【作者】 刘靖华；

【导师】 陈立虎；

【作者基本信息】 苏州大学 ， 宪法学与行政法学， 2012， 博士

【摘要】 当今国际社会，不仅存在着征收关税、进口限制、反倾销、反补贴等防守性贸易保护措施，还有以对外贸易壁垒调查为代表的进攻性贸易保护措施。世界范围内，将对外贸易壁垒调查作为一项制度建立起来的国家（地区）为数不多，主要有美国、欧盟和中国，其中以美国贸易法301条款和欧盟《贸易壁垒规则》（TBR）最为典型。借鉴美欧立法经验，中国亦建立起对外贸易壁垒调查制度，旨在消除国外贸易壁垒对中国对外贸易的不利影响，维护对外贸易的正常秩序。随着中国发展成为世界第一出口大国，国外对华产品贸易壁垒亦日益增多，发挥对外贸易壁垒调查制度作用的社会需求日趋迫切。对中国对外贸易壁垒调查立法进行深入理论分析，提出完善中国立法的建议，具有重要的现实意义。本文从行政法角度研究对外贸易壁垒调查，立足于对外贸易壁垒调查的行政属性，采用行政过程论为基本分析定式，将对外贸易壁垒调查过程中的行政活动进行类型化处理；以行政法治化为分析路径，揭示对外贸易壁垒调查的专门性规则及程序制度。以理论与实践相结合的现实关照为分析准则，剖析中国对外贸易壁垒调查制度之不足，并尝试提出完善建议。运用历史、比较和实证分析的方法，以中国法律制度的内容为分析蓝本，结合法学基本理论和美欧的制度经验，总结对外贸易壁垒调查制度内容的一般规律，为中国制度的完善提供可资借鉴的制度框架。全文按照“理论分析”、“制度变革”到“社会实践”的逻辑进路安排篇章结构。本文认为，不能静态地看待对外贸易壁垒调查，将其功能仅限定于资讯提供的范围，而应该以行政过程的视角进行考量，将其被定性为以动态方式实现行政目的的行政过程。从美国贸易法301条款、欧盟TBR和中国《对外贸易壁垒调查规则》的规定看，对外贸易壁垒调查是一国外贸行政机关针对外国政府的贸易壁垒发起调查、作出确认并采取相应措施的行政活动。依行政行为类型化分析，对外贸易壁垒调查过程中的行政活动包括行政调查、行政确认、行政裁定等行为。行政调查通过获取资讯来查明事实、收集证据并提出调查报告，外贸行政机关在调查的基础上作出裁定，确认所指控的外国政府的措施或做法是否构成贸易壁垒。外贸行政机关的裁定为进一步采取其他措施或启动WTO多边贸易争端程序提供依据。对外贸易壁垒调查不仅是一个行政活动过程，它还是一个规范或秩序系统。美国、欧盟和中国都有对外贸易壁垒调查的专门立法，建立了对外贸易壁垒调查的法律制度体系。本文认为，对外贸易壁垒调查制度具有行政法制度属性，通过对规范的分析，归纳出对外贸易壁垒调查的实体规则和程序规则。对外贸易壁垒调查实体规则主要涉及以下几个方面：一是对外贸易壁垒调查制度的适用范围；二是贸易壁垒认定的法律依据；三是损害的认定标准。程序规则是有关外贸行政机关在对外贸易壁垒调查过程中应遵循的方法、步骤、时限、顺序等规定。这些实体规则和程序规则往往交织在一起，构成对外贸易壁垒调查行为的规范体系。鉴于对外贸易壁垒调查机关拥有较大的行政裁量权及行使权力可能产生的重大影响，本文从行政程序制度具有制约作用的认识出发，从宏观层面上提出对外贸易壁垒调查程序的正当程序要素，并在微观层面上对其中的程序制度进行分析。在中国融入多边贸易体制的进程中，对外贸易壁垒调查制度被作为主动进攻性保护贸易制度引入中国对外贸易法中。中国对外贸易壁垒调查制度的缺陷和不足，在实践中得到印证。尽管对外贸易壁垒调查制度在中国的步履维艰不能完全归咎于制度本身的不完善，但有完善的制度作为支撑，中国对外贸易壁垒调查的实践将会更为丰富。鉴于此，本文借鉴美国、欧盟对外贸易壁垒调查的立法经验，对中国制度的立法背景、制度框架、内容设计等进行分析，提出完善中国对外贸易壁垒调查制度的指导思想，并有针对性地提出完善之建议。本文试图通过分析和阐述对外贸易壁垒调查过程中的行政活动规则，尝试构建起规范对外贸易壁垒调查的制度框架，据此对中国对外贸易壁垒调查制度中存在的有关问题进行检讨，提出完善中国对外贸易壁垒调查制度的若干建议，以期中国的对外贸易壁垒调查制度“破茧成蝶”。更多还原

【Abstract】 There are not only defensive trade protection measures that include tarriff, importrestriction,anti-dumping,anti-subsidy, but also agrressive trade protection,of which TradeBarrier Investigation is the representative,in the international community nowadays.A fewcountries have taken Trade Barrier Investigation as a system with the exception of theUnited States,EU and China.The most typical cases are "Section301" of U.S. Trade Lawand EU TBR.China has established a syestem of Trade Barrier Investigation to overcomethe adverse effects of trade barriers on Chinese foreign trade,to maintain the normal orderof foreign trade, referred to the experience of America and EU.Since China is the firstlargest emport country, the more trade barriers are constantly increasing on China’sproducts,the social demand for Trade Barrier Investigation System is becoming moreurgent. It’s practically important that theoretical analyses on legislation of Trade BarrierInvestigation System are conducted and suggestions on improvement of legislation inChina are put forward.On the perspective of administrative law,this paper adopts administrative processtheory as the basic analytical formula, classifies administrative action by administrativenature, and proclaims specified regualtions and rules of procedure in the process of TradeBarrier Investigation by the method of administration ruled by law. It dissects theinsufficiency in Trade Barrier Investigation of China,and attempts to bring forwardsuggesions on improvement,according to analytical norm of applying theory topractice.Taking China’s law system as original version,linking basic theory of law toexperence of the United States and EU, the normal rule of Trade Barrier Investigation issummarized by means of historical,comparative,empirical research law,and the valuable system framework is provided.The logic of context is the following, theoreticalanalysis,system transformation,and social practice.This paper holds the view that Trade Barrier Investigation should be looked upon as aadministrative process in a dynamic way, instead of being taken as merely providinginformation. Trade Barrier Investigation is an administrative activity aiming at otherconutry’s trade barriers,which is lauched,confirmed and taken some related measures byone country’s adminstrative departments, which is comprised of administrativeinvestigation,confirmation and judgement according to the analysis of administrativeaction types. Administrative investigation ascertains the facts by abtaining information,collects evidence and raises investigation report, which on the basis of Foreign tradeadministrative departemnt makes the judgement and confirms whether the activities ormeasures of the charged government lead to trade barriers.The judgement of TradeAdministrative Departemnt is an evidence for the futher action or launching WTOmultilateral trade dispute settlement procedures.Trade Barrier Investigation, an order system as well as a process of administrativeactivities, was built up in the United States, EU and China, so was a law system there. Thispapar puts forward substantive and procedure rules of Foreign Trade BarrierInvestigation due to its nature and analysis.The substantive rules are the following:1Theapplication of the n Trade Barrier Investigation.2Evidence concerning affirmation of tradebarrier.3Injury requirement.Administrative departments in relation to the trade rules ofprocedure should follow the rules of procedure,which are requirements for method,steps,limited time and order in Trade Barrier Investigation. The regulation system of TradeBarrier Investigation is composed of substantive rules and rules of procedure.Since the administrative department of Trade Barrier Investigation has more powerfuladministrative discretion,it is possible to impact on Trade Barrier Investigationsignificantly. This paper takes restrictive function of administrative procedure system intoaccount,analyzes regulations of procedure at micro-level,and puts forward elements inproper procedure of Trade Barrier Investigation at macro-level. Trade Barrier Investigation system is introduced into the Trade Law of China as apositive aggressive measure to protect its foreign trade,while China is being integrated intothe multilateral trading system.The imperfect system is just one of reasons to lead theinsufficiency in practice of Trade Barrier Investigation system,which will be mature withimproved system.Thus, the analysis on legislation background,system framework,contentis conducted, and guideline to improve China’s Foreign Trade Barrier Investigation systemand concrete suggestions are raised on grounds of Trade Barrier Investigation system inthe United States and EU.This paper attempts to analyze and elaborate rules of administrative activities in TradeBarrier Investigation, tries to build up the system framework, inspects problems,and putsforward a series of suggestions on China’s Trade Barrier Investigation for its perfection.更多还原