中国稀土资源出口限制争端研究

发布时间：2018-02-24 06:25

本文关键词： 中国稀土资源出口限制贸易争端 GATT1994　出处：《东北财经大学》2014年硕士论文　论文类型：学位论文

【摘要】：稀土是元素周期表中17种化学元素的合称。由于本身优良的光电磁等物理特性,是制造各种高精尖国防武器的重要工业原材料,同时也可以作为电子、激光、核工业、超导等众多高科技产业的润滑剂,应用领域非常广泛,有着“工业维生素”的美称。长期以来,中国为世界供应了大量优质却廉价的稀土,为世界其他工业国家做出重大贡献的同时,却对本国国内的稀土资源储备和生态环境造成了严重的损害。从2005年开始,中国开始采取一系列措施管控稀土的生产和出口,激起了美国、日本和欧盟等发达经济体强烈的不满和反对,他们认为中国稀土出口量的削减造成了国际市场稀土价格的大幅上涨,进而削弱了许多美欧日企业的国际竞争力。“稀土之争”愈演愈烈,引发了世界范围内广泛的关注。本文主要是以2012年开始的“稀土贸易争端”为背景,试图通过详细分析中国稀土出口政策的阶段性演变,明晰中国为保护稀土资源实施的哪些出口限制措施违反了WTO的相关规则和中国的入世承诺,希望能够对这一问题进行客观的评述,并紧扣专家组报告提出了败诉对中国的几点启示,希望能够更好地保护中国的稀土资源。本文主要由五部分组成：第一部分介绍稀土争端的发生背景以及案件的最新进展,并对国内外就此问题上的一些研究成果进行梳理和评述,同时指出了本文的创新与不足。第二部分以“中国的稀土出口贸易政策遭遇挑战”为标题,分五个小节展开：首先根据政策导向的不同将中国稀土出口贸易政策分为鼓励稀土出口、限制稀土原材料出口、严格控制稀土出口三个阶段,并从稀土资源过度开发和生态环境严重破坏两个方面指出中国稀土贸易政策转向严格限制出口的主要原因。由于现行的WTO/GATT体系下的出口限制规则及中国在入世时曾就取消出口限制作出的承诺的约束,中国现行的稀土的出口贸易管理政策相比美国、日本等发达国家为保护国内稀土资源采取的政策和措施,很容易受到挑战。第三部分是文章的主体部分,详细介绍稀土出口限制争端的专家组对本案的事实认定及一些法律问题的分析。专家组对争议问题的几点事实上的认定主要涉及2012年中国对稀土实施的出口关税、出口配额、对出口企业的资质管理等措施。法律问题集中于中国是否有权援引GATT1994第20条、中国的出口关税措施能否援引GATT1994第20条(b)款、中国的出口配额措施能否援引GATT1994第20条(g)款。在该部分的第四小节中提出了“稀土案”专家组报告的两个值得肯定的地方,一是专家组中的一位成员认为中国有援引GATT1994第20条的权利,二是专家组赞同中国资源环境保护的综合措施,肯定中国对于资源环境的保护所作出的努力,因此在此案中中国并非“全盘皆输”。 “稀土案”败诉后,中国将不得不放弃原来对稀土实施的出口关税和出口配额措施,但是如何以符合WTO规则和中国入世承诺的方式来保护中国的稀土资源,这将是中国今后努力的方向。文章的第四部分就是从该点出发,提出“稀土案”的败诉带来的启示：要充分借鉴和参考美国和日本的经验,改变传统的贸易政策和手段,严格稀土行业准入及环境保护的立法和执法工作,加大对稀土开采和生产环节的管制；对稀土元素进行细分,合理定位,建立稀土资源储备机制；加大研发投入,提高稀土资源的使用率和回收率,真正实现稀土行业的可持续发展。第五部分是文章的结论部分,简要总结全文的基本内容。
[Abstract]:Rare earth is a combination of 17 chemical elements in the periodic table of elements . Because of its excellent physical properties , such as photoelectromagnetic , it is an important industrial raw material for the manufacture of various high - precision defense weapons . It can also be used as a lubricant for many high - tech industries such as electron , laser , nuclear industry and superconducting , and has wide application fields . It has the reputation of " industrial vitamin " . China has long supplied a great deal of high - quality and cheap rare earth to the world , which has caused serious damage to the reserves and ecological environment of rare earth resources in the world . Since 2005 , China has begun to take a series of measures to control the production and export of rare earths , which has aroused strong dissatisfaction and opposition from developed economies such as the United States , Japan and the European Union . They believe that the reduction in the export volume of rare earths in China has caused a sharp rise in the price of rare earths in the international market . Based on the " rare earth trade disputes " , which began in 2012 , this paper attempts to clarify the stage evolution of China ' s rare earth export policy and clarify which export restrictions imposed by China in order to protect the rare earth resources violate WTO rules and China ' s accession commitments . It is hoped that this question can be objectively commented and the report of the Group of Experts suggests some revelations to China and hopes to better protect China ' s rare earth resources . This paper consists of five parts : The first part introduces the background of rare earth dispute and the latest development of the case , and sorts out some research achievements at home and abroad , and points out the innovation and deficiency of this article . The second part is entitled " The Challenge of China ' s Rare Earth Export Trade Policy " , which is divided into five sub - sections : first , according to the different policy - oriented policies , China ' s rare earth export trade policy is divided into three stages : encouraging rare earth exports , limiting the export of rare earth raw materials , strictly controlling the rare earth exports . The third part is the main part of the article , the factual determination of the case and the analysis of some legal issues by the expert group on the rare earth export restriction dispute . In the fourth subsection of this part , whether China has the right to invoke GATT 1994 article 20 , whether China ' s export tariff measures can invoke GATT 1994 article 20 ( b ) , whether China ' s export tariff measures can invoke GATT 1994 article 20 ( b ) , whether China ' s export tariff measures can invoke GATT 1994 article 20 ( b ) , the expert group agrees with China ' s comprehensive measures to protect the environment and affirm China ' s efforts to protect the resources environment , so China is not " all - all " in the case . Microsoft.TeamFoundation . Modeling.dll The fourth part of this article is to draw lessons from the experiences of the United States and Japan , to improve the control of rare earth mining and production links , to improve R & D investment , improve the utilization rate and recovery rate of rare earth resources , and to truly realize the sustainable development of the rare earth industry . The fifth part is the conclusion part of the article , summarizes the basic contents of the full text .

【学位授予单位】：东北财经大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F426;F752.62

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