WTO框架下补贴利益法律问题研究

【作者】 施进；

【导师】 莫世健； 祁欢；

【作者基本信息】 中国政法大学 ， 国际法， 2010， 硕士

【摘要】 补贴利益是《补贴与反补贴措施协定》框架下认定政府行为构成补贴的重要构成要件,对我国应对反补贴调查具有重要意义,但是目前理论界尚未对补贴利益进行系统而全面的整理研究,无法有效指导实践。本文以WTO法律文本为依托,以争端解决机构现有与补贴、补贴利益相关的案例为考察基础,综合运用条约解释、实证研究以及比较分析的方法,对与补贴利益相关的问题进行了一番探讨,以期对我国的理论和实践有所裨益。本文包括引言、正文和结论三个部分。引言对本文问题的提出和论证思路做了一番阐述。正文主要分为以下四个部分:第一部分是对补贴利益的概述。在这一部分,笔者从分析补贴的概念和构成要件出发,通过考察研究经济意义上补贴的定义、法律意义上补贴的定义以及补贴的相关构成要件,对补贴利益进行了界定,为下文探讨补贴利益与相关概念的区别以及联系奠定了理论基础。第二部分采用规范解释和实证案例研究的方法,通过对《补贴协定与反补贴措施协定》相关条文进行解释,并整理WTO争端解决机构现行的与补贴利益相关的案例,分别对补贴利益和财政资助之间的关系、补贴利益的衡量标准、补贴利益衡量中市场的界定以及补贴利益和专向性的关系等重大问题进行了专门探讨。本部分为下文进一步分析补贴利益的传递问题奠定了辨析的基础。第三部分主要研究补贴利益传递问题。该部分首先对WTO目前和补贴利益传递有关的案例进行了分类研究,总结归纳了三种不同类型的补贴利益传递。在此基础上通过考察相关案例,阐述了补贴利益传递分析的法律依据,补贴利益传递分析中不得进行事前推定以及如何认定利益是否进行了传递等核心问题。同时关注了多哈回合谈判中关于利益传递部分的修改。第四部分结合我国在遭受他国反补贴调查过程面临的与补贴利益有关的现实困境,通过评议多哈回合谈判中关于利益传递部分的争议,对我国如何应对反补贴调查提出了若干建议。在以上论证的基础上,本文得出如下结论:补贴利益是独立于财政资助的补贴的构成要件,两者是呈现形式和效果要件的关系;专向性为补贴利益划定了对象范围;补贴利益的衡量标准是市场;在补贴利益传递分析时不能进行推定,而是要通过“公平交易”和“市场价格”的标准看补贴是否发生了传递。我国要充分运用WTO争端解决机构在相关案件中确定的具体原则,应对他国对我国的反补贴调查。更多还原

【Abstract】 The benefit of subsidy defines a key constituent element under SCM Agreement with which government action may fall under the category of subsidy. It is of great importance for China to respond to countervailing investigations launched by other countries. Currently, however, the theoretical realm has not yet seen a systematic and overall research and combing of the benefit of subsides, which means no effective guidance will be given to the practical field. This article, with WTO legal texts as the underpinning, by reviewing existing WTO cases and with treaty interpretation, pragmatic research and comparison as its approaches, renders a comprehensive analysis of benefit of subsidies, in hopes of being conducive to both the theoretical and practical realms.This paper includes three parts, namely introduction, main body and conclusion. Introduction expounds on the raising of the issues and the thought trails of reasoning.The main body is divided into four parts:The first part is the introduction of benefit of subsidies. In this part, the definition of subsidies from both economic and legal perspectives has been analysed, followed by the analysis of the constituent elements of subsidies. On the basis of the analysis, benefit of subsidies has been defined, so as to lay a solid foundation for its differentiation from other concepts in the following parts.The second part, based on the method of treaty interpretation and reviewing the relevant cases, differentiates benefit of subsidies from financial contribution, discusses the benchmark of determining the benefit and distinguish between benefit of subsidies and specificity. This part serves as the basis on which the pass though of benefit will be analysed.The third part deals with the pass-through of benefit.The existing cases concerning benefit is categorized and reviewed in this part. Based on these analysis, the legal basis of pass-through of benefit, no assumption before investigation and how the benefit is passed through are analysed. Focus also goes to issues still being negotiated during the Doha Round. The fourth part advises on how China should respond to the countervailing investigations based on the analysis of statue quo.Based on the aforesaid analysis, the following conclusions is drawn: benefit of subsidies is the constituent element of subsidies independent of financial contribution, the relationship being the form and the effect; specificity defines the object of benefit; the benchmark of determing the benefit is market; the pass-through of benefit cannot be assumed, it depends on arm’s length transaction and fair price. China should take full advantage of the principles established by DSB in response to the investigations launched by other countries.更多还原