清洁能源产业补贴措施与WTO合规性研究

【作者】 曹姝；

【导师】 龚柏华；

【作者基本信息】 复旦大学 ， 国际法， 2011， 硕士

【摘要】 随着化石能源逐日用竭,清洁能源已经成为各国重点扶持的新兴产业。但是,清洁能源产业作为一项新兴产业,生产成本巨大,必须依靠政府的支持才能顺利地发展。因此各国政府都给予清洁能源产业以各种形式的资金支持。而这种资金支持很有可能被认定为是政府给予的补贴,从而被认定违反了世界贸易组织(WTO)的规则。本文分为四章。第一章简单介绍了化石能源以及清洁能源的概念以及种类,之后介绍了各国发展清洁能源产业的缘由,并简略介绍了部分国家现行有效的对清洁能源的补贴措施。第二章从对法条和既往案例的分析入手,重点介绍了WTO规则下的反补贴规定,即《补贴与反补贴措施协定》(《SCM协定》),梳理了《SCM协定》下对补贴各要件的定义以及既往案例中的认定方式,重点分析了“专项性”以及“禁止类补贴”的定义。继而作为对比,简要介绍了美国反补贴规定与实践,特别是涉及中国的实践。第三章基于美国钢铁工人联合会(USW)针对中国清洁能源产业提出的申诉报告以及美国政府随后提出的WTO磋商请求,首先简述了美国301调查制度,并就301调查与WTO磋商之间的联系简述了对USW申诉报告进行分析的必要性,随后对USW报告中涉及补贴措施的部分进行了细致的分析,并列举了部分在报告中所涉及的中国的法律法规。第四章有针对性地详细列举并分析了中国清洁能源产业的现行补贴措施,并联系USW申诉报告从禁止性补贴以及可诉性补贴两方面进行了评析,尝试以WTO合规性的角度对所涉及的法律法规的合规性进行了评价,随后以《SCM协定》为基础,提出了部分理论上的解决方案,以期对问题的解决进行有限的尝试。本文试图将WTO规则与USW申诉报告进行理论与实践上的结合,从而一窥清洁能源产业的补贴现状,并提出可能的解决方案以期达到抛砖引玉的效果。更多还原

【Abstract】 The fossil energy has been abused and is getting exhausted. Many governments are now casting their eyes upon the clean energy industry, trying to support the development of such industry. However, the clean energy industry is a new-born industry, and the cost of production is so tremendous that governmental support and subsidies are crucial for the development of such industry. In fact, most of the governments are very lenient at granting subsidies to clean energy industries. However, such subsidies, granted by the governments to a specific industry, are very likely to be regarded as subsidy which violates The Agreement on Subsidies and Countervailing Measures ("SCM Agreement").This thesis consists of four chapters. The First Chapter is a brief introduction of the concept and types of fossil energy and clean energy, followed by the reason for the development of clean energy industry and also a brief introduction of the subsidy measures of some of the countries. The Second Chapter is an analysis of the rules and cases regarding SCM Agreement, focusing on the definition of "specific subsidy" and "prohibited subsidy", and followed by the introduction of the rules and practice of the regulation regarding subsidies and countervailing measures of the U.S.A. The Third Chapter is a detailed analysis of the petition report from United Steelworkers ("USW") against China, focusing on the petition regarding the subsidies granted by the Chinese government and the relevant rules and regulations of China, and also the WTO negotiation request filed by the U.S government. Because of the interrelationship between 301 invetigation and negotiation under WTO, this part explains the necessity to assess the potential risk underlying 301 investigation from a WTO compliance point of view. The Forth Chapter is a summary of the currently applicable subsidy measures of China, and also with brief comment and analysis of such measures, trying to analyze whether they are prohibited subsidies and actionable subsidies as measured by WTO rules. In addition, this chapter tries to suggest some possible solutions to the subsidy measure at issue based upon the textual analysis of SCM Agreement.This thesis is an attempt to interrelate the WTO rules and the USW petition report, trying to have an outlook into the subsidy measure of clean energy industry, and with the hope that this thesis may be of some help to the solution of this issue.更多还原