shall obtain the consent of the Member and any firm to be consulted. 
  
16.4 Members shall report without delay to the 
Committee all preliminary or  final anti-dumping actions 
taken.  Such reports shall be available in the Secretariat 
for inspection by other Members.  Members shall also 
submit, on a semi-annual basis, reports of any anti-dumping actions taken within the preceding six 
months.  The semi-annual reports shall be submitted on an 
agreed standard form.  [[Once a year, Members shall also 
submit to the Committee an updated copy the public 
register maintained pursuant to paragraph 4 of Article 12, 
to be included in the relevant semi-annual report.]]  16.4 Members shall report without delay to the 
Committee all preliminary or  final anti-dumping actions 
taken.  Such reports shall be available in the Secretariat 
for inspection by other Members.  Members shall also 
submit, on a semi-annual basis, reports of any anti-dumping actions taken within the preceding six 
months, and a list of definitive measures in force as of the 
end of that period .  The semi-annual reports shall be 
submitted on an agreed standard form. 
   
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16.5 Each Member shall notify the Committee (a) 
which of its authorities are competent to initiate and 
conduct investigations referred to in Article 5 and (b) its 
domestic procedures governing the initiation and conduct 
of such investigations. 
 16.5 Each Member shall notify the Committee (a) 
which of its authorities are competent to initiate and 
conduct investigations referred to in Article 5 and (b) its 
domestic procedures governing the initiation and conduct 
of such investigations. 
  
16.6 [[The Committee shall review each Member's 
anti-dumping practices as laid down in Annex VI.]]  
   
16.7 [[Members shall provide the Committee on Anti-
Dumping Practices with notice setting forth, in sufficient 
detail, the procedures referred to in subparagraph 9.1(b).]]  
   
Article 17  
Consultation and Dispute Settlement  Article 17  
Consultation and Dispute Settlement  
  
17.1 Except as otherwise provided herein, the Dispute 
Settlement Understanding is applicable to consultations 
and the settlement of disputes under this Agreement. 
 17.1 Except as otherwise provided herein, the Dispute 
Settlement Understanding is applicable to consultations 
and the settlement of disputes under this Agreement. 
  
17.2 Each Member shall afford sympathetic 
consideration to, and shall afford adequate opportunity for 
consultation regarding, representations made by another 
Member with respect to any matter affecting the operation of this Agreement.  
 17.2 Each Member shall afford sympathetic 
consideration to, and shall afford adequate opportunity for 
consultation regarding, representations made by another 
Member with respect to any matter affecting the operation of this Agreement.  
  
17.3 If any Member considers that any benefit 
accruing to it, directly or indi rectly, under this Agreement 
is being nullified or impaired, or that the achievement of 
any objective is being impeded, by another Member or 
Members, it may, with a vi ew to reaching a mutually 
satisfactory resolution of the matter, request in writing 
consultations with the Member or Members in question.  Each Member shall afford sy mpathetic consideration to 
any request from another Member for consultation.   
 17.3 If any Member considers that any benefit 
accruing to it, directly or indi rectly, under this Agreement 
is being nullified or impaired, or that the achievement of 
any objective is being impeded, by another Member or 
Members, it may, with a vi ew to reaching a mutually 
satisfactory resolution of the matter, request in writing 
consultations with the Member or Members in question.  Each Member shall afford sy mpathetic consideration to 
any request from another Member for consultation.   
  
17.4 If the Member that requested consultations 
considers that the consultations pursuant to paragraph 3 have failed to achieve a mutually agreed solution, and if 
final action has been taken by the administering 
authorities of the importing Member to levy definitive 17.4 If the Member that requested consultations 
considers that the consultations pursuant to paragraph 3 have failed to achieve a mutually agreed solution, and if 
final action has been taken by the administering 
authorities of the importing Member to levy definitive   
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anti-dumping duties or to a ccept price undertakings, it 
may refer the matter to the Dispute Settlement Body 
("DSB").  When a provisional  measure has a significant impact and the Member that requested consultations 
considers that the measure was taken contrary to the 
provisions of paragraph 1 of Article 7, that Member may also refer such matter to the DSB. 
 anti-dumping duties or to a ccept price undertakings, it 
may refer the matter to the Dispute Settlement Body 
("DSB").  When a provisional  measure has a significant impact and the Member that requested consultations 
considers that the measure was taken contrary to the 
provisions of paragraph 1 of Article 7, that Member may also refer such matter to the DSB. 
17.5 The DSB shall, at the request of the complaining 
party, establish a panel to examine the matter based upon:   
(i) a written statement of the Member 
making the request indicating how a benefit accruing to it, directly or 
indirectly, under this Agreement has 
been nullified or impaired, or that the achieving of the objectives of the 
Agreement is being impeded, and 
 
(ii) the facts made av ailable in conformity 
with appropriate domestic procedures to 
the authorities of the importing Member. 
 17.5 The DSB shall, at the request of the complaining 
party, establish a panel to examine the matter based upon:   
(i) a written statement of the Member 
making the request indicating how a benefit accruing to it, directly or 
indirectly, under this Agreement has 
been nullified or impaired, or that the achieving of the objectives of the 
Agreement is being impeded, and 
 
(ii) the facts made av ailable in conformity 
with appropriate domestic procedures to 
the authorities of the importing Member. 
  
17.6 In examining the matter referred to in paragraph 5:   
 (i) in its assessment of the facts of the 
matter, the panel shall determine 
whether the authorities' establishment of 
the facts was proper and whether their evaluation of those facts was unbiased 
and objective.  If the establishment of 
the facts was proper and the evaluation was unbiased and objective, even 
though the panel might have reached a 
different conclusion, the evaluation shall not be overturned; 
 
 (ii) the panel shall interpret the relevant 
provisions of the Agreement in 17.6 In examining the matter referred to in 
paragraph 5:  
 (i) in its assessment of the facts of the 
matter, the panel shall determine 
whether the authorities' establishment of 
the facts was proper and whether their evaluation of those facts was unbiased 
and objective.  If the establishment of 
the facts was proper and the evaluation was unbiased and objective, even 
though the panel might have reached a 
different conclusion, the evaluation shall not be overturned; 
 
 (ii) the panel shall interpret the relevant 
provisions of the Agreement in   
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accordance with customary rules of 
interpretation of public international 
law.  Where the panel finds that a relevant provision of the Agreement 
admits of more than one permissible 
interpretation, the panel shall find the authorities' measure to be in conformity 
with the Agreement if it rests upon one 
of those permissible interpretations. 
 accordance with customary rules of 
interpretation of public international 
law.  Where the panel finds that a relevant provision of the Agreement 
admits of more than one permissible 
interpretation, the panel shall find the authorities' measure to be in conformity 
with the Agreement if it rests upon one 
of those permissible interpretations. 
 
17.7 Confidential information provided to the panel 
shall not be disclosed without formal authorization from 
the person, body or authority providing such information.  Where such information is requested from the panel but 
release of such information by the panel is not authorized, 
a non-confidential summary of the information, authorized by the person, body or authority providing the 
information, shall be provided. 
 17.7 Confidential information provided to the panel 
shall not be disclosed without formal authorization from 
the person, body or authority providing such information.  Where such information is requested from the panel but 
release of such information by the panel is not authorized, 
a non-confidential summary of the information, authorized by the person, body or authority providing the 
information, shall be provided. 
  
17.8 [[Subject to paragraph 9, upon a ruling by the 
DSB that the application of an antidumping measure is 
inconsistent with Article VI of GATT 1994 and the terms 
of this Agreement, the Member concerned shall 
immediately suspend the application of that inconsistent 
measure.]]  
  Certain delegations expressed regret that the Chairman's 
text did not contain any provisions relating to a previously 
submitted proposal on compliance .  Some delegations 
were supportive of the idea that  there should be immediate 
suspension of measure found to be inconsistent with the 
ADA or ASCM pending application of a compliant 
measure. Many of these delegations, however, believed that there should be a proper balance between the nature 
of the violation and the consequences.  It was suggested in 
this respect that there should be a distinction between substantive violations, which should trigger immediate 
suspension, and procedural violations, which should not.  
While most of these delegations welcomed that the proposal did not envision retroactive remedies, one 
delegation wanted to go further and make the suspension 
retroactive to the imposition of the inconsistent measure.  
Other delegations considered that the issue of compliance 
was of a horizontal nature.  These delegations either considered that, as a matter of principle, there should not 
be dispute settlement rules specific to trade remedies 
where the logic of the rules was equally applicable in  
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other contexts, or were in any event cautious about 
developing trade-remedy specific rules.  Several 
delegations observed that similar issues were being addressed in the DSU Review, including proposals to 
shorten the reasonable period  of time for compliance.  
One delegation observed that the distinction between procedural and substantive violations was not so clear, 
and indicated that if trade remedy-specific rules were 
considered here then they w ould have to consider such 
rules on other issues as well.  
 
A variety of questions and comments were made on 
specific aspects of the proposal.  Several delegations 
observed that the concept and details of a bonding requirement during the period of suspension of the 
measure should be set out more clearly in the draft text of 
the proposal. Several delegations questioned whether the 30-day proposed administrative period might be too short, 
and asked what recourse woul d be available in the event 
that a Member did not suspend the inconsistent measure as  required.  One delegation suggested that application of 
such a proposal might be complex in the context of 
retrospective systems, while another delegation indicated it might be difficult in prospective systems. 
17.9 [[Where the immediate suspension of  application 
of the inconsistent measure is impractical, the Member 
concerned may avail itself of an administrative period, 
which shall not exceed 30 days from the date of the DSB 
ruling referred to in paragraph 8, to effect the suspension  
of application of the inconsistent measure. ]]  
   
17.10 [[Prompt compliance with the recommendations 
or rulings of the DSB, within the meaning of Article 21 of 
the DSU shall, unless otherwise agreed to by the disputing 
parties, be deemed to have occurred:  
   
 (i) after a period of 60 days from either:  
 
  (a) a declaration of compliance 
made by the Member 
concerned to the DSB; or     
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  (b) the expiration of the reasonable 
period of time referred to in 
Article 21.3 of the DSU;  
 
  provided that a party to the dispute has 
not initiated compliance proceedings 
under Article 21.5 of the DSU before 
the expiration of such period.  
 
 
- or - 
 
 (ii) upon adoption by the DSB of the report 
of a panel, and of the Appellate Body on 
appeal, concerning the existence and 
consistency with a covered agreement 
of measures taken to comply with the 
recommendations and rulings of the 
DSB, within the meaning of Article 21.5 
of the DSU. ]]   
   
17.11 [[A Member may apply an antidumping measure 
that is deemed to be compliant under paragraph 10, to all 
importations of the product made subsequent to the DSB 
ruling referred to in paragraph 8.]]   
   
17.12  [[Antidumping duty amounts collected during the 
administrative period referred to in paragraph 9 that are in 
excess of the amount of antidumping duty payable under a 
measure that is deemed to be compliant under paragraph 
10, shall be refunded.]]   
   
17.13  [[Where the amount of the antidumping duty 
payable under a measure that is deemed to be compliant 
under paragraph 10 is higher than the amount actually 
collected during the administ rative period referred to in 
paragraph 9, the difference shall not be collected.]]  
    
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PART III 
 
Article 18  
Final Provisions  PART III 
 
Article 18  
Final Provisions   
18.1 No specific action against dumping of exports 
from another Member can be taken except in accordance 
with the provisions of  GATT 1994, as interpreted by this Agreement.
101 
______________________ 
 101 This is not intended to preclude action under other 
relevant provisions of GATT 1994, as appropriate. 
 
 18.1 No specific action against dumping of exports 
from another Member can be taken except in accordance 
with the provisions of  GATT 1994, as interpreted by this Agreement.
57 
_______________________ 
 57 This is not intended to preclude action under other 
relevant provisions of GATT 1994, as appropriate. 
  
18.2 Reservations may not be entered in respect of 
any of the provisions of this Agreement without the 
consent of the other Members.  18.2 Reservations may not be entered in respect of 
any of the provisions of this Agreement without the 
consent of the other Members. 
  
18.3 Subject to subparagraphs 3.1 and 3.2, the 
provisions of this Agreement shall apply to investigations, 
and reviews of existing measures, initiated pursuant to applications which have been made on or after the date of 
entry into force for a Memb er of the WTO Agreement. 
 18.3 Subject to subparagraphs 3.1 and 3.2, the 
provisions of this Agreement shall apply to investigations, 
and reviews of existing measures, initiated pursuant to applications which have been made on or after the date of 
entry into force for a Memb er of the WTO Agreement. 
  
 18.3.1 With respect to the calculation of 
margins of dumping in refund 
procedures under paragraph 3 of Article 
9, the rules used in the most recent determination or review of dumping 
shall apply. 
  18.3.1 With respect to the calculation of 
margins of dumping in refund 
procedures under paragraph 3 of Article 
9, the rules used in the most recent determination or review of dumping 
shall apply. 
  
18.3.2 For the purposes of paragraph 3 of 
Article 11, existing anti-dumping 
measures shall be deemed to be imposed 
on a date not later than the date of entry into force for a Member of the WTO 
Agreement, except  in cases in which 
the domestic legislation of a Member in force on that date already included a 
clause of the type provided for in that 
paragraph. 
 18.3.2 For the purposes of paragraph 3 of 
Article 11, existing anti-dumping 
measures shall be deemed to be imposed 
on a date not later than the date of entry into force for a Member of the WTO 
Agreement, except  in cases in which 
the domestic legislation of a Member in force on that date already included a 
clause of the type provided for in that 
paragraph. 
   
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 18.3 bis Subject to subparagraph 3.1 bis, the results of the 
DDA shall apply to investigations, and reviews of existing 
measures, initiated pursuant to applications which have 
been made on or after the date of entry into force of those 
results or, where an investigation or review is initiated by  
the authorities without those authorities having received 
an application, the investigation or review was initiated on 
or after the date of entry into force of those results.  
  
  18.3.1 bis For the purpose of Article 11.3.5, anti-
dumping measures in existence as of the 
date of entry into fo rce of the results of 
the DDA shall be deemed to be imposed 
on that date.  
 Members discussed the transition rule for automatic 
sunset  contained in Article 18.3.1 bis, which had already 
been discussed in some detail during sunset discussions.  
Some delegations argued that the ten-year period foreseen in Article 11.3.5 should run as of the date of the 
imposition of the measure, whether or not that measure 
was imposed before the date of entry into force of the results of the DDA (a working paper reflecting this 
approach was subsequently ci rculated as TN/RL/W/229).  
One delegation recalled its prior suggestion on this issue but indicated it could accept th is more ambitous approach, 
while yet another delegation suggested that the precise 
nature of the transition provisions could depend on the nature of the automatic sunset itself.  Other delegations 
noted that the idea of automatic sunset was itself 
unacceptable, and that the issue of transition pr ovisions in 
this respect was therefore not relevant.  More generally, 
several delegations noted the absence of a provision 
governing transition in resp ect of refund proceedings. 
18.4 Each Member shall take all necessary steps, of a 
general or particular character, to ensure, not later than the 
date of entry into force of the WTO Agreement for it, the conformity of its laws, regulations and administrative 
procedures with the provisions of this Agreement as they 
may apply for the Member in question.  18.4 Each Member shall take all necessary steps, of a 
general or particular character, to ensure, not later than the 
date of entry into force of the WTO Agreement for it, the conformity of its laws, regulations and administrative 
procedures with the provisions of this Agreement as they 
may apply for the Member in question. 
  
18.5 Each Member shall in form the Committee of any 
changes in its laws and regulations relevant to this 
Agreement and in the administration of such laws and 
regulations. 
 18.5 Each Member shall in form the Committee of any 
changes in its laws and regulations relevant to this 
Agreement and in the administration of such laws and 
regulations. 
  
18.6 The Committee shall review annually the 18.6 The Committee shall review annually the Some delegations welcomed the proposa l for a Procedure  
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implementation and operation of this Agreement taking 
into account the objectives thereof.  The Committee shall 
inform annually the Council for Trade in Goods of developments during the period covered by such reviews. 
 implementation and operation of this Agreement taking 
into account the objectives thereof.  The Committee shall 
inform annually the Council for Trade in Goods of developments during the period covered by such reviews.  
In addition, the Committee shall review the anti-dumping 
policy and practices of individual Members according to 
the schedule and procedures set forth in Annex III.  
 to Review Members' AD Policy and Practices . These 
delegations considered that tr ansparency and peer review 
were important and could enhance AD policy and practice. Recommendations by these delegations to 
improve the proposed Procedure included a mechanism to 
allow for written questions and answers, and a possibility for the Member being reviewed to comment on a draft of 
the Secretariat's factual report.   Many other delegations, 
however, either expressed serious concerns or strong opposition to the proposed Procedure.  The view was 
expressed that the Procedures  would place a heavy burden 
on the Member being revi ewed, as well as on the 
Secretariat, and that resource limitations would prevent 
other Members, especially from developing Members, 
from benefiting from the review of others.  Concern was also expressed that the Pr ocedure would unnecessarily 
duplicate work in the Trad e Policy Review or the ADP 
Committee, and it was suggested that beefing up one or the other of these two mechanisms would be preferable to 
the proposed Procedure. One delegation suggested that an 
early first cycle of reviews mi ght conflict with the review 
of Members' implementing legislations.   
18.7 The Annexes to this Agreement constitute an 
integral part thereof.  18.7 The Annexes to this Agreement constitute an 
integral part thereof. 
  
ANNEX I 
 
PROCEDURES FOR ON-THE-SPOT 
INVESTIGATIONS PURSUANT 
TO PARAGRAPH 7 OF ARTICLE 6 
  ANNEX I 
 
PROCEDURES FOR ON-THE-SPOT 
INVESTIGATIONS PURSUANT 
TO PARAGRAPH 7 OF ARTICLE 6 
 See comments regarding verifi cations in the context of 
Article 6.7 of the Chairman's text. 
1. Upon initiation of an investigation, the 
authorities of the exporting Member and the firms known 
to be concerned should be informed of the intention to carry out on-the-spot investigations. 
 1. Upon initiation of an investigation, the 
authorities of the exporting Member and the firms known 
to be concerned should 
shall be informed of the intention 
to carry out on-the-spot investigations.  
2. If in exceptional circumstances it is intended to 
include non-governmental experts in the investigating team, the firms and the authorities of the exporting 
Member should be so informed.  Such non-governmental 2. If in exceptional circumstances it is intended to 
include non-governmental experts in the investigating team, the firms and the authorities of the exporting 
Member shall
should  b e  s o  i n f o r m e d .   S u c h    
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experts should be subject to effective sanctions for breach 
of confidentiality requirements. 
 non-governmental experts shall should  be subject to 
effective sanctions for breach of confidentiality 
requirements.  
3. It should be standard practice to obtain explicit 
agreement of the firms concerned in the exporting 
Member before the visit is finally scheduled.  3. It shall 
should be standard practice to obtain 
explicit agreement of the firms concerned in the exporting 
Member before the visit is finally scheduled.   
4. As soon as the agreement of the firms concerned 
has been obtained, the investigating authorities should 
notify the authorities of the exporting Member of the names and addresses of the firms to be visited and the 
dates agreed. 
 4. As soon as the agreement of the firms concerned 
has been obtained, the investigating authorities 
shall
should  notify the authorities of the exporting Member 
of the names and addresses of the firms to be visited and 
the dates agreed. 
  
5. Sufficient advance notice should be given to the 
firms in question before the visit is made. 
 5. Sufficient advance notice shall should  be given to 
the firms in question before the visit is made.  To afford 
the firms adequate opportunity to prepare for on-the-spot 
investigations, the investigating authorities shall provide 
each firm at least 21 days advance notice of the dates on 
which the authorities intend to conduct any on-the-spot 
investigation of the information provided by that firm.58  
_______________________ 
 58 This does not prevent the authorities from adjusting 
the date, where necessary in li ght of developments in the 
investigation, and after consultation with the firm concerned.  
 
  
6. Visits to explain the questionnaire should only be 
made at the request of an exporting firm.  Such a visit may 
only be made if (a) the authorities of the importing 
Member notify the representatives of the Member in 
question and (b) the latter do not object to the visit. 
 6. Visits to explain the questionnaire shall should  
only be made at the request of an exporting firm.  Such a 
visit may only be made if (a) the authorities of the 
importing Member notify the representatives of the 
Member in question and (b) the latter do not object to the 
visit. 
  
7. As the main purpose of the on-the-spot 
investigation is to verify information provided or to obtain further details, it should be carried out after the response 
to the questionnaire has been received unless the firm 
agrees to the contrary and the government of the exporting Member is informed by the investigating authorities of the 
anticipated visit and does not object to it;  further, it 
should be standard practice prior to the visit to advise the 7. As the main purpose of the on-the-spot 
investigation is to verify information provided or to obtain further details, it shall 
should  be carried out after the 
response to the questionnaire has been received unless the 
firm agrees to the contrary and the government of the exporting Member is informed by the investigating 
authorities of the anticipated visit and does not object to it.
 
   
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firms concerned of the general nature of the information 
to be verified and of any further information which needs 
to be provided, though this should not preclude requests to be made on the spot for further details to be provided in 
the light of information obtained. 
 
 7 bis No less than 10 days prior to each on-the-spot 
investigation, the investigating authorities shall provide to 
the firm a document that sets forth the topics the firm 
should be prepared to address during the on-the-spot 
investigation, and describes the types of supporting 
documentation that shall be made available for review. ;  
further, it should be standard practice prior to the visit to 
advise the firms concerned of the general nature of the 
information to be verified an d of any further information 
which needs to be provided, though tThis shall should  not 
preclude requests to be made on the spot for further 
details to be provided in the light of information obtained. 
  
8. Enquiries or questions put by the authorities or 
firms of the exporting Members and essential to a 
successful on-the-spot inves tigation should, whenever 
possible, be answered before the visit is made. 
 8. Enquiries or questions put by the authorities or 
firms of the exporting Members and essential to a 
successful on-the-spot investigation shall should , 
whenever possible, be answered before the visit is made. 
  
9. [[To afford the firms adequate opportunity to 
prepare for on-the-spot investigations, the investigating 
authorities shall provide each firm at least 30 days 
advance notice of the dates on which the authorities intend 
to conduct any on-the spot investigation of the 
information provided by that firm.  Further, 10 days prior 
to each on-the-spot investigation, the investigating 
authorities shall provide to the firm a document that sets 
forth the topics the firm should be prepared to address 
during the on-the-spot investigation, and describes the 
types of supporting documentation that shall be made 
available for review.]]  
 9. The investigating authorities shall disclose in the 
form of a written report their factual findings resulting 
from the on-the-spot investigation.  In addition to the 
factual findings, the report shall describe the methods and 
procedures followed in carrying out the on-the-spot 
investigation.  The report shall be made available to all 
interested parties in sufficient time for the parties to 
defend their interests, subject to the requirement to protect 
confidential information.  
  
10. [[Subject to the requirement to protect 
confidential information, the investigating authorities 
shall disclose in the form of a written report their factual 
findings resulting from the on-the-spot investigation.  In 
addition to the factual findings, the report shall describe    
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the methods and procedures followed in carrying out the 
on-the-spot investigation.  The report shall be made 
available to all interested parties in sufficient time for the 
parties to defend their interests, subject to the requirement 
to protect confidential information.]]  
 
ANNEX II 
 
BEST INFORMATION AVAILABLE IN TERMS OF 
PARAGRAPH 8 OF ARTICLE 6 
 ANNEX II 
 
BEST INFORMATION AVAILABLE IN TERMS OF 
PARAGRAPH 8 OF ARTICLE 6 
  
1. As soon as possible after the initiation of the 
investigation, the investigating authorities should specify 
in detail the information required from any interested party, and the manner in which that information should be 
structured by the interested party in its response.  The 
authorities should also ensure that the party is aware that if information is not supplied within a reasonable time, the 
authorities [[
will be free to may]]  make determinations on 
the basis of the facts availabl e, including those contained 
in the [[submission by other interested 
parties]][[ application for the initiation of the investigation 
by the domestic industry ]].  [[Authorities shall not require 
the submission of information which is not reasonably 
needed for the purposes of the investigation.102]] 
_____________________ 
 102 [[This does not prevent interested parties from 
voluntarily submitting information additional to that requested 
by authorities.]]  
 
 1. As soon as possible after the initiation of the 
investigation, the investigating authorities should shall 
specify in detail the information required from any 
interested party, and the manner in which that information 
should be structured by the interested party in its 
response.  The authorities shall should  also ensure that the 
party is aware that if inform ation is not supplied within a 
reasonable time, the authorities will be free to may make 
determinations on the basis of the facts available, 
including those contained in the application for the 
initiation of the investigation by the domestic industry.  With respect to " facts available ", some delegations 
welcomed the change of "should" to "shall" throughout 
Annex II. Other delegations considered that such a change was dangerous, with one delegation noting that many of 
the provisions were highly subjective, and other 
delegations noting that the term "should" ought to be retained for specific provisions, such as paragraph 3 or 5.   
2. The authorities may also request that an interested party provide its response in a particular medium (e.g. computer tape) or computer language.  
Where such a request is made, the authorities should 
consider the reasonable ability of the interested party to respond in the preferred medium or computer language, 
and should not request the party to use for its response a 
computer system other than th at used by the party.  The 
authority should not maintain a request for a computerized 
response if the interested party does not maintain 
computerized accounts and if presenting the response as 2. The authorities may also request that an 
interested party provide its response in a particular medium (e.g. computer tape) or computer language.  
Where such a request is made, the authorities shallshould
 
consider the reasonable ability of the interested party to respond in the preferred medium or computer language, 
and shall 
should not request the party to use for its 
response a computer system other than that used by the party.  The authority
ies should shall  not maintain a 
request for a computerized resp onse if the interested party 
does not maintain computerized accounts and if   
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requested would result in an unreasonable extra burden on 
the interested party, e.g. it would entail unreasonable 
additional cost and trouble.  The authorities should not maintain a request for a response in a particular medium 
or computer language if the interested party does not 
maintain its computerized accounts in such medium or computer language and if pr esenting the response as 
requested would result in an unreasonable extra burden on 
the interested party, e.g. it would entail unreasonable additional cost and trouble. 
 presenting the response as requested would result in an 
unreasonable extra burden on the interested party, e.g. it 
would entail unreasonable additional cost and trouble.  The authorities should 
shall not maintain a request for a 
response in a particular medium or computer language if 
the interested party does not maintain its computerized accounts in such medium or computer language and if 
presenting the response as requested would result in an 
unreasonable extra burden on the interested party, e.g. it would entail unreasonable additional cost and trouble. 
 
3. All information which is verifiable, which is 
appropriately submitted so that it can be used in the investigation without undue difficulties,[[
103]] [[104]] 
which is supplied in a timely fashion, and, where 
applicable, which is supplied in a medium or computer language requested by the authorities, should be taken into 
account when determinations are made.  [[It is recognized 
that the failure by an interested party to provide certain 
information necessary for the determination, or the 
submission by an interested party of  such information 
that cannot be verified or is unusable, may cause an 
investigating authority to conclude that it is unduly 
difficult to use other information that is submitted by that 
party, and to disregard such submitted information, either 
entirely or in part.]]  [[105]]  If a party does not respond in 
the preferred medium or computer language but the authorities find that the circumstances set out in 
paragraph 2 have been satisfied, the failure to respond in 
the preferred medium or computer language should not be [[a reason for rejecting the information]]
 [[considered to 
significantly impede the investigation .]] 
_____________________  
103 [[Undue difficulties may, for instance, exist where 
an interested party submits information that must be 
complemented with other information in order to be used by 
authorities or is not directly pert inent.  It is understood that the 
question of whether information submitted can be used in the 
investigation without undue difficu lties is a highl y fact-specific 
issue.]]  
 104 [[The question of whether information submitted 
can be used in the investigatio n without undue difficulties is a 
highly fact-specific issue.]]  3. All information which is verifiable, which is 
appropriately submitted so that it can be used in the investigation without undue difficulties
59, which is 
supplied in a timely fashion, and, where applicable, which 
is supplied in a medium or computer language requested by the authorities, should
 shall be taken into account when 
determinations are made.  If a party does not respond in 
the preferred medium or computer language but the 
authorities find that the circumstances set out in 
paragraph 2 have been satisfied, the failure to respond in the preferred medium or computer language should
 shall  
not be considered to significantly impede the 
investigation. _______________________ 
 59 Submitted information cannot be used without 
undue difficulties if, inter alia , an assessment of the accuracy or 
relevance of that information is dependent upon other 
information that has not been supplied or cannot be verified.  
   
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 105 [[Information which has been  verified as accurate 
and which is germane to the inve stigation must be used when 
determinations are made.  Authorities may only reject 
information which they did not verify based on results of 
sampling verification of the same type of information submitted 
by the party concerned, if the results of the sampling verification 
indicate that the unverified info rmation is highl y likely to be 
inaccurate (minor inaccuracies excepted).]]  
 
4. Where the authorities do not have the ability to 
process information if provided in a particular medium (e.g. computer tape), the information should be supplied 
in the form of written material or any other form 
acceptable to the authorities.  4. Where the authorities do not have the ability to 
process information if provided in a particular medium (e.g. computer tape), the information should
 shall  be 
supplied in the form of written material or any other form 
acceptable to the authorities.   
5. Even though the information provided may not 
be ideal in all respects, this should not justify the authorities from disregarding it, provided the interested 
party has acted to the best of its ability,[[ due regard to be 
given to the difficulties faced by respondents, particularly 
small companies, in providing information to authorities 
due to their limited ability and resources]] . 
 5. Even though the information provided may not 
be ideal in all respects, this should  shall  not justify the 
authorities from disregarding it, provided the interested 
party has acted to the best of its ability. 
  
6. If [[any requested information is missing, or if 
any]]  evidence or information is [[considered deficient not 
accepted ]], [[authorities shall not automatically reject the 
information or directly apply facts available.  In such 
cases,]]  the supplying party sh[[all ould]] be informed 
forthwith of the [[details reasons ]]  there[[o]]f[[ or]], and 
sh[[all ould]] have an opportunity to provide [[the missing 
information and]]  further explanations within a reasonable 
period, [[such period to be determined in light of]]  [[due 
account being taken of ]] [[the nature and amount of 
information in question, the party's ability to provide the 
information and]]  the time-limits of the investigation.  If 
the [[additional information and]]  explanations are 
considered by the authorities as not being satisfactory, 
[[they shall give a reasoned and adequate explanation of]]  
the reasons for the reject ion of such evidence or 
information[[, and shall disclose (subject to the 
requirement to protect confidential information under 
paragraph 5 of Article 6) the information which they use 6. If evidence or informa tion is not accepted, the 
supplying party should  shall  be informed forthwith of the 
reasons  therefor, and should  shall  have an opportunity to 
submit further evidence or information, or to provide 
further explanations,  within a reasonable period, due 
account being taken of the time-limits of the 
investigation60.  If the further evidence or information 
submitted, or the  explanations provided, are considered by 
the authorities as not being satisfactory, the authorities 
shall inform the interested party concerned of the reasons 
for the rejection of such the evidence or information and 
should shall set forth such reasons be given  in any 
published determinations. 
______________________ 
 60 Provided that the authorities need not consider any 
further evidence or information that is not submitted in time 
such that it can be verified during any on-site investigation 
conducted pursuant to Article 6.7.  
  
 
 
  
 
  
 
  
 
 
 
There were differing views on proposed footnote 60 regarding information submitted after  verification .  
Some delegations expressed concern that the footnote 
would allow an authority to refuse any new information post-verification, while other delegations considered that a  
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to substitute the rejected information or any missing 
information in the disclosure pursuant to paragraph 9 of 
Article 6, and]]  [[should be given in ]]any published 
determinations [[pursuant to Article 12]] . 
 cut-off date for new information was essential.  Some 
delegations noted that they did not perform on-site 
verifications at all. 
7. If the authorities have to base their findings, including those with respect  to normal value, on  
information from a secondary source, including the 
information supplied in the application for the initiation of 
the investigation, they should do so with special circumspection[[, and shall]][[
 In such cases, the 
authorities should, where practicable, ]] check the 
information from other independent sources[[106]] at their 
disposal [[or which are r easonably accessible by them]] , 
such as published price lists, official import statistics and 
customs returns, and from the information obtained from other interested parties during the investigation.  It is 
clear, however, that if an  interested party does not 
cooperate and thus relevant information is being withheld 
from the authorities, this situation could lead to a result 
which is less favourable to the party than if the party did cooperate.  [[In any case, th e authorities shall, wherever 
possible, choose the information that most closely 
represents the prevailing state of the relevant industry and 
market to which the missing or rejected information 
relates, based on an objective examination of all 
information obtained by them in the course of the 
investigation.]]  
_____________________ 
 106 [[The independent sources shall be identified in the 
disclosure pursuant to paragraph 9 of Article 6, and in any 
published determinations pursuant to Article 12.]]  
 7. If the authorities have to base their findings, 
including those with respect  to normal value, on  
information from a secondary source, including the 
information supplied in the application for the initiation of 
the investigation, they should  shall  do so with special 
circumspection.  In such cases, the authorities should  
shall , where practicable, check the information from other 
independent sources at their disposal or reasonably 
available to them , such as published price lists, official 
import statistics and customs returns, and from the 
information obtained from other interested parties during the investigation
61.  It is clear, however, that if an 
interested party does not cooperate and thus relevant 
information is being withheld from the authorities, this 
situation could lead to a result which is less favourable to 
the party than if the party did cooperate. _______________________ 
 61 The sources consulted shall be identified in the 
disclosure conducted pursuant to Article 6.9.  
   
 ANNEX III  
 
PROCEDURES FOR THE REVIEW OF MEMBERS'  
ANTI-DUMPING POLICY AND PRACTICES 
PURSUANT TO ARTICLE 18.5  
 See comments in the context of Article 18.6 of the 
Chairman's text.  
 1. The anti-dumping policy and practices of 
Members shall be subject to periodic review by the 
Committee.    
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 A. Objectives  
 
2. The purpose of the review is to contribute to the 
transparency and understanding of Members' policies and 
practices in respect of anti-dumping.  The review is not 
intended to serve as the basi s for enforcement of specific 
obligations under this Agreement or for dispute settlement 
procedures, or to impose new policy commitments on 
Members.  
  
 B. Procedures for Review  
 
3. The review shall be conducted on the basis of the 
following documentation:  
 
 (a) a factual report, to be drawn up by the 
Secretariat on its own responsibility;  
and  
 
 (b) if the Member under review so wishes, a 
report supplied by that Member.  
  
 4. The factual report by the Secretariat shall be 
based on the information available to it and that provided 
by the Member under review.  The Secretariat should seek 
clarification from such Member regarding its anti-
dumping policies and practices making use of the 
indicative checklist identified in paragraph 8 of this 
Annex.  The Member under review shall provide the 
information requested for the preparation of the report.  
  
 5. The first cycle of re views shall begin one year 
after the date of entry into force of the results of the Doha 
Development Agenda.   During the ensuing five years, the 
Committee shall review the anti-dumping policies and 
practices of the 20 Members with the most anti-dumping 
measures in force as of th e date of entry into force.62 
_______________________ 
 62 Least-developed country Members shall be subject 
to review pursuant to this Annex on a voluntary basis only.  
  
 6. The list of the Members to be reviewed during   
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each subsequent five-year review period shall be 
established on the basis of the number of original 
investigations initiated during the most recent five-year 
period for which information is available.  The list shall 
include the 20 Members that initiated the most 
investigations pursuant to Article 5 during that period, as 
well as any additional Members that have initiated five or 
more original investigations during that period;  provided, 
that the Committee may adjust the list of Members to be 
reviewed and/or the cycle for review in light of 
subsequent developments and experience.  
 
 7. The Committee shall ag ree on the order of, and 
schedule for, the conduct of these reviews, taking into 
account the resource constraints of the Secretariat and of 
developing country Members.63 
_______________________ 
 63 In the event that the Committee fails to agree, the 
Director-General shall decide on the order of, and schedule for, 
the reviews.  
  
 8. The factual report of the Secretariat shall 
describe in detail the anti-dumping policy and practices of 
the Member under review including, where relevant and 
applicable, with respect to the following matters:  
  
 • institutional organization of the investigating 
authorities  
• statistics on proceedings carried-out  
• pre-initiation procedures and practices  
• determination of export price and normal 
value (and adjustments thereto)  
• details of comparison methods  
• calculation of dumping margin  
• details and methodology of analysis and 
determination of injury and causal link  
• application of a lesser duty   
 • application of public interest considerations  
• level of co-operation obtained  
• use of facts available  
• procedural requirements    
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• treatment of confidential information  
• practice with regard to on-the-spot 
verifications  
• duty collection and assessment system  
• acceptance of undertakings  
• review investigations (under Articles 9 and 
11) 
• anti-circumvention procedures  
• judicial/administrative review  
 
 9. The report by the Secr etariat and any report by 
the Member subject to review shall be circulated to the 
Members on an unrestricted ba sis, and shall be considered 
at a special meeting of the Committee convened for that 
purpose.  
  
 10. Members recognize the need to minimize the 
burden for governments that might arise from unnecessary 
duplication of work pursuant to this procedure and the 
Trade Policy Review Mechanism.  
  
 C. Developing Country Members  
 
11. The Secretariat shall make technical assistance 
available, on request of a developing country Member, to 
facilitate that Member's eff ective participation in the 
review.  The Secretariat sh all also consult with the 
developing country Member subject to review and shall, 
where appropriate, include in its report to the Committee 
an assessment of that Member's broader technical 
assistance and resource needs with respect to anti-
dumping.  
  
 D. Appraisal  of the Mechanism  
 
12. The Committee shall un dertake an appraisal of 
the operation of these procedures upon completion of the 
first cycle of reviews.  The Committee should seek to 
identify any changes which would enhance the operation 
of these procedures, and may, if appropriate, recommend 
that the Council for Trade in Goods submit to the   
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Ministerial Conference any pr oposals for the amendment 
of these procedures necessary to effectuate such changes.   
 
[[ [[ANNEX III  
PROCEDURES AND SUBSTANTIVE RULES FOR 
APPLICATION OF THE LESSER DUTY RULE 
PROVIDED FOR IN PARAGRAPH 1 OF ARTICLE 9  
   
1. The amount of the lesser duty that is adequate to 
remove the injury caused by the dumped imports to the 
domestic industry in accord ance with paragraph 1 of 
Article 9 shall be determined by comparison between the 
margin of dumping as established under Article 2 and the 
margin of injury as established under this Annex.  
   
2. For the purpose of this  Agreement, the injury 
margin is defined as the difference between the import 
prices of the dumped product exported from the exporting 
Member to the importing Member (“the import price”) 
and the non-injurious price (“the NIP”).   
   
3. The authorities shall use one of the following 
methodologies107 to calculate the NIP:108 
 
 (a) the current price109 of the like products 
produced by domestic producers 
(“domestic like products”); or  
 
 (b) the price of the domestic like product 
during a period prior to being affected 
by dumping;110 or 
 
 (c) the price of non-dumped imports of the 
product under investigation or the like 
products, provided that such price is 
representative and the volume of the 
non-dumped imports is not 
insignificant; or  
 
 (d) the constructed price based on per unit 
cost of production plus a reasonable 
amount for selling, general and    
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administrative costs and for profits of 
the domestic producers of the domestic 
like product.  
______________________ 
 107 [[The authorities shall collect relevant data to 
establish the NIP for a sufficient period of time comparable to 
the period of investigation for the dumping determination 
(normally twelve months).]]  
 108 [[Members may indicate one or more of these as 
preferred alternative(s) that they intend to use in all 
investigations, with the option to  resort to others among these 
alternatives only in the event that the said preferred alternative is 
not considered to be appropriate, for reasons to be disclosed in 
writing pursuant to paragraph 6 of this Annex.]]  
 109 [[For the purpose of paragraph 3, the term “price” 
shall be interpreted as meaning import prices at any level of 
trade such as cost, insurance and freight (CIF), or ex customs 
area, or resale price to the importers, or the delivered price to the 
customers, provided that the comparison for the purpose of 
arriving at the injury margin, are made at only the same level of 
trade.]]  
 110 [[The authorities shall choose a period that is 
comparable to the period of investigation.]]  
 
 
4. A fair comparison shall be made between the 
NIP and the import price.  Th e comparison shall be made 
at the same level of trade.  Due allowance shall be made 
in each case, on its merits, for differences which affect 
price comparability so far as the evidence shows such 
differences.  
   
5. In calculating the injury margin based on 
multiple types of dumped imports, injury margin resulted 
from individual type, both positive and negative, must be 
aggregated.   
   
6. Before the final determination, the authorities 
shall disclose the methodology, calculation and evidence 
supporting the calculation they use to determine the injury 
margin and provide interested parties the opportunity to 
comment thereon, due regard being paid to the 
requirement for the protection of confidential    
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information.]]  
 
[[ANNEX III  
  For the purposes of Article 9:1 bis, factors that 
should be considered include:  
   
 (a) whether products like the product under 
consideration are readily available from 
sources to which th e measure does not 
apply;  
 
 (b) whether imposition of an anti-dumping 
duty in the full amount    
  (i) has eliminated or substantially 
lessened or is likely to eliminate 
or substantially lessen 
competition in the domestic 
market in respect of products,  
  (ii) has caused or is likely to cause 
significant damage to domestic 
producers that use the products 
as inputs in the production of 
other products and in the 
provision of services,  
   (iii) has significantly impaired or is 
likely to significantly impair 
competitiveness by  
   
   (A) limiting access to 
products that are used as 
inputs in the production 
of other products and in 
the provision of 
services, or  
 
   (B) limiting access to 
technology, or  
   
  (iv) has significantly restricted or is    
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likely to significantly restrict the 
choice or availability of products 
at competitive prices for 
consumers or has otherwise 
caused or is otherwise likely to 
cause them significant harm;  
 
 (c) whether non-imposition of an anti-
dumping duty or the non-imposition of 
such a duty in the full amount is likely 
to cause significant damage to domestic 
producers of inputs, including primary 
commodities, used in the domestic 
manufacture or production of like 
products;  and  
  (d) any other factors that are relevant in the 
circumstances.]] ]]  
   
[[ANNEX IV  
  
PRINCIPLES FOR DETERMINATION OF THE 
INJURY MARGIN  
   
1.  For the purpose of implementing the provisions 
of Article 9.1 of this Agreement, the “injury margin” shall 
be determined as:  
   
 1.1. the difference between the price of the 
like product produced by the domestic 
industry and the price of the dumped 
imports111, for each exporter or producer 
under investigation;  or,  
______________________ 
 111 [[For the purpose of this annex, the term “price of 
the dumped imports” shall be interpreted as meaning import 
prices at any level such as cost, insurance and freight, or ex-
customs area, or resale price to the importer, or delivered price 
to the customer, provided that th e comparisons with the price of 
the like product under sub-paragraph 1.1, or with the target price 
under sub-paragraph 1.2, for the purpose of arriving at the injury 
margin, are made only at a comparable level.]]     
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1.2. the difference between the target price112 for the 
domestic industry and the price of the dumped 
imports for each exporter or producer under 
investigation.  The target price for the purpose of 
this sub-paragraph shall mean:  
   
 (a)  the price of the domestically produced 
like product prior to being affected by 
dumping;  or,  
   
 (b)  the price113 of the product concerned, 
when exported by those exporters or 
producers who are found not to have 
dumped the product concerned during 
the investigation period;  or,   
   
 (c)  the price113 of the like product, when 
exported during the investigation period 
from appropriate third countries other 
than the countries under investigation;  
or,  
   
 (d)  the cost of production of the like 
product of the domestic industry, 
administrative, selling and general costs, 
and a reasonable profit margin.  
For the 
purpose of this sub-paragraph, a 
reasonable profit margin may be 
determined on the basis of:   
   
  (i)  the profit margin normally earned 
by the domestic industry on 
representative domestic sales of 
the like product wh en the price of 
such product was not affected by 
dumping keeping in view the 
principles set out in sub-
paragraphs 2.1 and 2.2 of this 
Annex; or,  
    
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  (ii)  the actual profit margin earned 
by the domestic industry in 
respect of sales made in the 
domestic market in the same 
general category of products 
during the investigation period; 
or,  
   
  (iii)  when profit margin cannot be 
determined under (i) and (ii) 
above, or when e ither method is 
not considered to be appropriate, 
profit margin may be determined 
by any other reasonable method, 
including a reasonable return on 
investment, provided that an 
explanation is given as to why 
the methods available in (i) and 
(ii) above are not appropriate.    
______________________ 
 112 [[The target price determined under sub-paragraph 
1.2(d) shall never be higher than the weighted average for the 
domestic industry.  It may be le ss, for example, if there are 
substantial discrepancies in costs of the producers constituting 
the domestic industry.]]  
 113 [[For the purpose of this annex, the term “price” 
referred to in 1.2 (b) and 1.2 (c) shall be interpreted as meaning 
import prices at any level such as cost, insurance and freight 
(CIF), or ex-customs area, or resa le price to the importers, or the 
delivered price to the customers, provided that the comparisons 
with the price of the dumped impo rts, for the purpose of arriving 
at the injury margin, are made only at comparable level.]] 
   
2.  The authorities of the importing Member shall 
ensure that the determination of the injury margin under 
subparagraphs 1.1 and 1.2 of this Annex conform to the 
following rules:  
   
 2.1. A fair comparison shall be made 
between the price of the domestically 
produced like product, or the designated 
target price, as the case may be, and the 
price of the dumped imports.  This    
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comparison shall be made at the same 
level of trade, and in respect of sales 
made at as nearly as possible the same 
time.  Due adjustments shall be made in 
each case, on its merits, for differences 
which affect price comparability, 
including differences in conditions and 
terms of sale, taxation, levels of trade, 
quantities, physical characteristics, and 
any other differences which are also 
demonstrated to affect price 
comparability;  
 
 2.2. For the purpose of sub-paragraph 1.2(a), 
the authorities shall also ensure that such 
target price pertains to a period that is 
comparable to the investigation period.  
The authorities shall also ensure that the 
duration of the two periods is 
comparable and as close to each other as 
possible.  
   
 2.3. For the purpose of sub-paragraphs 1.2(b) 
and 1.2(c), the authorities shall also 
ensure that the volume of imports taken 
into account for arriving at the target 
price constitute a significant proportion 
of total imports of the product concerned 
from the countries under investigation, 
and that this price is representative.  
   
 2.4. For the purpose of sub-paragraph 1.2(d), 
the costs shall be calculated on the basis 
of records kept by the domestic industry, 
provided that such  records are in 
accordance with the generally accepted 
accounting principles of the importing 
Member and reflect the costs associated 
with the production and sale of the 
product under consideration only.  Such 
costs shall, to the extent possible, pertain 
to the period of investigation only.     
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Authorities shall ensure proper 
allocation of costs and that such 
allocations have been historically 
utilized by the domestic industry, in 
particular in relation to establishing 
appropriate amortization and 
depreciation periods and allowances for 
capital expenditures and other 
development costs.  Unless already 
reflected in the cost allocations under 
this sub-paragraph, costs shall be 
adjusted appropriately for those non-
recurring items of cost which benefit 
future and/or current production, or for 
circumstances in which costs during the 
period of investigation are affected by 
start-up operations.  The adjustment 
made for start-up operations shall reflect 
the costs at the end of the start-up period 
or, if that period extends beyond the 
period of investigation, the most recent 
costs which can reasonably be taken into 
account by the auth orities during the 
investigation.  
 
 2.5 It is desirable to make comparisons for 
the purpose of this Annex as close to the 
point of consumption as is reasonably 
possible.  
   
3.  Subject to the provisions governing fair 
comparison in paragraph 2, the existence of injury 
margins shall normally be established on the basis of a 
comparison on a weighted aver age basis of all comparable 
transactions or by a comparison on a 
transaction-to-transaction basis.  For the purposes of 
paragraph 2 and this paragraph, the Authorities shall also 
ensure that all negative values are taken into account.]]  
    
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[[ANNEX V  
 
PROCEDURES AND SUBSTANTIVE RULES FOR 
APPLICATION OF THE LESSER DUTY RULE 
PROVIDED FOR IN PARAGRAPH 1 OF ARTICLE 9  
   
1. The injury margin is defined as the difference 
between the price of the dumped imports (“the import 
price”) and the non-injurious  price (“the NIP”) of the 
domestic products like the products under investigation 
(“domestic like products”).  
   
2. The authorities shall choose one of the 
methodologies listed below to calculate the NIP that is 
appropriate with regard to th e specific situations of the 
case:  
   
 (a) The NIP is calculated as the current 
price of the domestic like product.  
   
 (b) The NIP is calculated as the price of the 
domestic like product during a period 
prior to being affected by dumping, 
provided that such period is, except for 
the absence of the effect of dumping, 
comparable to the dumping investigation 
period taking into account relevant 
market factors.  
   
 (c) The NIP is calculate d as the price of non-
dumped imports of the product under 
investigation or the like products, 
provided that such price is representative 
and the volume of the non-dumped 
imports is not negligible for the 
importing market.  The non-dumped 
imports shall be selected from all sources 
including like products imported from 
foreign producers in a country or 
countries not subject to antidumping 
investigations or measures or products    
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under investigation which have been 
found not to be dumped.  
 
 (d) The NIP is calculated as per unit cost of 
production plus a reasonable amount for  
selling, general and administrative costs 
and for profits of the domestic producers 
of the domestic like product.  
   
3. A fair comparison shall be made between the 
NIP and the import price.  Th e comparison shall be made 
at the same level of trade.  Due allowance shall be made 
in each case, on its merits, for differences which affect 
price comparability, including differences in conditions 
and terms of sale, taxation, levels of trade, quantities, 
physical characteristics, and any other differences which 
are also demonstrated to affect price comparability.  
   
4. Before the final determination in any 
investigation, the authorities shall indicate which 
methodology they are intending to use to determine the 
injury margin and provide interested parties the 
opportunity to comment on whether such methodology is 
appropriate.  Authorities shall provide a reasoned 
explanation supporting their use of an appropriate 
methodology and the evidence in support of their choice.  
   
5. The disciplines of evidence under Article 6 apply 
mutatis mutandis  to the determination of the injury 
margin.  For the sake of th e accuracy of the NIP, the 
authorities shall collect relevant data to establish the NIP 
for a sufficient period of time co mparable to the period of 
investigation for the dumping determination (normally 
twelve months).  
   
6. The lesser duty rule shall be applied to reviews 
under Articles 9 and 11.]]  
    
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Page A-176 Consolidated Proposals Chairman's Text (TN/RL/W/213) Delegations' Comments on Chairman's Text 
[[ANNEX VI  
Review of Anti-Dumping Activity    
Objectives  
 The purpose of the Review of Anti-Dumping 
Activity is to contribute to the transparency of the 
Members’ actual practices in applying the rules under the 
Anti-dumping Agreement.  Such review enables the 
regular monitoring of individual Members’ anti-dumping 
policies and practices.    
Procedures  
(i) The Committee on Anti-Dumping Practices 
(referred to herein as the "ADC") is responsible for the 
carrying out of the anti-dumping review.    
(ii) The anti-dumping policies and practices of all 
Members shall be subject to a periodic review.  The 
number of investigations initiated by a Member as 
compared to the total number of investigations initiated by 
all Members, in a recent repr esentative period, will be the 
determining factor in deciding on the order and frequency 
of reviews.  The first [ number to be specified (e.g. 6)] 
investigating authorities so identified shall be subject to a 
review every [ number to be specified  (e.g. 3)] years.  The 
next [ number to be specified (e.g. 8)] shall be reviewed 
every [ number to be specified (e.g. 6)] years.  Other 
Members shall be reviewed every [ number to be specified 
(e.g. 8)] years, excep t that a longer period may be fixed 
for least-developed country Members.  
 
(iii) The ADC will carry-out the review on the basis 
of the following documentation:  
 
(a) a factual report supplied by the Member under 
review;  
 
 (b) a factual report, to be drawn up by the Secretariat    
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on its own responsibility, based on the information 
available to it and that prov ided by the Member under 
review.  The Secretariat sh ould seek clarification 
from such Member regarding its anti-dumping 
policies and practices on the basis of a checklist 
reflecting the issues listed under (v).  
 
(iv) The report by the Member under review and by 
the Secretariat, together with  the minutes of the respective 
meeting of the ADC, shall be circulated to Members.  
   
(v) The review should co ver, as appropriate, a 
detailed examination of the Member’s practices covering 
inter alia  issues such as:  
   
• statistics on proceedings carried-out;  
• determination of export price and normal value 
(e.g. use of third country sales vs constructed 
normal value)  
• details of comparison methods (adjustments)  
• calculation of dumping margin (methodologies 
under Article 2.4.2)  
• details and methodology of injury calculations 
(price undercutting, underselling, depression or 
suppression)  
• application of a lesser duty  
• application of public interest considerations  
• level of co-operation  
• use of facts available  
• procedural requirements  
• treatment of confidential information  
• practice with regard to on-spot verifications  
• duty collection system (prospective vs 
retrospective)  
• acceptance of undertakings  
• review investigations (under Articles 9 and 11)  
• anti-circumvention procedures  
   
Reporting  
 The reports shall describe the anti-dumping 
policies and practices pursued by the Member under 
review, based on an agreed format to be decided upon by    
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Page A-178 Consolidated Proposals Chairman's Text (TN/RL/W/213) Delegations' Comments on Chairman's Text 
the ADC, and including the items referred to under (v) 
above.  The Secretariat shall make available technical 
assistance on request to developing country Members, and 
in particular to the least- developed country Members. 
Information contained in reports should, to the greatest 
extent possible, be coordinated with notifications made 
under paragraphs 4 and 5 of Article 16 of the Anti-
Dumping Agreement.]]