欧盟国家援助控制制度研究
发布时间：2018-09-19 13:36
【摘要】：国家援助控制是欧盟特有的竞争法律制度。与反垄断主要针对私人扭曲竞争的行为不同,国家援助控制的目的是规范政府通过补贴等直接干预形式扭曲市场竞争的行为,防止欧盟成员国政府为保护本国利益而采取国家援助破坏欧盟内部统一市场。因此,欧盟国家援助控制制度很大程度上是欧盟采取的以竞争政策规范产业政策、将政府补贴行为法治化的制度创新。《欧盟运行条约》第107-109条,作为国家援助控制的核心条款,基于维护共同体市场的公平竞争秩序的目的,对国家援助控制问题作了规定,而欧盟委员会、理事会和欧洲法院的条例、指令、决定和判例又进一步丰富了这一制度的具体内容。欧盟的国家援助实践已经成为妥善处理国家、市场和企业关系的典范。本文分为8章,全面、系统地介绍了欧盟国家援助控制制度,并对我国借鉴国家援助控制制度,以进一步完善社会主义市场经济和社会主义法治提出了建议。具体而言,第1章导论提出问题,并明确了研究的意义、思路和方法;第2章从现实基础、经济学基础、法律基础三方面阐述了国家援助控制制度的正当性和合理性;第3章介绍了《欧盟运行条约》所禁止的国家援助的概念及其内涵和外延;第4章全面梳理了欧盟条约以及理事会受权列举的各种国家援助控制适用除外(豁免)情形,对普遍经济利益服务、普遍集体豁免、微量不计等重要内容进行了归纳总结;第5章是有关国家援助控制申报和审查的程序性内容,对机构分工、申报流程、救济方式等进行了详细介绍;第6章重点阐述了欧盟委员会在国家援助审查中所适用的经济学方法,包括判断是否存在国家援助的市场经济运营者测试,以及评估国家援助效果的平衡测试,并对其在现实中的实际作用提出了自己的看法;第7章详细介绍了欧盟对于其国家援助控制制度的不断改革和创新,特别是最新的国家援助现代化的内容和影响;第8章在总结欧盟制度特点并对比美国做法的基础上,提出我国应当建立国家援助控制制度,以使政府行为和产业政策实施法治化,同时协调中央和地方的关系。欧盟国家援助控制制度实质上是将产业政策纳入竞争政策框架进行规范的一种特殊政策工具,其政策目标并非像竞争政策所追求的单纯的经济效率或者消费者利益,而是社会总福利的最大化。虽然中国与欧盟在政治体制、国情等方面存在着明显的差距,但是中国与欧盟同为成文法国家,其国家援助控制制度对中国有很大的启示。中国应该吸收、借鉴其实体法和程序上的精髓内容,协调好竞争政策与产业政策的关系,要明确地为公共和私人的经济功能划分界限,建立独立的司法执法体系,明确法定的监管执法机构。这样有利于规范产业政策工具的运用,培养全社会的竞争文化和守法意识,增强政府公信力,维护社会主义市场经济的健康运行。
[Abstract]:State aid control is the unique competition legal system of the EU. Unlike antitrust behaviour, which mainly targets private competition distortions, the aim of state aid controls is to regulate the distortion of market competition by governments through direct forms of intervention such as subsidies. Prevent EU member governments from taking state aid to protect their national interests and undermine the EU's internal unified market. Therefore, the EU's state aid control system is to a large extent the innovation of the EU's system of standardizing industrial policies with competition policy and legalizing government subsidy. Articles 107-109 of the "EU operational Treaty" are the core provisions of state aid control. For the purpose of maintaining a level playing field in the market of the Community, the control of State aid is regulated, while the regulations of the European Commission, the Council and the European Court of Justice, Decisions and precedents further enrich the specific content of this system. EU state aid practice has become a model for the proper handling of state, market and business relations. This paper is divided into eight chapters. It introduces the state aid control system of the European Union in a comprehensive and systematic way, and puts forward some suggestions for our country to further improve the socialist market economy and the socialist rule of law by drawing lessons from the state aid control system. In particular, chapter 1 introduces the questions, and clarifies the significance, ideas and methods of the research. Chapter 2 expounds the legitimacy and rationality of the state aid control system from three aspects: the realistic basis, the economic basis and the legal basis. Chapter 3 introduces the concept of State assistance prohibited by the EU operational Treaty and its connotation and extension; Chapter 4 provides a comprehensive overview of the EU treaties and the exceptions (exemptions) to the application of State aid controls authorized by the Council, Some important contents, such as universal economic interest service, universal collective exemption, micro amount and so on, are summarized. Chapter 5 deals with the procedural content of the declaration and review of state aid control, the division of labor among institutions, the declaration process, etc. Chapter 6 focuses on the economic methods applied by the European Commission in the review of state aid, including the market economy operator test to determine the existence of state aid. And to evaluate the balance of the effectiveness of state aid testing, and to put forward their own views on the actual role in reality. Chapter 7 describes in detail the EU's ongoing reform and innovation of its state aid control system. Especially, the content and influence of the latest modernization of state aid. Chapter 8, on the basis of summing up the characteristics of the European Union system and comparing with the practice of the United States, puts forward that our country should establish the state aid control system. In order to make government behavior and industrial policy implementation of the rule of law, at the same time to coordinate the relationship between the central and local. The EU national aid control system is essentially a special policy tool to regulate industrial policy into the framework of competition policy. Its policy objective is not the pure economic efficiency or consumer interests pursued by competition policy. It is the maximization of the total welfare of society. Although there are obvious differences between China and EU in political system and national conditions, China and EU are both statutory countries, and their state aid control system has great enlightenment to China. China should absorb and learn from the essence of its substantive law and procedure, coordinate the relationship between competition policy and industrial policy, clearly demarcate the economic functions of public and private individuals, and establish an independent judicial law enforcement system. Identify statutory regulatory and enforcement agencies. This will help to standardize the use of industrial policy tools, cultivate the competition culture and law-abiding consciousness of the whole society, strengthen the credibility of the government, and maintain the healthy operation of the socialist market economy.
【学位授予单位】：对外经济贸易大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D95;DD912.29
，
本文编号：2250281
[Abstract]:State aid control is the unique competition legal system of the EU. Unlike antitrust behaviour, which mainly targets private competition distortions, the aim of state aid controls is to regulate the distortion of market competition by governments through direct forms of intervention such as subsidies. Prevent EU member governments from taking state aid to protect their national interests and undermine the EU's internal unified market. Therefore, the EU's state aid control system is to a large extent the innovation of the EU's system of standardizing industrial policies with competition policy and legalizing government subsidy. Articles 107-109 of the "EU operational Treaty" are the core provisions of state aid control. For the purpose of maintaining a level playing field in the market of the Community, the control of State aid is regulated, while the regulations of the European Commission, the Council and the European Court of Justice, Decisions and precedents further enrich the specific content of this system. EU state aid practice has become a model for the proper handling of state, market and business relations. This paper is divided into eight chapters. It introduces the state aid control system of the European Union in a comprehensive and systematic way, and puts forward some suggestions for our country to further improve the socialist market economy and the socialist rule of law by drawing lessons from the state aid control system. In particular, chapter 1 introduces the questions, and clarifies the significance, ideas and methods of the research. Chapter 2 expounds the legitimacy and rationality of the state aid control system from three aspects: the realistic basis, the economic basis and the legal basis. Chapter 3 introduces the concept of State assistance prohibited by the EU operational Treaty and its connotation and extension; Chapter 4 provides a comprehensive overview of the EU treaties and the exceptions (exemptions) to the application of State aid controls authorized by the Council, Some important contents, such as universal economic interest service, universal collective exemption, micro amount and so on, are summarized. Chapter 5 deals with the procedural content of the declaration and review of state aid control, the division of labor among institutions, the declaration process, etc. Chapter 6 focuses on the economic methods applied by the European Commission in the review of state aid, including the market economy operator test to determine the existence of state aid. And to evaluate the balance of the effectiveness of state aid testing, and to put forward their own views on the actual role in reality. Chapter 7 describes in detail the EU's ongoing reform and innovation of its state aid control system. Especially, the content and influence of the latest modernization of state aid. Chapter 8, on the basis of summing up the characteristics of the European Union system and comparing with the practice of the United States, puts forward that our country should establish the state aid control system. In order to make government behavior and industrial policy implementation of the rule of law, at the same time to coordinate the relationship between the central and local. The EU national aid control system is essentially a special policy tool to regulate industrial policy into the framework of competition policy. Its policy objective is not the pure economic efficiency or consumer interests pursued by competition policy. It is the maximization of the total welfare of society. Although there are obvious differences between China and EU in political system and national conditions, China and EU are both statutory countries, and their state aid control system has great enlightenment to China. China should absorb and learn from the essence of its substantive law and procedure, coordinate the relationship between competition policy and industrial policy, clearly demarcate the economic functions of public and private individuals, and establish an independent judicial law enforcement system. Identify statutory regulatory and enforcement agencies. This will help to standardize the use of industrial policy tools, cultivate the competition culture and law-abiding consciousness of the whole society, strengthen the credibility of the government, and maintain the healthy operation of the socialist market economy.
【学位授予单位】：对外经济贸易大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D95;DD912.29
，
本文编号：2250281
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