CHAPTER 1:GENERAL INTRODUCTION 1
Ⅰ Introduction 1
1.1 The international framework 6
1.1.1 GATT/WTO 6
1.1.2 Incoterms 9
1.2 The European Communities 12
1.3 Outline of this book 14
PART 1:PROCEDURE 17
CHAPTER 2:INVESTIGATORY PROCEDURES 17
2 Introduction 17
2.1 The administering authorities 17
2.1.1 The Commission 18
Directorate-General Ⅰ 18
The Legal Service 20
Directorate-General Ⅲ 20
Directorate-General Ⅳ 20
Directorate-General ⅩⅩⅠ 21
2.1.2 The Anti-Dumping Committee 21
2.1.3 The Council of Ministers 23
2.1.4 The European Parliament 27
2.1.5 Time limits 28
2.2 Complaint and initiation 30
2.2.1 On behalf of a Community industry/Standing 34
2.2.2 Confidentiality of the complaint 38
2.2.3 Non-confidential version of the complaint 39
2.2.4 Selectivity of the complaint 40
2.2.5 Withdrawal of the complaint 41
2.2.6 Rejection of the complaint 45
2.2.7 Initiation 47
2.2.8 Self-initiation 49
2.2.9 Proceeding vs.investigation 50
2.3 Investigation techniques 51
2.3.1 Interested parties 51
2.3.2 Questionnaires 52
Non-confidential version of the questionnaire response 55
Deadline for the questionnaire response 55
Related parties 56
2.3.3 Investigation periods 59
Developments after the investigation period 61
2.3.4 Verifications 63
Verification reports 66
2.3.5 Facts available 67
2.3.6 Procedural safeguards 71
Confidentiality of information 73
Access to the file and possibility to comment 76
Hearings 78
Confrontation meetings 79
Explanation of essential facts and considerations； pre-disclosure, provisional disclosure and final disclosure 80
2.3.7 Sampling of interested parties 83
CHAPTER 3: PROTECTIVE ACTION/TERMINATION 91
3 Introduction 91
3.1 Undertakings 91
3.1.1 General 91
3.1.2 Refusal to accept undertakings 94
3.1.3 Main contents of price undertakings 98
3.1.4 Quantitative restrictions 99
3.1.5 Other forms of export restraints 100
3.1.6 Newcomers 101
3.1.7 Violation of or withdrawal from undertakings 101
3.2 Anti-dumping duties 105
3.2.1 General 105
3.2.2 Scope； product definition； product exclusion 107
3.2.3 Country of origin, production or export?/transshipments 113
3.2.4 Lesser duty rule； injury margins 117
3.2.5 Non-discriminatory application of anti-dumping duties 118
3.2.6 Cumulation anti-dumping and countervailing duties 122
3.2.7 Cumulation anti-dumping duties and quantitative restrictions 125
3.2.8 Form of the duty 127
3.2.9 Residual duty 133
Non-cooperating producers 136
Newcomers 138
3.2.10 Collection of anti-dumping duties 141
3.2.11 Inward processing 141
3.2.12 Correction clerical errors/amendments 142
3.2.13 Provisional anti-dumping duties 143
3.2.14 Definitive anti-dumping duties 145
3.2.15 Definitive collection of provisional duties 146
3.2.16 Retro-active application of anti-dumping duties 148
Registration procedure 149
3.2.17 Special monitoring 150
3.3 Termination without protective measures 152
CHAPTER 4: ADMINISTRATIVE REVIEW/REFUNDS/SUSPENSION 155
4.1 Review possibilities 155
4.1.1 Interim review 159
Procedure 159
Commission practice 160
Product exclusion/inclusion 165
Scope of review 169
4.1.2 Expiry review 171
Procedure 171
Commission practice 175
4.1.3 Newcomer review 186
4.2 Refunds 190
4.2.1 Procedure 191
4.2.2 Commission practice 193
4.3 Suspension of anti-dumping measures 198
CHAPTER 5: JUDICIAL REVIEW 203
5 Introduction 203
5.1 Article 263（4） TFEU: the Action for Annulment 205
5.1.1 Reviewable acts 206
Initiation of anti-dumping proceeding 207
Initiation of review investigation 208
Initiation of anti-circumvention investigation 208
Refusal to initiate anti-dumping proceeding 208
Refusal request for access to the non-confidential file 210
Council failure to adopt a Commission proposal to impose definitive measures 210
Decision to terminate a proceeding without protective measures 211
Decisions taken in the course of the investigation 211
5.1.2 Decision which although in the form of a Regulation is of direct and individual concern to the Applicant 212
Direct concern 213
Individual concern 213
Exporters and producers 214
Importers 218
Complainants/EU producers 222
5.1.3 A regulatory act, which is of a direct concern and does not entail implementing measures 223
5.1.4 The scope of review 224
5.1.5 Consequences of Annulment of a Regulation 226
5.2 Article 267 TFEU: Preliminary ruling 227
5.3 Article 265 TFEU: Failure to act 228
5.4 Article 272 jo.Article 340 TFEU: Damages 229
5.5 Article 201 TFEU: Interim relief 231
5.6 The General Court 231
5.7 Conclusions 232
PART 2:SUBSTANTIVE REQUIREMENTS 235
CHAPTER 6:THE DUMPING DETERMINATION 235
6 Introduction 235
6.1 Export Price 237
6.1.1 Middlemen/trading houses 239
6.1.2 Construction of the export price 242
When will the export price be constructed? 243
Which costs will be deducted? 244
Which profit will be deducted? 249
6.2 Normal value 251
6.2.1 Home market sales 251
Five percent rule 251
Price paid or payable 254
Ordinary course of trade 254
Related parties 255
Selective normal value； exclusion of certain domestic sales channels 259
Compensatory arrangements 261
Like product 262
Product control numbers [PCNs] 263
Exporting country or country of origin 268
Normal value for middlemen/trading houses 268
6.2.2 No, insufficient or unreliable sales in the home market 269
Third country exports 271
Constructed value 271
Cost of manufacture 277
Selling, general & administrative expenses [SGA] 286
Profit 291
6.2.3 Sales below cost of production 295
Conditions 295
Calculation of normal value 296
6.2.4 Imports from non-market economy countries 298
Definition non-market economy country 298
Calculation normal value 299
The choice of the analogue country 299
Domestic prices, third country exports or constructed value? 306
Imposition of anti-dumping duties in the case of non-market economy countries； one country/ one duty rule 307
Market economy treatment 308
MET/IT claim form 309
Procedural steps 312
Commission practice on MET 316
Analysis of MET results 323
Individual treatment 325
Commission practice on IT 326
6.2.5 Country of origin, production or export?/ transshipments 330
Applicable WTO/GATT and EC law 330
Commission practice 332
6.3 Adjustments （netting back） 334
6.3.1 Physical characteristics 338
6.3.2 Import charges and indirect taxes 340
6.3.3 Discounts, rebates and quantities 345
6.3.4 Level of trade/symmetry 348
Article 2（10）（d） 351
Original equipment manufacturer [OEM] sales 354
Identification of OEM sales 355
OEM normal value 355
OEM export price 356
Article 2（10）（k） 356
6.3.5 Transport, insurance, handling, loading and ancillary costs 357
6.3.6 Packing 359
6.3.7 Credit 359
6.3.8 After-sales costs 361
6.3.9 Commissions 362
6.4 The comparison 364
6.4.1 Negative dumping 368
6.4.2 Currency conversions 378
6.4.3 Sale and date of sale 380
6.5 The dumping margin 382
6.5.1 Examples of dumping margin calculations 382
6.5.2 De minimis dumping 385
6.6 Sampling of types of products or transactions 386
CHAPTER 7: THE INJURY DETERMINATION 389
7 Introduction 389
7.1 The like product 392
7.1.1 The “like product” determination 392
7.1.2 Absence of “like product” data 394
7.2 The domestic industry 395
7.2.1 The standard situation 395
Standing 395
Integrated producers 396
Production in the EC 398
7.2.2 Regional industries 402
7.2.3 Conflicts of interest: related parties sensu lato 403
Community producer/importer 404
Related parties sensu stricto 407
7.3 Injury 409
7.3.1 Cumulation 409
Decumulation 412
7.3.2 Material injury sensu stricto 415
Volume of dumped imports 421
Prices of dumped imports 425
Impact of dumped imports on the Community industry 427
7.3.3 Threat of material injury 434
7.3.4 Material retardation 438
7.4 Causation 438
7.4.1 General 438
7.4.2 Margins analysis 450
7.4.3 Technical dumping 451
7.4.4 Competition arguments 453
CHAPTER 8:INJURY MARGINS 461
8 Introduction 461
8.1 Outline 463
8.2 The importance of injury margins 463
8.3 Conventional techniques of calculating injury margins 464
8.3.1 General assessments 464
8.3.2 Price undercutting: price comparison 464
8.3.3 Underselling: target prices 470
Which cost of production? 473
Which profit? 473
8.3.4 Global, individual or semi-individual injury margins? 477
8.4 Special cases 479
8.4.1 Footwear 480
8.4.2 Audio tapes in cassettes 481
8.4.3 Dicyanmide 485
8.5 Conclusions and recommendations 486
CHAPTER 9: COMMUNITY INTEREST 489
9 Introduction 489
9.1 Procedure 490
9.2 Commission practice 492
PART 3: DIVERSION AND ANTI-DIVERSION RULES 505
CHAPTER 10: ANTI-CIRCUMVENTION MEASURES 505
10 Introduction 505
10.1 The Article 13 anti-circumvention provisions 505
10.1.1 The general rule of Article 13 （1） 506
Practice, process or work 506
Change in the pattern of trade 508
Insufficient due cause or economic justification 509
Undermining the remedial effects of the duty 510
Evidence of dumping 511
10.1.2 The specific rule of Article 13 （2） for assembly operations 512
Timing of the assembly operation 514
Value-of-parts test 515
Value-added test 520
Undermining the remedial effects of the duty 521
Evidence of dumping 522
10.1.3 Are Article 13 （1） and 13 （2） mutually exclusive? 522
10.1.4 Procedure 523
10.1.5 Registration and exemptions 525
10.1.6 WTO-compatibility of Article 13 528
10.2 Origin investigations 529
10.2.1 Procedure 534
The official procedure 534
The informal procedure 535
Ruling requests/BOI 536
Judicial review 538
10.2.2 Substantive concepts 539
10.2.3 Problematic product specific origin Regulations of the EC 540
10.2.4 Value-added calculation methods 541
Older cases 543
Roll-up test 544
Tracing test 544
Parts manufactured in-house 544
Examples 544
Compact disc players and colour televisions 545
Compact disc players 546
Colour televisions 546
Transfer pricing 546
Currency conversions； exchange rates 547
10.2.5 The interpretation of the origin rules by the European Court of Justice 549
10.2.6 The WTO Agreement on rules of origin 556
10.3 Input dumping 558
10.4 General rule 2（a） 560
CHAPTER 11:ANTI-ABSORPTION RULES 565
11.1 The legislative framework 565
11.2 Commission practice 567
APPENDICES 583
BIBLIOGRAPHY 737
INDEX 747