WTO体制内中国稀土出口管制措施的合规性研究

发布时间：2018-07-31 06:25

【摘要】：稀土作为一种重要的工业原材料,在国家安全中的地位日益突出。近年来,美国、欧盟等国一直指责中国所实施的稀土出口管制措施违反国际贸易规则,并不断威胁在WTO体制内提起争端解决,以迫使中国放松稀土出口管制,增加稀土出口量。本文以中国稀土出口管制措施在WTO法律框架内的合规性问题为研究对象,以比较GATT第二十条、第二十一条条文作为研究出发点,从WTO规则解释与成员方实践相结合的角度,着重研读第二十一条“安全例外”条款条文含义、援用条件以及相关案例,总结出援用“安全例外”条款的合规性判断标准以及WTO争端解决机构的态度。并结合中国入世相关法律文件以及“中国原材料出口”案的争端解决过程,梳理出中国当前稀土出口管制措施的法律逻辑,指出此类措施所面临的WTO争端风险。在深入研究WTO成员方——美国、欧盟的军民两用物项出口管制体系,并分析其与WTO规则相符性的基础之上,提炼出可供中国学习借鉴的做法。最后,本文对中国在WTO体制内实施稀土出口管制措施的合规性进行探索,并提出相应的建议。第一章简述稀土的分类及用途,分析了中国当前稀土出口管制措施的策略,概述有关稀土出口管制的法律条文,并通过对“中国原材料出口”案的简要分析,指出中国当前稀土出口管制措施所面临的WTO争端风险。第二章首先从立法目的和宗旨角度对GATT第二十一条“安全例外”条款进行解读,分析了其与GATT第二十条“一般例外”条款的区别。在此基础上,深入研究了第二十一条(a)、(b)两款。最后评价了不同时期的成员方实践。第三章通过对美国和欧盟的两用物项出口管制体系的研究,评析了其中对“安全例外”条款的援用,并简述了两者对华技术出口管制的现状,指出中国稀土可以学习借鉴之处。第四章阐述中国援用GATT第二十一条(a)、(b)两款的构想,并提出了完善相应稀土出口管制体系的立法建议。
[Abstract]:As an important industrial raw material, rare earth is playing an increasingly important role in national security. In recent years, the United States, the European Union and other countries have accused China of violating international trade rules and have repeatedly threatened to bring disputes within the WTO system to force China to relax controls on rare earths exports and increase exports of rare earths. This paper takes the issue of the compliance of China's rare earth export control measures within the framework of the WTO law as the research object, taking the comparison of Article 20 and Article 21 of the GATT as the starting point of the study, from the angle of combining the interpretation of the WTO rules with the practice of the members. This paper studies the meaning of "security exception" clause in Article 21, the application conditions and relevant cases, summarizes the criterion of compliance with the "security exception" clause and the attitude of the WTO dispute settlement body. Combined with the relevant legal documents of China's entry into WTO and the dispute settlement process in the case of China's Export of Raw Materials, the legal logic of China's current rare earth export control measures is sorted out, and the WTO dispute risks faced by such measures are pointed out. Based on the in-depth study of the export control system of dual-use items in WTO member countries, the United States and the European Union, and on the basis of analyzing its conformity with the WTO rules, this paper abstracts some practices for China to learn from. Finally, this paper probes into the compliance of rare earth export control measures in China within the WTO system, and puts forward some corresponding suggestions. The first chapter briefly describes the classification and use of rare earths, analyzes the strategies of China's current rare earth export control measures, summarizes the legal provisions on rare earth export control, and briefly analyzes the case of "China's raw materials export". This paper points out the risk of WTO dispute in China's current rare earth export control measures. In the second chapter, the author interprets the "safe exception" clause of GATT Article 21 from the angle of legislative object and purpose, and analyzes the difference between it and the "General exception" clause in Article 20 of GATT. On this basis, the article 21 (a), (b) two in-depth research. Finally, the member practice in different periods is evaluated. In chapter three, through the study of the export control system of dual-use items in the United States and the European Union, the author analyzes the application of the "safety exception" clause, and briefly describes the current situation of the export control of technology to China, and points out that the rare earth elements in China can be learned and used for reference. In the fourth chapter, the author expounds the conception of using GATT Article 21 (a), (b) in China, and puts forward some legislative suggestions on how to perfect the export control system of rare earths.
【学位授予单位】：复旦大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996.1

【参考文献】