WTO框架下中国的补贴法律问题研究
摘要
反补贴措施是WTO允许其成员在特定条件下采取的三种主要贸易救济措施之一。相对于反倾销和保障措施而言,反补贴事实上是对一国政府行为的审查,在政治上更加敏感,加之反补贴调查的计算方法也还不成熟,所以各国反补贴措施的采取相对来说还是比较谨慎的。近年来,反补贴案件的数量也一直保持在一个较低的水平。反补贴措施对非市场经济国家曾有不适用的先例,这也为各国的实践所遵循。我国在入世时对补贴问题作出了接受非市场经济待遇的承诺,因此,补贴领域并未受到国人较多的关注。然而,随着入世后我国对外贸易的快速发展和市场开放的持续推进,我国已进入了贸易摩擦多发期。2004年,加拿大边境服务署分别对原产于中国的烧烤架、碳钢和不锈钢紧固件、以及复合地板进行了反补贴立案调查,拉开了国外对华进行反补贴调查的序幕。
本文以补贴的法律规则为基点,结合相关国家的实践,采用了历史分析的方法、法学分析的方法、比较研究的方法以及实证分析的方法对WTO框架下中国的补贴法律问题进行研究。通过具体分析WTO框架下有关补贴的基本问题以及WTO成员对非市场经济国家适用反补贴法的趋势,结合我国的有关补贴政策和我国遭受加拿大反补贴案的实践,指出反补贴措施很可能成为中国未来遭受到的另一个不容忽视的贸易限制措施,并从我国补贴制度的完善和对反补贴调查的应诉准备两方面探讨应对反补贴挑战的措施,希望能从理论和实践两方面提出一点建设性的建议。
全文共分四章,约4万字,主要内容如下:
Countervailing measure is one of the three main trade remedy measures of WTO, which can be taken by WTO members under certain conditions. Compared with anti-dumping measure and safeguard measure, countervailing measure relates to the activities of governments, so it is more sensitive in political term. Moreover, WTO members cautiously take countervailing measures because the methodology of calculation on subsidy is not perfect. As a result, countervailing cases are on a low level in recent years. There has been a precedent that the countervailing regulations do not apply to non-market economy country, which has been mostly followed in practice. As to the subsidy issues, China has accepted to be treated as a non-market economy country when it entered WTO so that studies on subsidy are relatively inefficient in China. However, with the fast development of Chinese foreign trade and investment, some of the major developed countries are going to initiate countervailing measures to protect their domestic industry and home market against China. In a certain long period from now on, Chinese companies will face more complicated international trade and investment climate. In 2004, Canada Border Services Agency (CBSA) initiated three separate countervailing investigations on Outdoor Barbeques, Carbon Steel and Stainless Steel Fasteners, as well as laminate flooring from China, which triggered the countervailing remedy measure against Chinese exports in the world.Based on SCM and practices in other countries, this thesis studies on legal issues
of subsidy in China under WTO legal system, in which the author introduces many methods such as the method of historic analysis, of legal analysis, of comparative study and of pragmatic analysis. Based on the detailed analysis of the basic legal issues on subsidy under WTO and the trend that WTO member will apply countervailing measures to non-market country, as well as China' s related subsidies and the above three countervailing cases initiated by Canada, this thesis points out that countervailing measure will be another trade remedy measure to China in the near future. Furthermore, this thesis raised some suggestions on how to improve our subsidy system and how to deal with the possible countervailing investigationsagainst China' s exports.The whole thesis contains four chapters, roughly 40,000 words.Chapter 1, on the basis of analyzing the evolution and two sides' functions of the subsidy in international trade, mainly introduces the basic legal issues on subsidy under WTO system. This chapter focuses on basic legal issues on subsidy including the definition and classifications of subsidy under SCM, which is the footstone and the start of studying the whole SCM.Chapter 2 briefly introduces how USA, EU and Canada - some of the major developed countries conducted countervailing regulations and practice. Especially, it introduces and analyses the practice and trend as to how these countries deal with the subsidies of non-market country.Chapter 3 is the core chapter of this thesis. It discusses the current subsidy situation in China, and analyses some typical practices at present. With China's transition from a non-market economy to a market economy, some of the developed countries begun to adjust their attitude to this issue. They started to apply countervailing measures to some market oriented industries in China. Meanwhile, this chapter introduces and studies the three countervailing cases against China, which are initiated by Canada.Chapter 5 brings forward some specific suggestions on how to improve subsidy system in China to prevent other WTO member using countervailing measures against China, and how to make preparation for dealing with those actions with the aim to reduce the possible damage to the minimum level.
本文以补贴的法律规则为基点,结合相关国家的实践,采用了历史分析的方法、法学分析的方法、比较研究的方法以及实证分析的方法对WTO框架下中国的补贴法律问题进行研究。通过具体分析WTO框架下有关补贴的基本问题以及WTO成员对非市场经济国家适用反补贴法的趋势,结合我国的有关补贴政策和我国遭受加拿大反补贴案的实践,指出反补贴措施很可能成为中国未来遭受到的另一个不容忽视的贸易限制措施,并从我国补贴制度的完善和对反补贴调查的应诉准备两方面探讨应对反补贴挑战的措施,希望能从理论和实践两方面提出一点建设性的建议。
全文共分四章,约4万字,主要内容如下:
Countervailing measure is one of the three main trade remedy measures of WTO, which can be taken by WTO members under certain conditions. Compared with anti-dumping measure and safeguard measure, countervailing measure relates to the activities of governments, so it is more sensitive in political term. Moreover, WTO members cautiously take countervailing measures because the methodology of calculation on subsidy is not perfect. As a result, countervailing cases are on a low level in recent years. There has been a precedent that the countervailing regulations do not apply to non-market economy country, which has been mostly followed in practice. As to the subsidy issues, China has accepted to be treated as a non-market economy country when it entered WTO so that studies on subsidy are relatively inefficient in China. However, with the fast development of Chinese foreign trade and investment, some of the major developed countries are going to initiate countervailing measures to protect their domestic industry and home market against China. In a certain long period from now on, Chinese companies will face more complicated international trade and investment climate. In 2004, Canada Border Services Agency (CBSA) initiated three separate countervailing investigations on Outdoor Barbeques, Carbon Steel and Stainless Steel Fasteners, as well as laminate flooring from China, which triggered the countervailing remedy measure against Chinese exports in the world.Based on SCM and practices in other countries, this thesis studies on legal issues
of subsidy in China under WTO legal system, in which the author introduces many methods such as the method of historic analysis, of legal analysis, of comparative study and of pragmatic analysis. Based on the detailed analysis of the basic legal issues on subsidy under WTO and the trend that WTO member will apply countervailing measures to non-market country, as well as China' s related subsidies and the above three countervailing cases initiated by Canada, this thesis points out that countervailing measure will be another trade remedy measure to China in the near future. Furthermore, this thesis raised some suggestions on how to improve our subsidy system and how to deal with the possible countervailing investigationsagainst China' s exports.The whole thesis contains four chapters, roughly 40,000 words.Chapter 1, on the basis of analyzing the evolution and two sides' functions of the subsidy in international trade, mainly introduces the basic legal issues on subsidy under WTO system. This chapter focuses on basic legal issues on subsidy including the definition and classifications of subsidy under SCM, which is the footstone and the start of studying the whole SCM.Chapter 2 briefly introduces how USA, EU and Canada - some of the major developed countries conducted countervailing regulations and practice. Especially, it introduces and analyses the practice and trend as to how these countries deal with the subsidies of non-market country.Chapter 3 is the core chapter of this thesis. It discusses the current subsidy situation in China, and analyses some typical practices at present. With China's transition from a non-market economy to a market economy, some of the developed countries begun to adjust their attitude to this issue. They started to apply countervailing measures to some market oriented industries in China. Meanwhile, this chapter introduces and studies the three countervailing cases against China, which are initiated by Canada.Chapter 5 brings forward some specific suggestions on how to improve subsidy system in China to prevent other WTO member using countervailing measures against China, and how to make preparation for dealing with those actions with the aim to reduce the possible damage to the minimum level.
引文
1.叶全良、王世春主编:《国际商务与反补贴》,人民出版社2005年版。
2.朱榄叶编著:《世界贸易组织国际贸易纠纷案件评析1995—2002下册》,法律出版社2004年版。
3.曹建明、贺小勇著:《世界贸易组织》,法律出版社2004年版。
4.张丽英著:《国际贸易法专题研究》,法律出版社2004年版。
5.王贵国著:《国际贸易法》,北京大学出版社2004年版。
6.王传丽著:《国际贸易法》,法律出版社2004年版。
7.刘敬东著:《中国入世议定书解读—兼评世界贸易组织法律制度》,中国人民公安大学出版社2004版。
8.张汉林译著:《反倾销反补贴规则手册》,中国对外经济贸易出版社2003年版。
9.段爱群著:《论WTO中的财政补贴与我国的战略取向》,中国财政经济出版社2003年版。
10.宁宣凤、肖瑾、丁亮:《典型的国内支持是否构成补贴》,载商务部产业损害调查局2003年“反补贴法律和实务研讨会”论文集。
11.王琴华主编:《补贴与反补贴问题研究》,中国经济出版社2002年版。
12.对外贸易经济合作部进出口公平贸易局编著:《国外对中国产品反倾销、反补贴、保障措施案例集(美国卷)》,中国对外经济贸易出版社2002年版。
13.刑厚嫒主编:《中国加入WTO法律文件解读》,人民日报出版社2002年版。
14.朱榄叶著:《“出口补贴”析——从世界贸易组织DSB处理的纠纷分析<补贴与反补贴措施协定>对出口补贴的规定》,《国际经济法论从(第5卷)》,法律出版社2002年版。
15.马楚著:《WTO补贴与反补贴规则》,广东人民出版社2001年版。
16.约翰·H·杰克逊[美]著,张乃根译:《世界贸易体制——国际经济关系的法律与政策》,复旦大学出版社2001年版。
17.王新奎、刘光溪主编:《WTO与反倾销、反补贴争端》,上海人民出版社2001年版。
18.韩立余编著:《WTO(2000)案例及评析》,中国人民大学出版社2001年版。
19.高永富、张玉卿主编:《国际反倾销法实用大全》,立信会计出版社2001年版。
20.曹建明、陈治东主编:《国际经济法专论(第三卷)》,法律出版社2000年版。
21.朱榄叶编著:《世界贸易组织国际贸易纠纷案例评析》,法律出版社2000年版。
22.韩立余著:《美国外贸法》,法律出版社1999年版。
23.李怀政:《我国三大贸易伙伴对华实施贸易救济的比较与思考》,《国际贸易问题》2004年第4期。
24.朱颖:《论“非市场经济国家”在WTO中的地位》,《上海师范大学学报(哲学社会科学版)》2004年第2期。
25.董瑾、周芙蓉:《“补贴与反补贴”问题与“公平贸易”分析》,《北京理工大学学报(社会科学版)》2004年第1期。
26.杨仕辉、游春林、吴哲:《反补贴的国际比较及我国对策研究》,《长沙电力学院学报(社会科学版)》2003年第2期。
27.宋新伟:《WTO<补贴与反补贴措施协议>评析及中国对策》,《天中学刊》2003年第2期。
28.蓝海涛:《呈随机波动状——世贸组织成员补贴与反补贴案件的特点》,《国际贸易》2003年第10期。
29.李本:《WTO<补贴与反补贴协定>对内国经济法的约束与影响》,《当代法学》2003年第6期。
30.蒋小红:《欧共体反补贴立法与实践》,《法学评论(双月刊)》2003年第1期。
31.张春莉:《“非市场经济”对我国的影响及对策》,《南京社会科学》2003年第5期。
32.张初霞、李志强:《直面反补贴——关于入世后我国反补贴问题的思考》,《首都经济贸易大学学报》2003年第1期。
33.李学稳:《论“入世”对我国补贴制度的影响》,《现代财经》2002年第11期。
34.杨平:《加入WTO与国企改革》,《岭南学刊》2002年第1期。
35.李景峰:《WTO背景下出口补贴政策分析》,《对外经贸实务》2002年第2期。
36.王贵国:《世界贸易组织的反补贴机制》,《法学家》2002年第6期。
37.邓兰兰:《加入WTO后的出口鼓励政策探析》,《广东职业技术师范学院学报》 2001年第2期。
38.符望:《企业改革与反补贴》,《上海对外贸易学院学报》2001年第1期。
39.陈芳玲:《中国反补贴应对措施小议》,《萍乡高等专科学校学报》2001年第3期。
40.徐民:《WTO补贴规则与我国的优惠政策》,《海南大学学报社会科学版》1998年第3期。
1. Karen Halverson: China's WTO Accession: Economic, Legal, and Political Implications, Boston College International and Comparative Law Review, Spring, 2004.
2. Kyle Bagwell, Petros C. Mavroidis, and Robert W. Staiger, Edited by Jose E. Alvarez: The Boundaries of the WTO: It's a Question of Market Access, The American Journal International Law, January, 2002.
3. Mark Clough: Subsidies and the WTO Jurisprudence, International Trade Law & Regulation, 2002.
4. Julie Dunne: Delverde and the WTO's British Steel Decision Foreshadow More Conflict Where the WTO Subsidies Agreement, Privatization, and United States Countervailing Duty Law Intersect, The American University International Law Review, 2001.
5. Terence P. Stewart, Amy S. Dwyer: WTO Antidumping and Subsidy Agreements, Kluwer Law International, 1998.
6. Robert H. Lantz: The Search for Consistency." Treatment of Nonmarket Economies in Transition under United States Antidumping and Countervailing Duty Laws, The American University Journal Of International Law & Policy, Spring, 1995.
7. William Lay: Redefining Actionable "Subsidies" under U. S. Countervailing Duty Law, Columbia Law Review, October, 1991.
8. Monroe Leigh: Countervailing Duties — Applicability of U. S. Countervailing Duty Law to State-Controlled U. S. Countervailing Duty Law to State-Controlled Economies, The American Journal International Law, January, 1987.
1.世界贸易组织网站:www.wto.org
2.美国政府印刷所网站:www.gpoaccess.gov
3.欧盟网站:europa.eu.int
4.加拿大边境服务署网站:www.cbsa-asfc.gc.ca
5.中华人民共和国商务部网站:www.mofcom.gov.cn
6.上海WTO事务咨询中心网站:www.sccwto.net
7.中国贸易救济信息网:www.cacs.gov.cn
8.WTO与法治论坛网:http://www.wtolaw.gov.cn
2.朱榄叶编著:《世界贸易组织国际贸易纠纷案件评析1995—2002下册》,法律出版社2004年版。
3.曹建明、贺小勇著:《世界贸易组织》,法律出版社2004年版。
4.张丽英著:《国际贸易法专题研究》,法律出版社2004年版。
5.王贵国著:《国际贸易法》,北京大学出版社2004年版。
6.王传丽著:《国际贸易法》,法律出版社2004年版。
7.刘敬东著:《中国入世议定书解读—兼评世界贸易组织法律制度》,中国人民公安大学出版社2004版。
8.张汉林译著:《反倾销反补贴规则手册》,中国对外经济贸易出版社2003年版。
9.段爱群著:《论WTO中的财政补贴与我国的战略取向》,中国财政经济出版社2003年版。
10.宁宣凤、肖瑾、丁亮:《典型的国内支持是否构成补贴》,载商务部产业损害调查局2003年“反补贴法律和实务研讨会”论文集。
11.王琴华主编:《补贴与反补贴问题研究》,中国经济出版社2002年版。
12.对外贸易经济合作部进出口公平贸易局编著:《国外对中国产品反倾销、反补贴、保障措施案例集(美国卷)》,中国对外经济贸易出版社2002年版。
13.刑厚嫒主编:《中国加入WTO法律文件解读》,人民日报出版社2002年版。
14.朱榄叶著:《“出口补贴”析——从世界贸易组织DSB处理的纠纷分析<补贴与反补贴措施协定>对出口补贴的规定》,《国际经济法论从(第5卷)》,法律出版社2002年版。
15.马楚著:《WTO补贴与反补贴规则》,广东人民出版社2001年版。
16.约翰·H·杰克逊[美]著,张乃根译:《世界贸易体制——国际经济关系的法律与政策》,复旦大学出版社2001年版。
17.王新奎、刘光溪主编:《WTO与反倾销、反补贴争端》,上海人民出版社2001年版。
18.韩立余编著:《WTO(2000)案例及评析》,中国人民大学出版社2001年版。
19.高永富、张玉卿主编:《国际反倾销法实用大全》,立信会计出版社2001年版。
20.曹建明、陈治东主编:《国际经济法专论(第三卷)》,法律出版社2000年版。
21.朱榄叶编著:《世界贸易组织国际贸易纠纷案例评析》,法律出版社2000年版。
22.韩立余著:《美国外贸法》,法律出版社1999年版。
23.李怀政:《我国三大贸易伙伴对华实施贸易救济的比较与思考》,《国际贸易问题》2004年第4期。
24.朱颖:《论“非市场经济国家”在WTO中的地位》,《上海师范大学学报(哲学社会科学版)》2004年第2期。
25.董瑾、周芙蓉:《“补贴与反补贴”问题与“公平贸易”分析》,《北京理工大学学报(社会科学版)》2004年第1期。
26.杨仕辉、游春林、吴哲:《反补贴的国际比较及我国对策研究》,《长沙电力学院学报(社会科学版)》2003年第2期。
27.宋新伟:《WTO<补贴与反补贴措施协议>评析及中国对策》,《天中学刊》2003年第2期。
28.蓝海涛:《呈随机波动状——世贸组织成员补贴与反补贴案件的特点》,《国际贸易》2003年第10期。
29.李本:《WTO<补贴与反补贴协定>对内国经济法的约束与影响》,《当代法学》2003年第6期。
30.蒋小红:《欧共体反补贴立法与实践》,《法学评论(双月刊)》2003年第1期。
31.张春莉:《“非市场经济”对我国的影响及对策》,《南京社会科学》2003年第5期。
32.张初霞、李志强:《直面反补贴——关于入世后我国反补贴问题的思考》,《首都经济贸易大学学报》2003年第1期。
33.李学稳:《论“入世”对我国补贴制度的影响》,《现代财经》2002年第11期。
34.杨平:《加入WTO与国企改革》,《岭南学刊》2002年第1期。
35.李景峰:《WTO背景下出口补贴政策分析》,《对外经贸实务》2002年第2期。
36.王贵国:《世界贸易组织的反补贴机制》,《法学家》2002年第6期。
37.邓兰兰:《加入WTO后的出口鼓励政策探析》,《广东职业技术师范学院学报》 2001年第2期。
38.符望:《企业改革与反补贴》,《上海对外贸易学院学报》2001年第1期。
39.陈芳玲:《中国反补贴应对措施小议》,《萍乡高等专科学校学报》2001年第3期。
40.徐民:《WTO补贴规则与我国的优惠政策》,《海南大学学报社会科学版》1998年第3期。
1. Karen Halverson: China's WTO Accession: Economic, Legal, and Political Implications, Boston College International and Comparative Law Review, Spring, 2004.
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1.世界贸易组织网站:www.wto.org
2.美国政府印刷所网站:www.gpoaccess.gov
3.欧盟网站:europa.eu.int
4.加拿大边境服务署网站:www.cbsa-asfc.gc.ca
5.中华人民共和国商务部网站:www.mofcom.gov.cn
6.上海WTO事务咨询中心网站:www.sccwto.net
7.中国贸易救济信息网:www.cacs.gov.cn
8.WTO与法治论坛网:http://www.wtolaw.gov.cn
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