WT/acc/rus/70 wt/min(11)/2

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To the world trade organization
Framework for making and enforcing policies 34
Policies affecting trade in goods 55
2. Export Regulations 151
3. Internal Policies Affecting Foreign Trade in Goods 166
Traderelated intellectual property regime (trips) 309
Policies affecting trade in services 344
Annex 1 370
Documentation Provided
Economy, economic policies and foreign trade
Framework for making and enforcing policies
Policies affecting trade in goods
2. Export Regulations
3. Internal Policies Affecting Foreign Trade in Goods
support of activities of people living in the Far North and similar territories; - carrying out of fundamental scientific resear
support of small enterprises engaged in high-priority activities; - social services provided for the population; and
Rumohra adiantiformis
Trade-Related Investment Measures (TRIMs)
Trade related intellectual property regime (trips)
2. Standards concerning availability, scope and use of intellectual property rights
...
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World Trade

Organization

RESTRICTED




WT/ACC/RUS/70
WT/MIN(11)/2


17 November 2011




(11-5946)







Working Party on the Accession

of the Russian Federation






REPORT OF THE WORKING PARTY ON THE
ACCESSION OF THE RUSSIAN FEDERATION
TO THE WORLD TRADE ORGANIZATION



TABLE OF CONTENTS


Introduction 1

Documentation Provided 1

Introductory Statements 1

ECONOMY, ECONOMIC POLICIES AND FOREIGN TRADE 2

- Fiscal and Monetary Policies 2

- Foreign Exchange and Payments System 5

- Investment Regime 10

- Privatization and Enterprises that are State-Owned or –Controlled, Enterprises with Special or Exclusive Privileges 15

- (a) Privatization 15

- (b) Enterprises that are State-Owned or -Controlled, Enterprises with Special or Exclusive Privileges 18

- Pricing Policies 25

- Competition Policy 32

FRAMEWORK FOR MAKING AND ENFORCING POLICIES 34

- Powers of executive, legislative and judicial branches of government 34

- Framework of the Customs Union among the Russian Federation, the Republic of Kazakhstan and the Republic of Belarus 37

- (a) Legal Framework Establishing the Customs Union 37

- (b) Customs Union Structure and Competency in the Area of Trade 39

- (c) The Interstate Council of EurAsEC 39

- (d) The EurAsEC Court 40

- (e) The Customs Union Commission 44

- (f) The Secretariat of the Customs Union Commission 44

- (g) Decision Making within the Customs Union Bodies 45

- (h) Areas of Customs Union Commission Competency 45

- (i) Transparency 46

- (j) Implementation of WTO Commitments under the Customs Union Regime 47

- Government entities responsible for making and implementing policies affecting foreign trade; Right of Appeal 48

- Division of authority between central and sub-central governments 52

POLICIES AFFECTING TRADE IN GOODS 55

- Registration requirements for import/export operations 55

- (a) Alcoholic beverages 59

- (b) Pharmaceuticals 63

- (c) Goods with Encryption Technology 65

- (d) Precious stones and metals 66

- (e) Other licensing requirements 67

1. Import Regulations 69

- Customs Regulations and Procedures 69

- Ordinary Customs Duties 76

- Tariff Exemptions 81

- Tariff Quotas 83

- Other Duties and Charges 90

- Fees and Charges for Services Rendered 90

- (a) Customs Fees 90

- (b) Other Fees 94

- Application of Internal Taxes on Imports 97

- (a) Excise Taxes 97

- (b) Value Added Tax 100

- Quantitative Import Restrictions, including Prohibitions and Quotas and Import Licensing Systems 103

- (a) Quantitative Import Restrictions, including Prohibitions and Quotas 103

- (b) Import Licensing Systems 106

- (i) Sugar 109

- (ii) Alcoholic beverages and Alcohol-Containing Products 110

- (iii) Pharmaceuticals 110

- (iv) Products with Encryption Technology 113

- Customs Valuation 117

- Rules of Origin 127

- Other Customs Formalities 133

- Preshipment Inspection 137

- Balance of payments 138

- Anti-dumping, countervailing and safeguard measures 139

- (a) Transitional Regime 140

- (b) Regime established Under the Agreement of 25 January 2008 144

2. Export Regulations 151

- Export Duties 151

- Application of VAT Refund to Exports 155

- Quantitative Export Restrictions, Including Prohibitions and Quotas 155

- (a) Precious stones and metals 157

- Export Licensing Procedures 160

- Other Customs Export Formalities 164

3. Internal Policies Affecting Foreign Trade in Goods 166

- Industrial policy, including subsidy policies 166

- Technical Barriers to Trade 171

- (a) Legal Framework 171

- (b) Institutions 175

- (c) Technical Regulations, International and National Standards, and Conformity Assessment Procedures 178

- (i) Technical Regulations 178

- (ii) Technical requirements not subject to Federal Law No. 184-FZ 184

- (iii) Voluntary National and International Standards 189

- (iv) Disposition of Mandatory National Standards of the Russian Federation 192

- (v) Transparency and Notification 194

- (vi) Conformity Assessment Procedures including the Accreditation of Conformity Assessment Bodies 196

- Sanitary and Phytosanitary Measures 207

- (a) General Regulatory Framework for Trade in Agricultural Products and Compliance with WTO SPS Obligations 207

- (b) Competent Authorities for the Regulation of Trade in Agricultural Products 208

- (i) Customs Union Authorities 208

- (ii) National Authorities 210

- (c) Development of Technical Regulations/Mandatory Requirements on SPS 212

- (d) Participation in International Organizations in the SPS Sphere 218

- (e) Regime for Trade in Products Subject to Veterinary Control 219

- (i) Import Permits for Goods Subject to Veterinary (Sanitary) Control 220

- (ii) Transit through the Russian Federation of Goods Subject to Veterinary (Sanitary) Control 227

- (iii) Veterinary Certificates 229

- (iv) Establishment Approval through Systems Audits, Guarantees and Inspections 234

- (v) Resident Inspectors 242

- (f) Importation of Products Subject to Quarantine Control 243

- (g) Protection of Human Health 248

- (h) Compliance of the SPS Regime with Specific Provisions of the WTO SPS Agreement 254

- (i) Harmonization with International Standards and Norms 254

- (ii) Risk Assessment 260

- (iii) Regionalization 262

- (iv) Equivalence 263

- (v) Non-discrimination 266

- (i) Transparency, Notification and Enquiry Point Obligations 266

- (j) Proportionality, Necessity, and Reasonableness 271

- (k) Issues Related to Irregularities or Fraud 272

- (l) Conclusion 273

- Trade-Related Investment Measures (TRIMs) 273

- (a) Production Sharing Agreements 273

- (b) Domestic Motor Vehicle and Components Industry 275

- (c) Aircraft area 279

- (d) Diamonds 280

- (e) Conclusion 280

- Special Economic Zones 281

- (a) Basic Law on SEZs 282

- (b) Kaliningrad SEZ 285

- (c) Magadan SEZ 287

- (d) The CU Agreement on SEZs 290

- Government Procurement 292

- Regulation of Trade in Transit 297

- Policies Affecting Foreign Trade in Agricultural Products 302

- Trade in Civil Aircraft 306

TRADERELATED INTELLECTUAL PROPERTY REGIME (TRIPS) 309

1. General 309

- Participation in international treaties 314

2. Standards concerning availability, scope and use of intellectual property rights 316

- Copyright and Related Rights 316

- Trademarks 320

- Geographical Indications 323

- Industrial Designs and Patents 325

- Plant Variety and Animal Breed Protection 327

- Layout Designs of Integrated Circuits 327

- Requirements on undisclosed information, including trade secrets and test data 327

- Responsible Authorities 331

3. Enforcement 331

- General provisions 331

- Civil and Administrative Procedures and Remedies 332

- Border Measures 335

- Criminal Measures 339

POLICIES AFFECTING TRADE IN SERVICES 344

TRANSPARENCY 358

- Publication of Information on Trade 358

- Notifications 362

FREE TRADE AND CUSTOMS UNION AGREEMENTS 363

CONCLUSIONS 368

ANNEX 1 370

ANNEX 2 401

ANNEX 3 604

ANNEX 4 607

ANNEX 5 609



Introduction
  1. The Government of the Russian Federation applied for accession to the General Agreement on Tariffs and Trade (GATT 1947) in June 1993 (see document: L/7243 of 14 June 1993). At its meeting on 16-17 June 1993 the GATT Council of Representatives established a Working Party (see Minutes of Meeting of GATT Council, document: C/M/264 of 14 July 1993), to examine the application of the Government of the Russian Federation to accede to the GATT 1947 under Article XXXIII of the General Agreement. Following the entry into force of the WTO Agreement on 1 January 1995, and in pursuance of the decision adopted by the WTO General Council on 31 January 1995, the GATT 1947 Working Party was transformed into a WTO Accession Working Party under Article XII of the Marrakesh Agreement Establishing the WTO. The terms of reference and the membership of the Working Party are reproduced in document WT/ACC/RUS/1/Rev.30.
  2. The Working Party met on 17-19 July 1995, 4-6 December 1995, 30-31 May 1996, 15 October 1996, 15 April 1997, 22-23 July 1997, 9-11 December 1997, 29 July 1998, 16 17 December 1998, and 25 May 2000 under the Chairmanship of H.E. Mr. W. Rossier (Switzerland), on 18 December 2000, 26-27 June 2001, 23-24 January 2002, 25 April 2002, 20 June 2002, 18 December 2002, 30 January 2003, 6 March 2003, 10 April 2003, 10 July 2003 and 30 October 2003, under the Chairmanship of H.E. Mr. K. Bryn (Norway), and on 5 February 2004, 2 April 2004, 16 July 2004, 23 March 2006 and 10 November 2011 under the Chairmanship of H.E. Mr. S. Jóhannesson (Iceland).

Documentation Provided
  1. The Working Party had before it, to serve as a basis for its discussions, a Memorandum on the Foreign Trade Regime of the Russian Federation (L/7410), supplements to the Memorandum on the regime in the areas of Trade-Related Investment Measures (WT/ACC/RUS/5), Trade in Services (WT/ACC/RUS/6), Trade-Related Aspects of Intellectual Property Rights (WT/ACC/RUS/7), as well as questions submitted by Members of the Working Party on the foreign trade regime of the Russian Federation together with replies thereto and other information provided by the Russian authorities listed in documents WT/ACC/RUS/2; WT/ACC/RUS/4 and Addendum 1; WT/ACC/RUS/9 and Addenda 1, 2 and 3; WT/ACC/RUS/11/Rev.15; WT/ACC/RUS/13 and Addendum 1; WT/ACC/RUS/14; WT/ACC/RUS/17 and Addendum 1; WT/ACC/RUS/23 and Addendum 1; WT/ACC/RUS/25; WT/ACC/RUS/30 and Addendum 1; WT/ACC/RUS/38 and WT/ACC/RUS/46 and legislative texts and other documentation listed in Annex 1. From March 2006 to 10 November 2011, the Working Party on the Accession of the Russian Federation functioned informally. In this period, working documentation was circulated informally under the JOB document symbol. The complete list of these JOB numbered documents is contained in Annex 5.

Introductory Statements
  1. The representative of the Russian Federation recalled that his Government had been an observer to GATT 1947 since January 1992 when the Russian Federation continued the former USSR observer status. In this capacity, the Russian Federation had witnessed the successful conclusion of the Uruguay Round and followed its implementation.
  2. In this context, he noted that his Government was confronted with a number of important tasks in the social, institutional, macroeconomic and investment fields. In particular, the Russian Federation had to overcome the decline in the standards of living of its population resulting from the economic and financial crisis of 1998. This could be achieved only through policies aimed at stimulating growth in the GDP of the country by improving economic productivity, and expanding sources of investments. In the view of his Government, this would also require the maintenance of a set of policies which could adequately develop competitive domestic markets for goods, services and capitals and enhance the role of smaller and medium size enterprises. Accordingly, since requesting accession to the GATT and afterwards to the WTO, the Russian Federation had undertaken an unprecedented process of reform of its economy, progressively adopting laws and regulations consistent with WTO multilateral rules and disciplines. This process was primarily aimed at establishing the conditions for a dynamic market economy in the Russian Federation based on a stable and predictable legislative framework capable of sustaining long term economic growth and ensuring improvements in the standards of living and welfare of the Russian population as well as in the modernization of the production capacity of the Russian Federation, and its international competitiveness. The Government of the Russian Federation had set a clear list of programmes, policies and priorities that had, as their central goal, rendering the Russian Federation a better, more competitive and rewarding place in which to work and do business. It was clear that the growing interdependence of national economies, global integration of markets and linkage between trade flows and investment, required the Russian Federation to adjust its trade, financial and investment legislation to WTO rules and disciplines.
  3. Members of the Working Party welcomed the application for accession to the WTO of the Russian Federation and underscored the importance of a rapid integration of the Russian Federation into the multilateral trading system, both for the benefit of the Russian Federation and the world trading system as a whole. To this end, Members considered that the enactment of relevant legislation, consistent with WTO requirements, and of provisions for its implementation was essential to the accession of the Russian Federation to the WTO, in order to ensure that the Russian Federation could be an effective participant in the WTO from the first day of its membership. Members of the Working Party equally stressed the need for completing the negotiations on commercially viable terms which should be mutually beneficial to the Russian Federation and WTO Members.
  4. The Working Party reviewed the economic policies and foreign trade regime of the Russian Federation and the terms of a Protocol of Accession to the WTO. The views expressed by Members of the Working Party on the various aspects of the foreign trade regime of the Russian Federation, and on the terms and conditions of the accession of the Russian Federation to the WTO are summarized below in paragraphs to .

ECONOMY, ECONOMIC POLICIES AND FOREIGN TRADE

- Fiscal and Monetary Policies
  1. The representative of the Russian Federation said that current economic policies in the Russian Federation were aimed, inter alia, at "de-bureaucratization" of the economy, including elimination of unnecessary and burdensome administrative barriers, improvement of competition and investment attractiveness of the country, as well as at the achievement of its fiscal and monetary stability. The monetary policy of the Russian Federation was intended, in particular, to achieve a balanced monetary system, free of unnecessary restrictions and constraints for domestic and foreign economic operators, and to create favourable preconditions for sustainable long-term economic development. This objective was being achieved by reducing inflation to the projected level, as the fundamental monetary policy target, and implementing a policy of managed floating exchange rate of the national currency. All these activities were accompanied by measures to liberalize foreign exchange regulations.
  2. Pursuant to the legislation of the Russian Federation, the Central Bank of the Russian Federation (Bank of Russia or CBR) was responsible for developing and conducting a uniform monetary and credit policy in co-operation with the Government of the Russian Federation. The status, purposes, functions, and powers of the Bank of Russia were regulated by Federal Law No. 86 FZ of 10 July 2002 "On the Central Bank of the Russian Federation (Bank of Russia)" (as last amended on 25 November 2009). Decisions on the issues of monetary and credit policy were taken by the Board of Directors and the Monetary and Credit Policy Committee of the Bank of Russia. In addition, the consideration of a number of topics related to the activities of the Bank of Russia was included in the competence of the National Banking Council, particularly, the examination of the draft "Monetary Policy Guidelines" for the next calendar year. The representatives of the Government of the Russian Federation were Members of the National Banking Council and they participated in meetings of the Board of Directors of the Bank of Russia with a right of advisory vote. The Chairman of the Bank of Russia, or one of his deputies, on his behalf, participated in meetings of the Government of the Russian Federation. Pursuant to legislation of the Russian Federation, the Bank of Russia and the Government of the Russian Federation were required to inform each other about intended actions of national importance; they coordinated their policy and held regular consultations. For matters related to the issuance of Government notes and the repayment of debt of the Russian Federation, the Bank of Russia consulted the Ministry of Finance.
  3. In response to a Member who noted that in its conduct of monetary policy the CBR continued to rely unduly on management of the exchange rate and foreign reserves and on depository operations rather than on more standard monetary instruments, such as refinancing and interest rate management, the representative of the Russian Federation said that the CBR used all available monetary instruments and methods apart from those mentioned by some Members. To achieve the monetary policy objectives and to respond more quickly and effectively to any changes in money and credit, including inter-bank interest rates fluctuations, the CBR actively used market instruments, combining operations of medium and long-term sterilisation of temporarily free funds, with operations to provide, when necessary, liquidity to banks which helped the CBR to maintain balanced and relatively stable conditions on the money market. The application of instruments and methods of monetary regulation was based on the combination of regular market-based auctions and operations with standing facilities. Monetary instruments and methods were adjusted depending on the economic situation, in compliance with the legal framework. In accordance with Federal Law No. 86-FZ of 10 July 2002, the principal instruments and methods of the monetary policy of the CBR were the following:

- interest rates on the operations of the CBR;

- ratios of the required reserves deposited with the CBR (the reserve requirements);

- open market operations;

- refinancing of credit institutions;

- currency interventions;

- the issue of bonds on its own behalf; and

- setting targets for money supply growth.
  1. Taking into consideration the predictable situation of liquidity in the banking sector, the CBR was seeking to use an optimum set of instruments for providing and absorbing liquidity and for enhancing their availability to the credit organizations throughout all regions of the Russian Federation. To absorb free banking liquidity, the CBR held regular deposit auctions to attract funds from credit institutions for four weeks and three months. To absorb free funds of credit organizations for a longer period, the CBR held auctions on issuing its own bonds for a term of seven months and six month put options. For the purpose of absorbing excess liquidity, the CBR also used outright sales of government bonds from its portfolio at market yields without an obligation of reverse re-purchase.
  2. In addition to using market instruments to sterilize liquidity, the CBR preserved permanent access windows for credit institutions to place their free funds on deposit with the CBR. The CBR conducted deposit operations on standard terms and conditions at a fixed interest rate through the Reuters Dealing System and MICEX (Moscow Interbank Currency Exchange) System of electronic lot trading (SELT). Interest rate policy of the Bank of Russia was aimed at narrowing the spread of interest rates on its operations in the monetary market. The upper limit of interest rate was being progressively lowered as inflation was slowing down. To reduce the high level of excess banking sector liquidity, the Bank of Russia took steps to control money supply growth by more actively using sterilisation instruments. At times, banks were in need of additional liquidity. Under these circumstances, the CBR provided funds to credit institutions on a market basis through direct repo and Lombard auctions for two weeks. In addition, the CBR extended to banks intra-day overnight settlement loans and Lombard loans at fixed interest rate for seven days, backed by federal government and local government securities, bonds issued by corporate entities, residents of the Russian Federation, mortgage bonds, CBR obligations (OBR) and obligations of international financial organizations. Credit institutions also had the opportunity to receive liquidity through foreign exchange swaps arranged with the CBR. An important monetary policy instrument used by the CBR was currency interventions (foreign exchange outright sales and purchases) in the exchange and over-the-counter segment of the domestic foreign exchange market. To manage their own liquidity, credit institutions actively used averaging of required reserves.
  3. Under the Federal Law No. 86-FZ of 10 July 2002, the CBR was required to annually submit to the State Duma draft "Guidelines for the Common State Monetary Policy for the coming year" no later than 26 August, and the same but approved document, no later than 1 December. He added that pursuant to The Monetary Policy Guidelines for 2010 the ultimate aim of the monetary policy implemented by the CBR was the reduction of inflation. The CBR had developed a monetary programme with the objective to monitor monetary indicators on their compliance with the projected inflation level. The Monetary Policy Guidelines for 2010 could be found on the website of the CBR (www.cbr.ru).
  4. Turning to the question of budgetary policy, the representative of the Russian Federation noted that, by its Order No. 38-R of 19 January 2006, the Government of the Russian Federation adopted the Medium-term Program of Economic and Social Development of the Russian Federation (2006-2008), which established key directions of activities of the Government of the Russian Federation for that period, aimed at ensuring the realization of strategic goals such as the enhancing of well-being of population and the reduction of poverty on the basis of dynamic and sound economic growth and improved competitiveness. According to the aforementioned document, during that period, the Government of the Russian Federation would carry out well-balanced budgetary policy, maintain substantial international reserves, as well as ensure the formation of the Stabilization Fund of the Russian Federation. The document also acknowledged the need for the implementation of measures of conservative budgetary and monetary policy. It was noted that, in the mid-term period reduction of the positive balance of the current accounts of balance of payments was expected.
  5. With regard to the fiscal policy of the Russian Federation, he noted that the main Federal bodies responsible for defining and conducting the fiscal policy of the Russian Federation were the Ministry of Economic Development of the Russian Federation (MED) and the Ministry of Finance of the Russian Federation. The Federal Tax Service was under the jurisdiction of the Ministry of Finance of the Russian Federation. Pursuant to the Resolution of the Government of the Russian Federation No. 506 of 30 September 2004 (as last amended on 15 June 2010), the Federal Tax Service was the federal executive body in charge of overseeing the proper implementation of legislation related to taxes and fees (monitoring of proper calculation, fullness and timeliness of obligatory payments to the relevant budget; of manufacturing and turnover of ethyl alcohol, alcohol and tobacco products; and observance of monetary legislation within the competence of the tax bodies). In its activities, the Federal Tax Service of the Russian Federation was guided by the Constitution of the Russian Federation, Customs Code of the Russian Federation (Federal Law No. 61-FZ of 28 May 2003, as last amended on 28 July 2008), Tax Code of the Russian Federation (as last amended on 30 July 2010), Federal constitutional laws, Federal laws, Acts of the President of the Russian Federation and the Government of the Russian Federation, international agreements of the Russian Federation, normative acts of the Ministry of Finance of the Russian Federation and the Statute of the Federal Tax Service approved by the Resolution of the Government of the Russian Federation No. 506 of 30 September 2004 (as last amended on 15 June 2010).
  6. He added that the current forms of taxation in the Russian Federation were established by the Tax Code of the Russian Federation. That Code distinguished between federal taxes, regional taxes, and local taxes. He noted that Federal taxes comprised: the value-added tax; excise tax; royalty tax for use of natural resources and extraction of minerals; profit tax imposed on legal persons; income tax imposed on natural persons; State duties; fees for the use of fauna objects and objects of water bio resources; and, water use tax. Pursuant to the Tax Code, regional taxes comprised: the property tax imposed on organizations; transport tax; and, gambling tax. Local taxes and fees comprised: the land tax; and, property tax imposed on individuals.
  7. In 2009, the activity of the CBR was aimed mostly at minimizing the negative effect of the world economic crisis on the Russian economy. The crisis had led to the sharp drop of the GDP (7.9 per cent in 2009), considerable devaluation of the national currency and significant capital outflow (US$57 billion in 2009). The CBR managed to suppress the devaluation of the ruble through the large-scale currency interventions and interest rates policy. Stability of the banking sector was supported by the measures aimed at increasing its capitalization and liquidity, as well as readjusting the credit institutions facing financial difficulties. In 2010, as the critical phase of the crisis was coming to the end and the Russian economy was recovering, the use of special anti-crisis measures was being reduced. The reduction of CBR interventions and increase of the ruble exchange rate flexibility were expected to contribute to increasing the role of the interest rate policy of the CBR. Based on the experience gained during the crisis period, the CBR was going to strengthen financial stability including, inter alia, through improving the requirements with respect to risk management of the credit organizations.