Agreement Establishing the World Trade Organization
Agreement on Implementation of Article VI of the General Agreement on Tariffs and Trade 1994
Article 6: Evidence
6.1 All interested parties in an antidumping 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.
6.1.1 Exporters or foreign producers receiving questionnaires used in
an antidumping investigation shall be given at least 30 days for reply
Due consideration should be given to any request for an extension of the
30day period and, upon cause shown, such an extension should be granted
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 provide the full text of the written application received under paragraph
1 of Article 5 to the known exporters 16 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.
6.2 Throughout the antidumping 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.
6.3 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.
6.4 The authorities shall whenever practicable provide timely opportunities
for all interested parties to see all information that is relevant to the
presentation of their cases, that is not confidential as defined in paragraph
5, and that is used by the authorities in an antidumping investigation,
and to prepare presentations on the basis of this information.
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 it17.
6.5.1 The authorities shall require interested parties providing confidential
information to furnish nonconfidential summaries thereof. 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.
6.5.2 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 correct18.
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.
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 obtain 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,
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.
6.8 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 available. The provisions
of Annex II shall be observed in the application of this paragraph.
6.9 The authorities shall, before a final determination is made, inform
all interested parties of the essential facts under consideration which
form the basis for the decision whether to apply definitive measures. Such
disclosure should take place in sufficient time for the parties to defend
6.10 The authorities shall, as a rule, determine an individual margin
of dumping for each known exporter or producer concerned of the product
under investigation. 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.
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 with the consent of the exporters, producers or importers concerned.
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, except 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.
6.11 For the purposes of this Agreement, "interested parties"
(i) an exporter or foreign 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.
This list shall not preclude Members from allowing domestic or foreign
parties other than those mentioned above to be included as interested parties.
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
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.
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 final determinations, whether affirmative
or negative, or from applying provisional or final measures, in accordance
with relevant provisions of this Agreement.
Article 7: Provisional Measures
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
(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.
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
antidumping duty provisionally estimated, being not greater than the provisionally
estimated margin of dumping. Withholding of appraisement is an appropriate
provisional measure, provided that the normal duty and the estimated amount
of the antidumping duty be indicated 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.
7.4 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.
7.5 The relevant provisions of Article 9 shall be followed in the application
of provisional measures.
Article 8: Price Undertakings
8.1 Proceedings may19 be suspended or terminated without the imposition
of provisional measures or antidumping duties upon receipt of satisfactory
voluntary undertakings from any exporter to revise its prices or to cease
exports to the area in question 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 the margin of dumping if such increases would be adequate
to remove the injury to the domestic industry.
8.2 Price undertakings shall not be sought or accepted from exporters
unless the authorities of the importing Member have made a preliminary
affirmative determination of dumping and injury caused by such dumping.
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, the 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.
8.4 If an undertaking is accepted, 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 undertaking. 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.
8.6 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 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.
Article 9: Imposition and Collection of AntiDumping Duties
9.1 The decision whether or not to impose an antidumping duty in cases
where all requirements for the imposition have been fulfilled, and the
decision whether the amount of the antidumping 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 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.
9.2 When an antidumping duty is imposed in respect of any product, such
antidumping duty shall be collected in the appropriate amounts in each
case, on a nondiscriminatory 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 shall 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
9.3 The amount of the antidumping duty shall not exceed the margin of
dumping as established under Article 2.
9.3.1 When the amount of the antidumping duty is assessed on a retrospective
basis, the determination of the final liability for payment of antidumping
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 antidumping duty has been made20.
Any refund shall be made promptly and normally in not more than 90 days
following the determination of final liability made pursuant to this subparagraph.
In any case, where a refund is not made within 90 days, the authorities
shall provide an explanation if so requested.
9.3.2 When the amount of the antidumping 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 antidumping duty. The refund
authorized should normally be made within 90 days of the abovenoted decision.
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 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 antidumping duties paid when conclusive evidence of the
above is provided.
9.4 When the authorities have limited their examination in accordance
with the second sentence of paragraph 10 of Article 6, any antidumping
duty applied to imports from exporters or producers not included in the
examination shall not exceed:
(i) the weighted average margin of dumping established with respect
to the selected exporters or producers or,
(ii) where the liability for payment of antidumping 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,
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 antidumping 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 related to any of the exporters
or producers in the exporting country who are subject to the antidumping
duties on the product. 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. No antidumping 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, antidumping duties
can be levied retroactively to the date of the initiation of the review.
Article 10: Retroactivity
10.1 Provisional measures and antidumping 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, antidumping duties may be levied
retroactively for the period for which provisional measures, if any, have
10.3 If the definitive antidumping 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
duty 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 antidumping 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 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 antidumping 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 buildup of
inventories of the imported product) is likely to seriously undermine the
remedial effect of the definitive antidumping 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 antidumping duties retroactively, as provided for in paragraph
6, once they have sufficient evidence that the conditions set forth in
that paragraph are satisfied.
10.8 No duties shall be levied retroactively pursuant to paragraph 6
on products entered for consumption prior to the date of initiation of
Continue with the Agreement on Implementation of
Article VI of the General Agreement on Tariffs and Trade 1994
15 As a general rule, the timelimit for exporters shall be counted from the date of receipt 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.
16 It being understood that, where the number of exporters involved is particularly high, the full text of the written application should instead be provided only to the authorities of the exporting Member or to the relevant trade association.
17 Members are aware that in the territory of certain Members disclosure pursuant to a narrowly-drawn protective order may be required.
18 Members agree that requests for confidentiality should not be arbitrarily rejected.
19The 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.
20 It is understood that the observance of the timelimits mentioned in this subparagraph and in subparagraph 3.2 may not be possible where
the product in question is subject to judicial review proceedings.