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2004年11月WTO对巴西贸易政策审议- WTO秘书处报告(英文)

World Trade

Organization

RESTRICTED

 

WT/TPR/S/140

1 November 2004

 

 

(04-4579)

 

 

Trade Policy Review Body

 

 

 

 

 

 

 

 

TRADE POLICY REVIEW

 

BRAZIL

 

Report by the Secretariat

 

 

 

 

This report, prepared for the fourth Trade Policy Review of Brazil, has been drawn up by the WTO Secretariat on its own responsibility.  The Secretariat has, as required by the Agreement establishing the Trade Policy Review Mechanism (Annex 3 of the Marrakesh Agreement Establishing the World Trade Organization), sought clarification from Brazil on its trade policies and practices.

 

Any technical questions arising from this report may be addressed to Mr. Angelo Silvy tel.:  (022 739 5249), Mr. Diego Iribarren tel.:  (022 739 6392) and Mr. Raymundo Valdés tel.:  (022 739 5346).

 

Document WT/TPR/G/140 contains the policy statement submitted by Brazil

 

 

Note:    This report is subject to restricted circulation and press embargo until the end of the meeting    of the Trade Policy Review Body on Brazil.


CONTENTS

 

                Page

SUMMARY OBSERVATIONS xiii

                (1)                Introduction  xiii

                (2)                Economic Environment                xiii

                (3)                Trade Policy and Investment Regime  xiv

                (4)                Market Access In Goods    xv

                (5)                Other Measures Affecting Trade   xvi

                (6)                Sectoral Policies                xvii

I. Economic environment 1

                (1) Overview 1

                (2) Macroeconomic Developments 1

(i) Economic structure and reform 1

(ii) Production and employment 3

(iii) Fiscal policy 5

(iv) Monetary and exchange rate policy 7

(v) Balance of payments 10

                (3) Trade and Investment Flows 11

(i) Developments in merchandise trade 11

(ii) Trade in services 13

(iii) Foreign direct investment 14

                (4) Outlook 16

II. TRADE AND INVESTMENT POLICY REGIME 17

                (1) Overview 17

                (2) Trade Policy Formulation and Implementation 17

(i) General legal and institutional framework 17

(ii) Trade and investment policy objectives 19

(iii) Trade policy formulation and implementation 20

(iv) Main trade legislation 21

                (3) Foreign Investment Regime 22

                (4) International Relations 25

(i) World Trade Organization 25

(ii) Preferential agreements 27

III. trade policies and practices by measure 37

                (1) Overview 37

                (2) Measures Directly Affecting Imports 38

(i) Customs procedures and documentation 38

(ii) Customs valuation 40

(iii) Rules of origin 41

(iv) Tariffs 43

                Page

(v) Other charges affecting imports 53

(vi) Import prohibitions, restrictions, and licensing 55

(vii) Contingency measures 61

(viii) Technical regulations and standards 67

(ix) Sanitary and phytosanitary measures 72

                (3) Measures Directly Affecting Exports 74

(i) Procedures and documentation 74

(ii) Export taxes and minimum export prices 75

(iii) Export, prohibitions, restrictions and licensing 76

(iv) Export support and related tax concessions 78

(v) Export finance, insurance, and guarantees 81

(vi) Export promotion and marketing assistance 86

                (4) Measures Affecting Production and Trade 87

(i) Legal framework for production and investment 87

(ii) Pricing and competition policy 88

(iii) State-owned enterprises, privatization, and state trading 91

(iv) Incentives and other government assistance 92

(v) Government procurement 100

(vi) Intellectual property rights 103

IV. trade policies by sector 112

                (1) Overview 112

                (2) Agriculture 113

(i) Market developments 113

(ii) Policy objectives and administration 113

(iii) Policy instruments 115

                (3) Forestry 126

(i) Market features 126

(ii) Institutions and regulations 127

                (4) Mining 129

(i) Market features 129

(ii) Institutions and regulations 130

                (5) Manufacturing 131

(i) Market structure 131

(ii) Automotive industry 134

(iii) Aircraft industry 135

(iv) Shipbuilding industry 136

(v) Textiles and clothing 137

                (6) Energy 138

(i) Petroleum and gas 138

                                (ii)                Ethanol                141

                                (iii)                Electricity              142

                (7) Services 145

(i) Introduction 145

(ii) Financial services 147

(iii) Telecommunications 158

(iv) Transport 162

(v) Professional and business services 170

                Page

REFERENCES 175

APPENDIX TABLES 181

 

CHARTS

III. trade policies and practices by measure

 

III.1                Frequency distribution of MFN tariff rates, 2004        45

III.2         Tariff escalation by ISIC 2-digit in industry, 2004        46

IV. trade policies by sector

 

IV.1         Effective tariffs by industries (ISIC 2 digits), 2002                 133

 

TABLES

I. Economic environment

 

I.1            Basic economic indicators, 1999-04   3

I.2            Financial accounts of the Central Government, FY 1999-04   6

I.3            Main monetary indicators, 1999-04   9

I.4            Balance of payments, 1999-04   10

I.5            Trade in services, 2000-03                13

I.6            Foreign direct investment in Brazil by country of origin, 1999-03   14

I.7            Foreign direct investment in Brazil by sector, 2000-03   15

II. TRADE AND INVESTMENT POLICY REGIME

 

II.1          Dispute settlement cases involving Brazil under the Protocol of Brasilia, 2001-03                30

II.2                Framework and free-trade agreements concluded by MERCOSUR, 2004        35

III. trade policies and practices by measure

 

III.1                Summary analysis of Brazil's MFN tariff, January 2004                44

III.2                Estimated tariff revenue concessions foregone through by main users, import rates 2004                50

III.3         CET reductions and tariff quotas, 2003 and 2004                51

III.4         Import prohibition for the protection of animal life and health and human health     56

III.5         Products subject to non-automatic licensing, 2004                57

III.6                Anti-dumping measures in force by country and product, 30 June 2004        64

III.7         Export taxes                       76

III.8         Products subject to prior authorization, 2004        77

III.9                Resources assigned to and used by the PROEX, by modality 82

III.10       Value of the exports covered by the SBCE, 1998-02                85

III.11       Tax exemption/reduction under the SUDAM/ADA    

                and SUDENE/ADENE programmes 1998-02   94

III.12                FINOR/FINAM, Benefits (in lending)                95

III.13       Manaus Free Trade Zone production, 1998-03   98

III.14                Scientific and technological development support funds                99

III.15       Main dedicated intellectual property rights laws and regulations                104

III.16                Overview of IPR protection in Brazil, 2003                107

 

                Page

IV. trade policies by sector

 

IV.1         Main agricultural support measures and programmes                116

IV.2         Rural credit 1994-02                118

IV.3                Agricultural credit programmes administered by the BNDES, early 2004        119

IV.4                PRONAF main indicators, 1995-03   121

 

APPENDIX TABLES

I. Economic environment

 

AI.1                Merchandise exports by groups of products, 1999-03                183

AI.2                Merchandise imports by groups of products, 1999-03                185

AI.3                Merchandise exports by trading partner, 1999-03   187

AI.4                Merchandise imports by trading partner, 1999-03   189

II. TRADE AND INVESTMENT POLICY REGIME

 

AII.1       Status of notification requirements to the WTO, January 2000-May 2004                191

AII.2       Cases in which Brazil appears as a complainant (2000-04)                193

AII.3       Disputes involving complaints against Brazil, 2000-04   195

 


GLOSSARY

Accredited sectoral standardization bodies

Organismos de Normalização Sectorial, ONSs

Additional Airport Tax

Adicional de Tarifa Aeroportuária, ATAERO

Additional Tax for the Renovation of the Merchant Marine

Adicional ao Frete para Renovação da Marinha Mercante, AFRMM

Administrative Council for Economic Defence

Conselho Administrativo de Defesa Econômica, CADE

Agri-business Development Programme

Programa de Desenvolvimento do Agronegócio, PRODEAGRO

Agriculture/Cattle Breeding Technology Development Programme

Programas de Desenvolvimento Tecnológico Agropecuário, PDTA

Airspace Control Department

Departamento de Controle do Espaço Aéreo, DECEA

Amazon Investment Fund

Fundo de Investimento da Amazônia, FINAM

Amazon Region Development Agency

Agência de Desenvolvimento da Amazônia, ADA

Amazon Region Development Authority

Superintendência do Desenvolvimento da Amazônia, SUDAM

Animal Origin Products Inspection Department

Departamento de Inspeção de Produtos de Origem Animal, DIPOA

Annual Report

Relátorio Anual

Alternative Sources of Electric Energy Programme

Programa de Incentivo às Fontes Alternativas de Energia Elétrica, PROINFA

Brazilian Aeronautic Registry

Registro Aeronáutico Brasileiro, RAB

Brazilian Aeronautics Enterprise

Empresa Brasileira de Aeronáutica S.A, EMBRAER

Brazilian Association of Aerospace Industries

Associão Brasileira de Indústrias Espaciais

Brazilian Association of Port Terminals

Associação Brasileira de Terminais Portuários, ABTP

Brazilian Association of Standards

Associação Brasileira de Normas Técnicas, ABNT

Brazilian Coffee Fund

Fundo de Defesa da Economia Cafeeira, FUNCAFE

Brazilian Electricity Regulatory Agency

Agência Nacional de Energia Eléctrica, ANEEL

Brazilian Enterprise for Airport Infrastucture

Empresa Brasileira de Infra-strutura Aeroportuária, INFRAERO

Brazilian Export Credit Insurance Company

Seguradora Brasileira de Crédito à Exportação, SBCE

Brazilian Export Promotion Agency

Agência Brasileira de Promoção de Exportações, APEX

Brazilian Financial System

Sistema Financiero Nacional, SNF

Brazilian Foreign Trade Association

Associação de Comércio Exterior do Brasil, AEB

Brazilian Institute of Geography and Statistics

Instituto Brasileiro de Geografia e Estatística, IBGE

Brazilian Institute of the Environment and Renewable Natural Resources

Instituto Brasileiro do Meio Ambiente e dos Recursos Naturais Renováveis, IBAMA

Brazilian Nuclear Industries

Industrias Nucleares do Brasil S.A.

Brazilian Payments System

Sistema de Pagamentos Brasileiro, SPB

Brazilian Privatization Programme

Programa Nacional de Desestatização, PND

Brazilian Reinsurance Institute,

Instituto de Resseguros do Brasil, IRB BRASIL Re

Brazilian Sanitary Surveillance Agency

Agência Nacional de Vigilância Sanitária, ANVISA

Brazilian Service of Support to Micro Businesses

Serviço Brasileiro de Apoio às Micro e Pequenas Empresas, SEBRAE

Brazilian shipping company

Empresa Brasileira de Navegação, EBN

Brazilian Special Export Programme

Benefícios Fiscais a Programas Especiais de Exportação, BEFIEX

Brazilian System of Standardization

Sistema Brasileiro de Noramlização, SBN

Brazilian System for Protection of Competition

Sistema Brasileiro de Defesa da Concorrência, SBDC

Brazilian Technical Regulation

Regulamentação Técnica Brasileira, RTB

Central Bank of Brazil

Banco Central do Brasil

Central Bank's Electronic Declaratory Registry-Foreign Direct Investment

Registro Declaratório Eletrônico - Investimento Externo Direto, RDE-IED

Central Bank Information System

Sistema de Informação do Banco Central, SISBACEN

Centre for Research and Development in Telecommunications

Centro de Pesquisa e Desenvolvimento em Telecomunicações, CPqD

Chamber of Foreign Trade

Cámara de Comércio Exterior, CAMEX

Civil Aviation Council 

Conselho de Aviação Civil, CONAC

Coffee Policy Deliberative Council

Conselho Deliberativo da Política do Café, CDPC

Committee for the Defence of Economic Order

Comité para a Defesa da Ordem Económica, CDOE

Commodity and Futures Exchange

Bolsa de Mercadorias & Futuros, BM&F

Competition among any interested parties

Concorrência

Competition among parties for projects

Concurso

Competitiveness Promotion Guarantee Fund

Fundo de Garantia para a Promoção da Competitividade, FGPC

Constitutional funds for financing the north-east, the north and the mid-west regions

Fundo Constitucional de Financiamento do Nordeste(FNE), Noroeste (FNO) e Centro-Oeste (FCO).

Contribution for intervention in the economic domain

Contribução de Incidência sobre o Dominio Econômico, CIDE

Cooperative Development Programme for the Enhancement of Agricultural Value Added

Programa de Desenvolvimento Cooperativo para Agregação de Valor à Produção Agropecuária, PRODECOOP

Corporation

Sociedade anônima

Department of Commercial Defence

Departamento de Defesa Comercial,DECOM

Department of Sectoral Policies Management

Departamento de Gestão de Políticas Setoriais, DEGPS

Electric Energy Commercialization Chamber

Câmara de Comercialização de Energia Elétrica, CCEE

Electric Sector Monitoring Committee

Comité de Monitoramento do Setor Elétrico, CMSE

Electric System National Operator

Operador Nacional do Sistema Elétrico, ONS

Electronic Declaratory Registry

Registro Declaratório Eletrônico, RDE

Electronic Quotation System

Sociedade Operadora do Mercado de Ativos, SOMA

Emergency Energy Trading Company

Comercializadora Brasileira de Energia Emergencial, CBEE

Energy Development Account

Conta de Desenvolvimento Energético, CDE

Environmental Tax

Taxa de Controle e Fiscalização Ambiental, TCFA

Exchange rate contract

Contrato de câmbio

Export Guarantee Fund 

Fundo de Garantia à Exportação, FGE

Export Financing Programme

Programa de Financiamento às Exportações, PROEX

Federal Accounting Council (CFC)

Conselho Federal de Contabilidade, CFC

Federal administration procurement that does not require bidding

Dispensa e Inexigibilidade

Federal Government Acquisition Programme

Aquisição do Governo Federal, AGF

Federal Government Loans Programme

Empréstimo do Governo Federa, EGF

Federal Revenue Secretariat

Secretaria de Receita Federal, SRF

Financial Compensation for the Exploitation of Mineral Resources

Compensação Financeira pela Exploração de Recursos Minerais, CFEM

Financial System Organization Department

Departamento de Organização do Sistema Financeiro, DEORF

Financial transactions tax (IOF)

Imposto sobre Operações Financeiras, IOF

Financing of Studies and Projects

Financiadora de Estudos e Projetos, FINEP

FINAME

Financiamento de Máquinas e Equipamentos

Foreign Trade Department

Departamento de Comercio Exterior, DECEX

Fruit Industry Development Programme

Programa de Desenvolvimento da Fruticultura, PRODEFRUTA

General Services System

Sistema Integrado de Administração de Serviços de Administração de Serviços Gerais, SIASG

Incentives Programme for Irrigation and Storage

Programa de Incentivo à Irrigação e Armazenagem, MODERINFRA

Industrial Policy Secretariat

Secretaria de Política Industrial

Industrial Products Tax

Imposto Sobre Produtos Industrializados, IPI

Industrial Technology Development Programme

Programa de Desenvolvimento Tecnológico e Industrial, PDTI

Institute of Industrial Fostering and Coordination

Instituto de Fomento e Coordinação Industrial, IFI

Institute of Independent Auditors of Brazil (IBRACON);

Instituto dos Auditores Independentes do Brasil, IBRACON.

Integrated Foreign Trade System

Sistema Integrado de Comércio Exterior, SISCOMEX

Inter-Ministerial Committee Against Piracy, IMC

Comité Interministerial de Combate contra a Pirateria

Inter-Ministerial Council for Sugar and Alcohol

Conselho Interministerial do Açúcar e do Álcool, CIMA

Interest rates

Juros

Invitation by the Administration

Convite

Inverse Auction

Pregão

Lighthouse fee

Tarifa de Utilização de FaroiS, TUF

List of Convergence for Capital Goods

Lista de Convergência de Bems de Capital, BK

List of Convergence for the Informatics and Telecommunications Sector

Lista de Convergência do Setor de Informática e Telecomunicações, BIT

Milk Production Mechanization and Transportation Incentive Programme

Programa de Incentivo à Mecanização, ao Resfriamento e ao Transporte Granelizado da Produção do Leite, PROLEITE

Mines and Metallurgy Secretariat

Secretaria de Minas e Metalurgia, SMM

Ministerial Act

Portaria

Ministry of Agriculture, Livestock and Food Supply

Ministério da Agricultura, Pecuária e Abastecimiento, MAPA

Ministry of Communications

Ministério de Comunicações

Ministry of Development, Industry and Foreign Trade

Ministério do Desenvolvimento, Indústria e Comércio Exterior, MDIC

Ministry of Environment

Ministério do Meio Ambiente, MMA

Ministry of Finance

Ministério da Fazenda

Ministry of Foreign Affairs

Ministério de Relações Exteriores

Ministry of Justice

Ministério da Justiça

Ministry of Labour and Employment

Ministério de Trabalho e Emprego, MTE

Ministry of Mines and Energy

Ministério de Minas e Energia, MME

Ministry of Planning, Budget and Management

Ministério de Planejamento, Orçamento e Gestão

Ministry of Social Development

Ministério de Desenvolvimento Social MSD

Ministry of Transportation

Ministério dos Transportes

Monetary Policy Committee

Conselho de Política Monetária, COPOM

National Agency for Land Transport

Agência Nacional de Transportes Terrestre, ANTT

National Board of Complementary Pensions

Conselho de Gestão da Previdência Complementar, CGPC

National Confederation of Industry

Confederação Nacional da Industria, CNI

National Congress

Congresso Nacional

National Council of Transport Policy Integration

Conselho Nacional de Integração de Políticas de Transporte, CONIT

National Council of Fiscal Policy

Conselho Nacional de Política Fazendária, CONFAZ

National Council of Metrology, Normalization and Industrial Quality

Conselho Nacional de Metrologia, Normalização e Qualidade Industrial, CONMETRO

National Council of Private Insurance

Conselho Nacional de Seguros Privados, CNSP

National Department of Mining Production

Departamento Nacional de Produção Mineira, DNPM

National Development Bank

Banco Nacional de Desenvolvimento Econômico e Social, BNDES

National Energy Policy Council

Conselho Nacional de Política Energética, CNPE

National Environmental Council

Conselho Nacional do Meio Ambiente, CONAMA

National Environmental System

Sistema Nacional do Meio Ambiente, SISNAMA

National Federation of Insurance Services Providers

Federação Nacional das Empresas de Seguros Privados e de Capitalização,FENASEG

National Food Supply Company

Companhia Nacional de Abastecimento, CONAB

National Forest Plan Coordinating Commission

Comissão Coordenadora do Programa Nacional de Florestas, CONAFLOR

National Forest Programme

Programa Nacional de Florestas, PNF

National Fund for Scientific and Technological Development

Fundo Nacional de Desenvolvimento Científico e Tecnológico, FNDCT

National Health Agency

Agência Nacional de Saúde Suplementar, ANS

National Integrated System

Sistema Integrado Nacional, SIN

National Iron and Steel Company

Companhia Siderúrgia Nácional, CSN

National Institute of Metrology, Normalization and Industrial Quality

Instituto Nacional de Metrologia, Normalização e Qualidade Industrial, INMETRO

National Industrial Property Institute

Instituto Nacional de Propriedade Industrial, INPI

National Monetary Council

Conselho Monetario Nacional, CMN

National Petroleum Agency

Agência Nacional do Petróleo, ANP

National Programme of Agrarian Credit

Programa Nacional de Crédito Fundiário, PNCF

National Registry of Legal Persons

Cadastro Nacional da Pessoa Jurídica, CNPJ

National Social Security Institute

Instituto Nacional do Seguro Social, INSS

National System of Metrology, Normalization and Industrial Quality

Sistema Nacional de Metrologia, Normalização e Qualidade Industrial, SINMETRO

National System of Rural Credit

Sistema Nacional de Crédito Rural, SNCR

National Telecommunications Agency

Agência Nacional de Telecomunicações, ANATEL

National Transportation Infrastructure Department

Departamento Nacional de Infra-Estrutura de Transportes, DNIT

Northeast Investment Fund

Fundo de Investimentos do Nordeste, FINOR

North-East Region Development Agency

Agência de Desenvolvimento do Nordeste, ADENE

Northeast Region Development Authority

Superintendência do Desenvolvimento do Nordeste, SUDENE

Open Sales

Ventas em Balcão

Overnight Inter-bank Loans Interest Rate

SELIC (Sistema Especial de Liquidação e Custodia) Interest Rate

Policy of Guaranteed Minimum Prices 

Política de Garantia de Preços Mínimos, PGPM

Port Authority Council (CAP)

Conselho de Autoridade Portuária, CAP

Premium for Product Outflow

Premio para Escoamento de Produto, PEP

Private Insurance Superintendence

Superintendência de Seguros Privados, SUSEP

Programme for the Modernization of Agriculture and the Conservation of Natural Resources

Programa de Modernização da Agricultura e Conservação de Recursos Naturais, MODERAGRO

Programme of Commercial and Recovery Forest Planting

Programa de Plantio Comercial e Recuperação de Florestas, PROPFLORA

Programme of Incentives for the Reduction of the State Role in Banking Activity

Programa de Incentivo à Redução do Setor Público Estadual na Atividade Bancária,PROES

Programme of Transfers to Poor Families

Bolsa Familia

Programme to Strengthen Household Agriculture

Programa Nacional de Fortalecimento da Agricultura Familiar, PRONAF

Provisional Measure

Medida Provisoria

Provisional Contribution on the Operation or Conveyance of Funds, Credits and Rights of a Financial Nature

Contribuição Provisória sobre Movimentação ou Transmissão de Valores e de Créditos e Direitos de Natureza Financeira, CPMF

Public auctions for specific goods

Leilão

Public Federal Administration

Administração Pública Federal

Regional Accounting Councils

Conselhos Regionás de Contabilidade, CRCs

Register of Exporters and Importers

Registro de Exportadores e Importadore, REI

Register of Sale

Registro de Venda

Reversal Global Reserve

Reserva Geral de Reversão, RGR

Rural Employment and Revenue Generation Programme

Programa de Geração de Emprego e Renda da Área Rural, PROGER Rural

Rural Insurance Programme

Progama Nacional de Garantia da Atividade Agropecuária, PROAGRO

Rural Insurance Stability Fund

Fundo de Estabilidade do Seguro Rural, FESR

Rural Product Certificate

Cédula de Produto Rural, CPR

Rural Promissory Note

Nota Promissória Rural, NPR

São Paulo Stock Exchange

Bolsa de Valores de São Paulo, BOVESPA

Secretariat for Economic Monitoring

Secretaria de Acompanhamento Econômico, SEAE

Secretariat of Agricultural Policy

Secretaria de Política Agrícola, SPA

Secretariat of Agricultural Protection

Secretaria de Defesa Agropecuária, SDA

Secretariat of Foreign Trade

Secretaria de Comércio Exterior, SECEX

Securities Central Custody and Financial Liquidation Registry.

Câmara de Custódia e Liquidação, CETIP

Securities Exchange Commission

Comissão de Valores Mobiliários, CVM

Services and Merchandise Circulation Tax

Imposto sobre Circulação de Mercadorias e Prestação de Serviços, ICMS

Shipbuilding Industry National Union

Sindicato Nacional da Indústria da Construção Naval

Small-scale mining activities

Garimpos

Social Security Contribution on Payroll

Contribuição para a Seguridade Social sobre a folha de pagamentos e salários, CINSS

Special Brazilian Registry

Registro Especial Brasileiro, REB

Special Credit Programme for Agrarian Reform

Programa de Crédito Especial para a Reforma Agrária, PROCERA

Special Regime for the Exportation and Importation of Goods Destined to the Exploration of Petroleum and Natural Gas

Regime Aduaneiro Especial de Exportação e de Importação de Bens Destinados às Atividades de Pesquisa e de Lavra das Jazidas dePetróleo e de Gás Natural, REPETRO

State Institutes for Weights and Measurements

Institutos de Pesos e Medidas, IPEMs

State Secretariat for Pension Funds

Secretaria de Previdência Complementar, SPC

Statement of Principles

Presentação de Motivos

Structure and Tariff Values

Estrutura e Valores Tarifários

Suppliers Declaration

Declaração do Fornecedor

System for Pre-registration of Suppliers

Sistema de Cadastramento Unificado de Fornecedores, SICAF

System of Industrial Depots subject to Standardized Control

Regime Aduaneiro de Entreposto Industrial sob Controle Informatizado, RECOF

Telecommunications Technology Development Fund

Fundopara o Desenvolvimento Tecnológico das Telecomunicações, FUNTTEL

Temporary reduction in import duties of capital, and informatics and telecommunications goods

Ex Tarifário

Tractor Fleet Modernization Incentives Programme

Programa de Modernização da Frota de Tratores Agrícolas e Implementos Associados e Colheitadeiras, MODERFROTA

Universal Telecommunication Services Fund 

Fundo de Universalização dos Serviços de Telecomunicações, FUST

Waterways Transport National Agency

Agência Nacional de Transports Aquaviários, ANTAQ

Workers Support Fund

Fundo de Amparo ao Trabalhador, FAT


SUMMARY OBSERVATIONS

(1)               Introduction

1.                  Since its last Review in 2000, Brazil has continued to liberalize, and enhance the transparency of, its trade regime.  Thus, the average applied MFN tariff has decreased to 10.4%, and licensing requirements have been considerably reduced.  These efforts have paid-off in the form of a more flexible economy, as evidenced by the resilience shown to a series of shocks during the period under review.  Trade has come to play an increasingly important role, and has been key in Brazil's rapid recovery from an economic recession in 2003.  Nevertheless, further steps appear to be required to accelerate and ensure the sustainability of growth, as Brazil still faces the long-term challenge of increasing its GDP per capita, which in real terms stagnated between 1999 and 2003.

2.                  Some barriers to market access persist in a few areas.  Tariffs hinder the access of domestic consumers and producers to some of the world's most competitive products, which Brazil has tried to offset through a range of tariff concessions.  Anti-dumping measures are used actively to protect domestic producers against imports deemed unfair.  Support, largely in the form of credit or credit facilitation, is granted to selected activities.  Also often taking the form of credit, export support programmes are another feature of Brazil's trade policy regime.  Targeted support risks distorting resource allocation and may burden taxpayers.  To the extent that such support is linked to the high domestic cost of capital, it would be important to take additional steps to lower the costs of financial intermediation.

3.                  Brazil has been an active participant in the WTO since the conclusion of the Uruguay Round, although it has not ratified the Fourth and Fifth Protocol to the GATS nor has it participated in the Information Technology Agreement negotiations.  Enhancing multilateral commitments would increase the predictability of its trade regime and make Brazil an even more attractive investment destination.  This could include narrowing the gap between applied and bound tariff rates, and expanding the scope of its GATS commitments.  An ambitious agenda in this respect would not only benefit Brazil but also help bring about a successful conclusion to the Doha Development Agenda, which Brazil has been instrumental in moving forward and in which it has a major stake in view of the increasingly global reach of its trade interests.

(2)               Economic Environment

4.                  Economic growth has been modest during the period under review, reflecting a number of factors, including adverse international events and domestic difficulties.  Low GDP growth in 2001 was partly in response to energy supply shortages, while slow growth in 2002 reflected mainly weak domestic demand, particularly consumer spending.  In the second half of 2002 and the first quarter of 2003, growth was affected by capital outflows.  Growth resumed thereafter and is expected to exceed 3% in 2004, supported by exports and a strengthening of domestic demand. 

5.                  The Government's economic policy priority is to achieve a sustainable fiscal position.  To maintain fiscal discipline, fiscal targets are set;  these were fixed at 4.25% of GDP for the primary surplus of the non-financial consolidated public sector for both 2003 and 2004.  However, the surplus has not been sufficient to cover the increasing debt-interest payments, resulting in an overall non-financial consolidated public sector deficit of 5.2% of GDP.  Overall debt servicing amounts to over two thirds of the budget. 

6.                  The public debt to GDP ratio increased to 56% in mid 2004, from some 49% in 2000.  This has constrained policy choices.  It has also contributed to continued high interest rates, generated risk expectations, and made Brazil vulnerable to an increase in international interest rates.  The Brazilian authorities recognize the importance of redressing fiscal finances and reducing the debt burden to foster investment and resume self-sustained growth. 

7.                  Brazil has continued to seek low inflation, using inflation targeting as its main monetary policy instrument.  Although inflation targets have not always been met, this policy has resulted in lower inflation rates.

8.                  Brazilian exports performed strongly during the period under review, increasing by over 50% in U.S. dollar terms between 1999 and 2003.  This gain has been widely spread but has been more significant with non-traditional trading partners, such as China.  Reflecting a period of weak economic growth, imports of merchandise declined, although growth resumed in the last quarter of 2003.  The share of trade of goods and services in GDP rose to 30% in 2003, confirming Brazil's increasing integration into the world economy. 

9.                  Since 2001, a trade surplus has been posted, which almost doubled in 2003.  The bilateral trade balance with all the major trading partners improved, posting a surplus with most.  The improvement in the trade balance led to a turnaround in the current account, which, after deficits of 4% of GDP or higher during 1999-01, moved to a surplus in 2003 and the first quarter of 2004. 

10.              After showing strong results in the late 1990s, FDI flows into Brazil declined over the period under review.  This reflects a number of factors, including reduced investor confidence, an unstable global economic environment, the deceleration of the privatization process, and the relatively weak performance of the Brazilian economy.  Investment in services has been the most important in value terms, much of it linked to privatization in telecommunications and financial services.  Investment in the industrial area was focused mainly in the automotive and chemical industries.

(3)               Trade Policy and Investment             Regime

11.              Brazil sees the active use of trade policy as a means to foster sustainable economic growth and to reduce its vulnerability with respect to global financial markets.  Regional economic integration and export promotion and diversification are considered important policy targets.  With respect to the latter, Brazil considers it essential to obtain enhanced market access for its agricultural products through multilateral and regional negotiations, while seeking to maintain instruments to foster development in its manufacturing sector.  Brazil also considers it vital to improve its external balance, through competitive (market-based) import substitution and export growth. 

12.              Brazil is an original Member of the WTO, and one of its most active participants.  It supports the strengthening of special and differential treatment for developing countries.  It has maintained a rigorous programme of notifications to the WTO, although notifications in some areas, such as agriculture and state trading enterprises are lagging.  Brazil is an active user of the WTO dispute settlement mechanism, having participated in 23 disputes as a complainant and 12 as a defendant since the creation of the WTO.

13.              Brazil participated in the WTO Negotiations on Financial Services and in the Negotiations on Basic Telecommunications.  However, it has not ratified the Fourth Protocol on Basic Telecommunications services nor the Fifth Protocol on Financial Services.  In this respect, Brazil informed the Council on Trade in Services that the Fourth Protocol had to be withdrawn from Congress.  Subsequently, it submitted a new draft schedule to WTO Members, to which some Members objected, and, as a result, Brazil withdrew it.  Ratification of the Fifth Protocol is linked to the adoption of insurance legislation by Congress.

14.              Brazil considers preferential agreements as a complement to the multilateral trading system.  Brazil is a participant in the Southern Common Market (MERCOSUR) and, through this participation, has concluded preferential trade agreements with Bolivia, Chile, and Peru (which are also associate members of the Common Market), and preferential agreements with the three other countries of the Andean Community.  MERCOSUR has also concluded framework agreements with India, Mexico and South Africa, is negotiating a preferential trade agreement with the European Union, and participates in the Free Trade Area of the Americas initiative.  Brazil also has a number of bilateral preferential agreements with other LAIA members. 

15.              Brazil's investment regime is largely open to foreign investors and there are generally no restrictions for the remission of profits and the repatriation of capital that has been duly registered with the Central Bank.  However, a number of market access and investment limitations for foreigners remain in areas such as mining, financial services and transport.  The Federal Government does not grant special incentives to foreign investment.  Although Brazil has signed bilateral investment agreements with several countries, including within MERCOSUR, the Brazilian Executive decided to withdraw all of these from the consideration of the Congress.

(4)               Market Access in Goods

16.              Since its last Review, Brazil has continued to enhance the transparency and reduce the complexity of its trade regime, including by streamlining its import procedures and consolidating regulations.  The main customs procedures have been codified under a single Decree and the principle import measures have been grouped in a single Ministerial Act.  The average time for customs clearances seems to have fallen significantly. 

17.              Brazil applies the WTO Customs Valuation Agreement;  customs value is generally the transaction value, which is applied in over 99% of cases. 

18.              The tariff continues to be Brazil's main trade policy instrument.  Brazil applies MERCOSUR's Common External Tariff (CET), with a number of exceptions.  The average applied MFN tariff decreased from 13.7% in 2000 to 10.4% in 2004, reflecting to a large extent the stepped elimination of the general tariff increase adopted in 1997.  Brazilian tariffs on agricultural goods are on average lower (10.2%) than on non-agricultural products (10.5%).  Tariff dispersion is relatively low, but the tariff shows signs of escalation in most industries.  Brazil has bound its entire tariff, mostly at ceiling levels. 

19.              Brazil has in place a number of temporary tariff-concession schemes, mainly to reduce the cost of imported capital goods or goods not produced in the MERCOSUR area.  Tariff concessions are also granted through a number of customs regimes, which allow for the temporary importation or the warehousing of imports without prior payment of customs duties.  A similarity test to determine if comparable goods are produced domestically may be applied on imports on which tax, including tariff, exemptions or reductions are granted.

20.              A value-added tax (ICMS) is applied by states at rates that in a limited number of cases may discriminate against imported or domestic products.  In 2002, Rio de Janeiro State imposed an ICMS of 18% on the temporary admission or importation of machinery and other items used in the extraction of petroleum and natural gas.

21.              Prior to 2003, all goods imported into Brazil were subject to an import licensing requirement.  These requirements were modified in that year and, as a general rule, Brazilian imports are now exempt from import licensing.  However, some 35.8% of all CET tariff lines (eight-digit level) are at least partly subject to non-automatic licensing. 

22.              Brazil remains an active user of anti-dumping measures, notwithstanding the fall in the number of investigations initiated since 2000.  As at 30 June 2004, 48 anti-dumping measures were in force, compared with 46 in December 1999.  In the period 1 January 2000 to 30 June 2004, Brazil initiated 43 anti-dumping investigations.  During the same period, Brazil imposed definitive anti-dumping in 26 new cases.  Most of the duties fell on steel products, chemicals, and cement. 

23.              The six countervailing measures in place in 2000 had been eliminated by late 2003, and no new countervailing measures have been imposed.  Since the establishment of the WTO, Brazil has conducted two safeguard investigations, and applied measures on both occasions, affecting coconuts and toys;  both measures are still in place. 

24.              A number of agencies issue technical regulations, both at the federal and at the state level.  At the federal level, authority to issue technical regulations lies with the particular ministry with competence in the specific area to be regulated.  There is no general rule for preparing a technical regulation;  each body has its own internal procedures in this respect.  Technical regulations take the form of laws, decrees or resolutions, as appropriate, and are published in the Official Journal. 

(5)               Other Measures Affecting             Trade

25.              Since the last Review, export procedures have been codified in a single Ministerial Act but  no major modifications have been made.  Exports of certain types of wood are prohibited, suspended or subject to quotas.  Exports of a range of products are subject to licensing;  they wholly or partly represent some 10.7% of all tariff headings at the eight-digit level.

26.              Export taxes are applied to cashew nuts, leathers and skins, and certain products exported to some countries in Latin America and the Caribbean.  Export taxes are zero-rated on all other exports, although the law allows for the application of an export tax of 30%, which can be increased to up to 150%. 

27.              Export promotion remains a key element of Brazil's trade policy, which may well be needed to offset domestic inefficiencies such as expensive financial intermediation and, according to the authorities, to match the incentives provided by other countries.  The Export Financing Programme (PROEX), one of the main tools for export promotion, can be used for exports of goods, services, software and cinematographic works.  The amount to be financed depends on the percentage of domestic content.  The PROEX equalization modality as used for aircraft was challenged in the WTO and Brazil modified it twice during the period under review as a result of DSB recommendations.

28.              The BNDES-EXIM programme also provides export credits for most of Brazil's export products, subject to a domestic-content requirement, in value terms, of at least 60%.  The Export Credit Insurance (SCE) scheme guarantees and covers losses incurred by exporters from non-receipt of foreign payments for their exports.  The Brazilian Export Programme (BEFIEX) was discontinued in 2002.

29.              Brazil maintains an array of incentives and assistance schemes both at the federal and state levels to promote regional development, research or certain sectors.  There are also some general support schemes, such as Automatic BNDES and the FINAME, which are contingent upon domestic-content and/or local-ownership requirements.

30.              Privatization was pursued actively until 2002.  The major privatization operations during the 2000-02 period affected petroleum and mining companies, and financial institutions.  Efforts have continued to apply competition policy legislation more extensively, make more assertive use of competition policy, and to bring increasingly important cases under the law. 

31.              Brazil is not a party to the WTO Plurilateral Agreement on Government Procurement.  Although, in general, national treatment is afforded to foreign suppliers legally established or represented in Brazil, domestic law grants preferential treatment to telecommunications and informatics products developed within Brazil.  While fostering the development of the targeted industries, procurement preferences might increase the cost of government services. 

32.              Since 2000, Brazil has revised or adopted new laws and regulations on intellectual property rights, in areas such as copyright, patents, compulsory licensing, information disclosure and trade mark legislation.

(6)               Sectoral Policies

33.              Since its last Review in 2000, Brazil has continued to promote greater competition and efficiency within sectors, notably in services;  although the State remains involved in production activities in some sectors, the extent of this involvement has continued to diminish since 2000.  At the same time, Brazil has maintained a tariff structure that protects a number of manufacturing activities while implicitly taxing agriculture and mining. 

34.              Assistance to agriculture appears modest and, like in earlier years, mainly takes the form of minimum-price supports and rural credit at preferential rates.  These are complemented by marketing schemes, and market-oriented price and stabilization mechanisms.  Most rural credit is provided by private sources, but the Government intervenes by setting minimum credit requirements for banks, as well as regulating interest rates, or by assuming risk coverage.  As a large exporter of agricultural products, Brazil has much to gain from the reduction of distortions in world markets and, thus, has over the years been engaged actively in WTO negotiations, calling for the reduction of all trade-distorting domestic support measures on a product-specific basis.

35.              Although falling, state participation remains significant in the hydrocarbons industry, where certain policies are in place to favour domestic suppliers.  The alcohol fuel industry has been largely liberalized although alcohol-fuel stocks are financed by the Government for energy security reasons.  A crisis in the electricity sector during the second half of 2001 led to major policy changes to ensure the supply of electricity, and promote affordable tariffs and universal service programmes.

36.              The manufacturing sector is highly diversified and has been one of the most dynamic areas of the economy.  However, while some industries have become world-class producers, others have sought contingency protection against import competition.  Protection through higher-than-average tariffs is provided to activities such as beverages, transport equipment, clothing and footwear.  As in the past, specific support programmes, particularly financing, have benefited the automobile, shipbuilding, and aircraft industries.  Brazil's industrial policy now emphasizes expanding the volume of exports, particularly by small and medium-size enterprises. 

37.              Brazil has continued to liberalize its services sector in recent years, which in turn has promoted efficiency gains.  Liberalization has been particularly noticeable in telecommunications, financial services, and port and airport services.  The State is still an important supplier of banking and insurance services, but private participation, including foreign, has increased in these and other areas.  Moreover, the State may establish limits to foreign investment in telecommunications and financial services.

38.              Foreign-ownership restrictions remain in air transport services, and cabotage restrictions apply to both maritime and air transport.  Brazil applies a tax on freight with different rates for domestic or international cargoes.  A lighthouse fee is applied only to foreign flagged vessels.

39.              Consolidation of the changes that followed the privatization of the state-owned system in 1998 has continued in the telecommunications sector.  As a result, competition in long-distance and mobile telephony is deemed to have emerged, but not in local fixed telephony.  Brazil has no specific GATS commitments on telecommunications.

40.              Brazil has sought to enhance the effectiveness of supervision in financial services.  However, the cost of credit remains very high.  This represents a major hindrance to the development of other sectors and explains many instances of targeted assistance in Brazil.  In this respect, continuing to take steps to remove distortions and promote greater competition and efficiency in the financial sector would thus be important to reduce the need for state intervention, and promote greater policy neutrality across sectors.


 

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