CHINA - EXPORT DUTIES ON CERTAIN RAW MATERIALS REQUEST FOR THE ESTABLISHMENT OF A PANEL BY THE UNITED STATES
Document: REQUEST FOR THE ESTABLISHMENT OF A PANEL
Date: 14 October 2016
Document codes: WT/DS508/6
Complainant: U.S.
Respondent: China
Third parties: Brazil, Canada, Chile, EU, India, Indonesia, Japan, Kazakhstan, South Korea, Mexico, Norway, Oman, Russia, Singapore, Taiwan, Vietnam
Dispute stage: Panel
Agreements cited: Part I, para. 5.1, Part I, para. 1.2  Protocol of AccessionArt. XI:1  GATT 1994

CHINA - EXPORT DUTIES ON CERTAIN RAW MATERIALS
REQUEST FOR THE ESTABLISHMENT OF A PANEL BY THE UNITED STATES
The following communication, dated 13 October 2016 , from the delegation of the United
States to the Chairperson of the Dispute Settlement Body, is circulated pursuant to Article 6.2 of
the DSU.

 On 13 July 2016 and 19 July 2016, the United States requested consultations with the
Government of the People 's Republic of China ( "China") pursuant to Articles 1 and 4 of the
Understanding on Rules and Procedures Governing the Settlement of Disputes ("DSU") and
Article XXII of the General Agreement on Tariffs and Trade 1994 ("GATT 1994") with respect to
China's restrictions on the export of various forms of antimony,1 chromium,2 cobalt,3 copper,4
graphite,5 indium,6 lead,7 magnesia,8 talc,9 tantalum,10 and tin.11 The United States held

1 Forms of antimony include, but are not limited to, items falling under the eight -digit Chinese Customs
Commodity Codes identified in State Council Customs Tariff Commission Notice o n Issuing the 2016 Tariff
Adjustment Plan (State Council Customs Tariff Commission, Shui Wei Hui [2015] No. 23, issued December 4,
2015, effective January 1, 2016) (the "2016 Tariff Adjustment Plan") as listed in Annex 1, Section A. Forms of
antimony also include, but are not limited to, items falling under the 10 -digit Chinese Customs Commodity
Codes identified in the Ministry of Commerce and General Administration of Customs 2015 Public Notice No. 76
on Announcing the "2016 Export Licensing Management Co mmodities Catalogue" (Ministry of Commerce and
General Administration of Customs 2015 Public Notice No. 76, issued December 29, 2015, effective January 1,
2016) (the "2016 Export Licensing Management Commodities Catalogue") as listed in Annex 1, Section B.
2 Forms of chromium include, but are not limited to, items falling under the eight-digit Chinese Customs
Commodity Codes identified in the 2016 Tariff Adjustment Plan as listed in Annex 2.
3 Forms of cobalt include, but are not limited to, the item fallin g under the eight-digit Chinese Customs
Commodity Code identified in the 2016 Tariff Adjustment Plan as listed in Annex 3.
4 Forms of copper include, but are not limited to, items falling under the eight -digit Chinese Customs
Commodity Codes identified in the 2016 Tariff Adjustment Plan as listed in Annex 4.
5 Forms of graphite include, but are not limited to, items falling under the eight -digit Chinese Customs
Commodity Codes identified in the 2016 Tariff Adjustment Plan as listed in Annex 5.
6 Forms of indium also include, but are not limited to, items falling under the 10 -digit Chinese Customs
Commodity Codes identified in the 2016 Export Licensing Management Commodities Catalogue as listed in
Annex 6.
7 Forms of lead include, but are not limited to, item s falling under the eight -digit Chinese Customs
Commodity Codes identified in the 2016 Tariff Adjustment Plan as listed in Annex 7.
8 Forms of magnesia include, but are not limited to, items falling under the eight -digit Chinese Customs
Commodity Codes identified in the 2016 Tariff Adjustment Plan as listed in Annex 8, Section A.
Forms of magnesia also include, but are not limited to, items falling under the 10-digit Chinese Customs
Commodity Codes identified in the 2016 Export Licensing Management Commodi ties Catalogue as listed in
Annex 8, Section B.
9 Forms of talc include, but are not limited to, items falling under the eight -digit Chinese Customs
Commodity Codes identified in the 2016 Tariff Adjustment Plan as listed in Annex 9, Section A.
Forms of ta lc also include, but are not limited to, items falling under the 10 -digit Chinese Customs
Commodity Codes identified in the 2016 Export Licensing Management Commodities Catalogue as listed in
Annex 9, Section B.
10 Forms of tantalum include, but are not li mited to, the item falling under the eight -digit Chinese
Customs Commodity Code identified in the 2016 Tariff Adjustment Plan as listed in Annex 10.
11 Forms of tin include, but are not limited to, items falling under the eight -digit Chinese Customs
Commodity Codes identified in the 2016 Tariff Adjustment Plan as listed in Annex 11, Section A.

consultations with China on September 8 and 9, 2016. Unfortunately, those consultations did not
resolve the dispute.

I. EXPORT DUTIES
 China imposes export duties on various forms of antimony,12 chromium,13 cobalt,14 copper,15
graphite,16 lead,17 magnesia,18 talc,19 tantalum,20 and tin.21

The legal instruments through which China imposes export duties on these products,
operating separately or collectively, include but are not limited to the following:

 Foreign Trade Law of the People 's Republic of China (adopted at the 8th Session of the
Standing Committee of the Tenth National People's Congress on 6 April 2004, effective
1 July 2004)

 Customs Law of the People 's Republic of China (adopted at the 19th Meeting of the
Standing Committee of the Sixth National People 's Congress on 22 January 1987,
amended 28 December 2013, in Order No. 8)

 Regulation of the People's Republic of China on Import and Export Duties (State Council,
Order No. 392, adopted at the 26th executive meeting of the State Council on
29 October 2003, amended February 6, 2016, in Order No. 666)

 State Council Customs Tariff Commission Notice on Issuing the 2016 Tariff Adjustment
Plan (State Council Cu stoms Tariff Commission, Shui Wei Hui [2015] No. 23, issued
4 December 2015, effective 1 January 2016)

 General Administration of Customs Notice on the 2016 Tariff Implementation Plan
(General Administration of Customs, Zong Shu Gong Gao [2015] No. 69 , is sued
28 December 2015, effective 1 January 2016)

 as well as any amendments, or related, successor, replacement , or implementing
measures.

These materials subject to China 's export duties are not listed in Annex 6 of the Protocol
on the Accession of the People's Republic of China (WT/L/432) ( "Accession Protocol"). The United
States considers that these measures are inconsistent with Paragraph 11.3 of Part I of the
Accession Protocol because these measures constitute taxes and charges applied to exports.

II. EXPORT QUOTAS
 China imposes restrictions, such as quotas, on the export of various forms of antimony, 22
indium,23 magnesia,24 talc,25 and tin.26

Forms of tin also include, but are not limited to, items falling under the 10 -digit Chinese Customs
Commodity Codes identified in the 2016 Export Licensing Management Commodities Catalogue as listed in
Annex 11, Section B.
12 As listed in Annex 1, Section A.
13 As listed in Annex 2.
14 As listed in Annex 3.
15 As listed in Annex 4.
16 As listed in Annex 5.
17 As listed in Annex 7.
18 As listed in Annex 8, Section A.
19 As listed in Annex 9, Section A.
20 As listed in Annex 10.
21 As listed in Annex 11, Section A.
22 As listed in Annex 1, Section B.
23 As listed in Annex 6.
24 As listed in Annex 8, Section B.
25 As listed in Annex 9, Section B.
26 As listed in Annex 11, Section B.

 The legal instruments through which China imposes restrictions, such as quotas, on these
products, operating separately or collectively, include but are not limited to the following:

 Foreign Trade Law of the People's Republic of China (adopted at the 8th Session of
the Standing Committee of the Tenth National People 's Congress on 6 April 2004,
effective 1 July 2004)

 Regulation of the People 's Republic of China on the Administration of the Import
and Export of Goods (Order of the State Council No. 332, adopted at the 46 th
executive meeting of the State Council on 31 October 2001, effective
1 January 2002)

 Measures for the Administration of Licensing for the Export of Goods (Order of the
Ministry of Commerce No. 11, adopted 7 May 2008, effective 1 July 2008)

 Rules on the Administration of Import and Export License Certificates (Ministry of
Commerce, Shang Wu Bu Ling [2012] No. 1, issued 4 February 2012, effective
5 March 2012)

 Ministry of Commerce Notice on the Printing and Distributing of the "Working Rules
on Issuing Export Licenses " (Ministry of Commerce, Shang Pei Fa [2008] No. 398,
issued 9 October 2008)

 Ministry of Foreign Trade and Economic Cooperation Notice on Printing and
Distributing the "Measures on the Administration of the Organs for Issuing the
Licenses of Import and Export Commodities " (Ministry of Foreign Trade and
Economic Cooperation, Wai J ing Mao Pei Guan Han Zi [1999] No. 68, issued
21 September 1999, amended 12 September 2010)

 Measures for the Administration of Export Commodities Quotas (Order of the
Ministry of Foreign Trade and Economic Cooperation No. 12, issued
20 December 2001, effective 1 January 2002)

 Measures for Quota Bidding for Export Commodities (Decree of the Ministry of
Foreign Trade and Economic Cooperation No. 11, adopted on 20 December 2001,
effective 1 January 2002)

 Ministry of Foreign Trade and Economic Cooperation Notice on Printing and
Distributing the "Implementation Rules of Export Quota Bidding for Industrial
Products" (Ministry of Foreign Trade and Economic Cooperation, Wai Jing Mao Mao
Fa [2001] No. 626, issued 8 November 2001)

 Ministry of Commerce and General Administration of Customs 2015 Public Notice
No. 76 on Announcing the "2016 Export Licensing Management Commodities
Catalogue" (Ministry of Commerce and General Administration of Customs 2015
Public Notice No. 76, issued 29 December 2015, effective 1 January 2016)

 Ministry of Commerce 2015 Public Notice No. 79 on Announcing the "2016 Graded
License-Issuing Catalogue of Commodities Subject to Export License
Administration" (Ministry of Commerce 2015 Public Notice No. 79, issued
31 December 2015, effective 1 January 2016)

 Ministry of Commerce 2015 Public Notice No. 53 on Announcing the "2016
Agricultural Products and Industrial Product Export Quota Total Amount" (Ministry
of Commerce 2015 Public Notice No. 53, issued 29 October 2015)

 Ministry of Commerce N otice on Announcing the 2016 List of Tungsten, Antimony,
and Silver Exporting State Trading Enterprises and Tungsten, Tin, and Phosphate
Rock Export Quota Enterprises (Ministry of Commerce, issued 30 November 2015)

 Ministry of Commerce 2015 Public Notice No. 50 on Announcing the "Requirements
and Procedures for Applying for Export Quotas of Indium and Tin in 2016" (Ministry
of Commerce 2015 Public Notice No. 50, issued 28 October 2015)

 Ministry of Commerce 2015 Public Notice No. 49 on Announcing the "Application
Requirements and Procedures for Export of Tungsten, Antimony and Silver by
State Trading Enterprises in 2016 " (Ministry of Commerce 2015 Public Notice
No. 49, issued 28 October 2015)

 Ministry of Commerce 2015 Public Notice No. 55 on the 2016 Magnesia and Talc
Export Quota Bidding Qualifications (Ministry of Commerce 2015 Public Notice
No. 55, issued 4 November 2015)

 Ministry of Commerce Public Notice on Bid Invitation for the First 2016 Magnesia
Export Quota (Ministry of Commerce, issued 30 November 2015)

 Ministry of Commerce Public Notice on Bid Invitation for the First 2016 Talc
(Powder) Export Quota (Ministry of Commerce, issued 30 November 2015)

 Ministry of Commerce Public Notice on Bid Invitation for the Second 2016 Magnesia
Export Quota (Ministry of Commerce, issued 6 July 2016)

 Ministry of Commerce Public Notice on Bid Invitation for the Second 2016 Talc
(Powder) Export Quota (Ministry of Commerce, issued 6 July 2016)

 Ministry of Commerce Notice on Announcing the Export Quotas of the First Batch of
Industrial Products in 2016 (Ministry of Com merce, Shang Mao Han [2015]
No. 1012, issued 25 December 2015)

 Ministry of Commerce Notice on Announcing the Export Quotas of the Second
Batch of Industrial Products in 2016 (Ministry of Commerce, Sh ang Mao Han
[2016] No. 323, issued 28 June 2016)

 Ministry of Commerce Notice on Supplementing the Export Quotas of the First
Batch for Silver and Indium in 2016 (Ministry of Commerce, Shang Mao Han
[2016] No. 131, issued 29 March 2016)

 Ministry of Commer ce Notice on Printing and Distributing the "List of Bid -winning
Enterprises and Their Quotas in the First Bidding for Export Quotas of Magnesia
and Talc in 2016 " (Ministry of Commerce, Shang Mao Pi [2015] No. 1030, issued
22 December 2015)

 Ministry of Com merce Notice on Printing and Distributing the "List of Bid -winning
Enterprises and Their Quotas in the Second Bidding for Export Quotas of Magnesia
and Talc in 2016 " (Ministry of Commerce, Shang Mao Pi [2016] No. 674, issued
26 July 2016)

 Guidelines of th e Ministry of Commerce on Items Requiring Approval [18013]
Application Guidelines: Qualification Recognition of State Trading Enterprises for
Import and Export of Goods

 Application Guidelines: Qualification Recognition of State Trading Enterprises for
Import and Export of Goods

 Ministry of Foreign Trade and Economic Cooperation Notice on Printing and
Distributing the "Provisional Measures on Administration of the Export Operations
of Tungsten and Tungsten Products and of Antimony and Antimony Products "
(Ministry of Foreign Trade and Economic Cooperation, Wai Jing Mao Guan Fa
[2000] No. 649, issued 4 December 2000, effective 1 January 2001)

 as well as any amendments, or related, successor, replacement, or implementing
measures.

 The United States consider s that these measures are inconsistent with Article XI:1 of the
GATT 1994 and China's obligations under the provisions of Paragraph 1.2 of Part I of the Accession
Protocol, which incorporates commitments in Paragraphs 162 and 165 of the Working Party Repor t
on the Accession of China (WT/MIN(01)/3) ( "Working Party Report "), because these measures
constitute export restrictions other than duties, taxes, or other charges.

III. EXPORT QUOTA ADMINISTRATION AND ALLOCATION
 With respect to the administration and the allocation of the export quotas on various forms
of indium, 27 magnesia,28 talc,29 and tin, 30 China imposes restrictions on the trading rights of
enterprises seeking to export various forms of indium, magnesia, talc, and tin, such as prior export
performance requirements.

 The legal instruments through which China imposes restrictions on the right to export these
products, operating separately or collectively, include but are not limited to the following:

 Foreign Trade Law of the People's Republic of China (adopted at the 8th Session of
the Standing Committee of the Tenth National People 's Congress on 6 April 2004,
effective 1 July 2004)

 Regulation of the People 's Republic of China on the Administration of the Import
and Export of Goods (Order of the Sta te Council No. 332, adopted at the 46 th
executive meeting of the State Council on October 31, 2001, effective
1 January 2002)

 Measures for the Administration of Licensing for the Export of Goods (Order of the
Ministry of Commerce No. 11, adopted 7 May 2008, effective 1 July 2008)

 Rules on the Administration of Import and Export License Certificates (Ministry of
Commerce, Shang Wu Bu Ling [2012] No. 1, issued 4 February 2012, effective
5 March 2012)

 Ministry of Commerce Notice on the Printing and Distributing of the "Working Rules
on Issuing Export Licenses " (Ministry of Commerce, Shang Pei Fa [2008] No. 398,
issued 9 October 2008)

 Ministry of Foreign Trade and Economic Cooperation Notice on Printing and
Distributing the "Measures on the Administration of the Organs for Issuing the
Licenses of Import and Export Commodities " (Ministry of Foreign Trade and
Economic Cooperation, Wai Jing Mao Pei Guan Han Zi [1999] No. 68, issued
21 September 1999, amended 12 September 2010)

 Measures for the Administration of Export Commodities Quotas (Order of the
Ministry of Foreign Trade and Economic Cooperation No. 12, issued
20 December 2001, effective 1 January 2002)

 Measures for Quota Bidding for Export Commodities (Decree of the Ministry of
Foreign Trade and Economic Cooperation No. 11, adopted on 20 December 2001,
effective 1 January 2002)

 Ministry of Foreign Trade and Economic Cooperation Notice on Printing and
Distributing the "Implementation Rules of Export Quota Bidding for Industrial
Products" (Ministry of Foreign Trade and Economic Cooperation, Wai Jing Mao Mao
Fa [2001] No. 626, issued 8 November 2001)

27 As listed in Annex 6.
28 As listed in Annex 8, Section B.
29 As listed in Annex 9, Section B.
30 As listed in Annex 11, Section B.

 Ministry of Commerce and General Administration of Customs 2015 Public Notice
No. 76 on Announcing the "2016 Export Licensing Management Commodities
Catalogue" (Ministry of Commerce and General Administration of Customs 2015
Public Notice No. 76, issued 29 December 2015, effective 1 January 2016)

 Ministry of Commerce 2015 Public Notice No. 79 on Announcing the "2016 Graded
License-Issuing Catalogue of Commodities Subject to Export License
Administration" (Ministry of Commerce 2015 Public Notice No. 79, issued
31 December 2015, effective 1 January 2016)

 Ministry of Commerce 2015 Public Notice No. 53 on Announcing the "2016
Agricultural Products and Industrial Pro duct Export Quota Total Amount" (Ministry
of Commerce 2015 Public Notice No. 53, issued 29 October 2015)

 Ministry of Commerce Notice on Announcing the 2016 List of Tungsten, Antimony,
and Silver Exporting State Trading Enterprises and Tungsten, Tin, and P hosphate
Rock Export Quota Enterprises (Ministry of Commerce, issued 30 November 2015)

 Ministry of Commerce 2015 Public Notice No. 50 on Announcing the "Requirements
and Procedures for Applying for Export Quotas of Indium and Tin in 2016" (Ministry
of Commerce 2015 Public Notice No. 50, issued 28 October 2015)

 Ministry of Commerce 2015 Public Notice No. 55 on the 2016 Magnesia and Talc
Export Quota Bidding Qualifications (Ministry of Commerce 2015 Public Notice
No. 55, issued 4 November 2015)

 Ministry of Commerce Public Notice on Bid Invitation for the First 2016 Magnesia
Export Quota (Ministry of Commerce, issued 30 November 2015)

 Ministry of Commerce Public Notice on Bid Invitation for the First 2016 Talc
(Powder) Export Quota (Ministry of Commerce, issued 30 November 2015)

 Ministry of Commerce Public Notice on Bid Invitation for the Second 2016 Magnesia
Export Quota (Ministry of Commerce, issued 6 July 2016)

 Ministry of Commerce Public Notice on Bid Invitation for the Second 2016 Talc
(Powder) Export Quota (Ministry of Commerce, issued 6 July 2016)

 Ministry of Commerce Notice on Announcing the Export Quotas of the First Batch of
Industrial Products in 2016 (Ministry of Com merce, Shang Mao Han [2015]
No. 1012, issued 25 December 2015)

 Ministry of Co mmerce Notice on Announcing the Export Quotas of the Second
Batch of Industrial Products in 2016 (Ministry of Commerce, Shang Mao Han
[2016] No. 323, issued 28 June 2016)

 Ministry of Commerce Notice on Supplementing the Export Quotas of the First
Batch fo r Silver and Indium in 2016 (Ministry of Commerce, Shang Mao Han
[2016] No. 131, issued 29 March 2016)

 Ministry of Commerce Notice on Printing and Distributing the "List of Bid -winning
Enterprises and Their Quotas in the First Bidding for Export Quotas of Magnesia
and Talc in 2016 " (Ministry of Commerce, Shang Mao Pi [2015] No. 1030, issued
22 December 2015)

 Ministry of Commerce Notice on Printing and Distributing the "List of Bid -winning
Enterprises and Their Quotas in the Second Bidding for Export Quotas of Magnesia
and Talc in 2016 " (Ministry of Commerce, Shang Mao Pi [2016] No. 674, issued
26 July 2016)

 as well as any amendments, or related, successor, replacement, or implementing
measures.

 The United States considers that these measures are inconsi stent with Paragraph 5.1 of Part
I of the Accession Protocol, as well as China 's obligations under the provisions of Paragraph 1.2 of
Part I of the Accession Protocol, which incorporates commitments in Paragraphs 83 and 84 of the
Working Party Report, because these measures limit the right to trade.

Accordingly, the United States respectfully requests that, pursuant to Article 6 of the DSU,
the Dispute Settlement Body establish a panel to examine this matter, with standard terms of
reference as set out in Article 7.1 of the DSU.

Annex 1

Antimony
Section A
(List of eight-digit Chinese Customs Commodity Codes, as identified in the 2016 Tariff
Adjustment Plan)
26171090
Section B
(List of ten-digit Chinese Customs Commodity Codes, as identified in the 2016 Export
Licensing Management Commodities Catalogue)
2617101000 2617109090
2617109001

Annex 2
Chromium
(List of eight-digit Chinese Customs Commodity Codes, as identified in the 2016 Tariff
Adjustment Plan)
26100000
81122100
81122200

Annex 3
Cobalt
(List of eight-digit Chinese Customs Commodity Codes, as identified in the 2016 Tariff
Adjustment Plan)
26050000

Annex 4
Copper
(List of eight-digit Chinese Customs Commodity Codes, as identified in the 2016 Tariff
Adjustment Plan)
26030000
74010000

Annex 5
Graphite
(List of eight-digit Chinese Customs Commodity Codes, as identified in the 2016 Tariff
Adjustment Plan)
25041010 25049000
25041099
Annex 6
Indium
(List of ten-digit Chinese Customs Commodity Codes, as identified in the 2016 Export
Licensing Management Commodities Catalogue)
8112923001
8112923002
8112923090
8112993000

Annex 7
Lead
(List of eight-digit Chinese Customs Commodity Codes, as identified in the 2016 Tariff
Adjustment Plan)
78011000
78020000

Annex 8
Magnesia
Section A
(List of eight-digit Chinese Customs Commodity Codes, as identified in the 2016 Tariff
Adjustment Plan)
25191000 25199020 25199099
25199010 25199030 25309099
Section B
(List of ten-digit Chinese Customs Commodity Codes, as identified in the 2016 Export
Licensing Management Commodities Catalogue)
2519100000 2519902000 2519909910 2530909930
2519901000 2519903000 2530909910 3824909200

Annex 9
Talc
Section A
(List of eight-digit Chinese Customs Commodity Codes, as identified in the 2016 Tariff
Adjustment Plan)
25261020
25262020
38249091

Section B
(List of ten-digit Chinese Customs Commodity Codes, as identified in the 2016 Export
Licensing Management Commodities Catalogue)
2526102000 2526202090
2526202001 3824909100
Annex 10
Tantalum
(List of eight-digit Chinese Customs Commodity Codes, as identified in the 2016 Tariff
Adjustment Plan)
81033000

Annex 11
Tin
Section A
(List of eight-digit Chinese Customs Commodity Codes, as identified in the 2016 Tariff
Adjustment Plan)
80011000
80020000

Section B
(List of ten-digit Chinese Customs Commodity Codes, as identified in the 2016 Export
Licensing Management Commodities Catalogue)
2609000000 8001100000 8001202900 8003000000
2825903100 8001201000 8001209000 8007002000
2825903900 8001202100 8002000000 8007004000