歐盟國家援助控制制度研究
發(fā)布時(shí)間：2018-09-19 13:36
【摘要】：國家援助控制是歐盟特有的競爭法律制度。與反壟斷主要針對私人扭曲競爭的行為不同,國家援助控制的目的是規(guī)范政府通過補(bǔ)貼等直接干預(yù)形式扭曲市場競爭的行為,防止歐盟成員國政府為保護(hù)本國利益而采取國家援助破壞歐盟內(nèi)部統(tǒng)一市場。因此,歐盟國家援助控制制度很大程度上是歐盟采取的以競爭政策規(guī)范產(chǎn)業(yè)政策、將政府補(bǔ)貼行為法治化的制度創(chuàng)新�！稓W盟運(yùn)行條約》第107-109條,作為國家援助控制的核心條款,基于維護(hù)共同體市場的公平競爭秩序的目的,對國家援助控制問題作了規(guī)定,而歐盟委員會(huì)、理事會(huì)和歐洲法院的條例、指令、決定和判例又進(jìn)一步豐富了這一制度的具體內(nèi)容。歐盟的國家援助實(shí)踐已經(jīng)成為妥善處理國家、市場和企業(yè)關(guān)系的典范。本文分為8章,全面、系統(tǒng)地介紹了歐盟國家援助控制制度,并對我國借鑒國家援助控制制度,以進(jìn)一步完善社會(huì)主義市場經(jīng)濟(jì)和社會(huì)主義法治提出了建議。具體而言,第1章導(dǎo)論提出問題,并明確了研究的意義、思路和方法;第2章從現(xiàn)實(shí)基礎(chǔ)、經(jīng)濟(jì)學(xué)基礎(chǔ)、法律基礎(chǔ)三方面闡述了國家援助控制制度的正當(dāng)性和合理性;第3章介紹了《歐盟運(yùn)行條約》所禁止的國家援助的概念及其內(nèi)涵和外延;第4章全面梳理了歐盟條約以及理事會(huì)受權(quán)列舉的各種國家援助控制適用除外(豁免)情形,對普遍經(jīng)濟(jì)利益服務(wù)、普遍集體豁免、微量不計(jì)等重要內(nèi)容進(jìn)行了歸納總結(jié);第5章是有關(guān)國家援助控制申報(bào)和審查的程序性內(nèi)容,對機(jī)構(gòu)分工、申報(bào)流程、救濟(jì)方式等進(jìn)行了詳細(xì)介紹;第6章重點(diǎn)闡述了歐盟委員會(huì)在國家援助審查中所適用的經(jīng)濟(jì)學(xué)方法,包括判斷是否存在國家援助的市場經(jīng)濟(jì)運(yùn)營者測試,以及評估國家援助效果的平衡測試,并對其在現(xiàn)實(shí)中的實(shí)際作用提出了自己的看法;第7章詳細(xì)介紹了歐盟對于其國家援助控制制度的不斷改革和創(chuàng)新,特別是最新的國家援助現(xiàn)代化的內(nèi)容和影響;第8章在總結(jié)歐盟制度特點(diǎn)并對比美國做法的基礎(chǔ)上,提出我國應(yīng)當(dāng)建立國家援助控制制度,以使政府行為和產(chǎn)業(yè)政策實(shí)施法治化,同時(shí)協(xié)調(diào)中央和地方的關(guān)系。歐盟國家援助控制制度實(shí)質(zhì)上是將產(chǎn)業(yè)政策納入競爭政策框架進(jìn)行規(guī)范的一種特殊政策工具,其政策目標(biāo)并非像競爭政策所追求的單純的經(jīng)濟(jì)效率或者消費(fèi)者利益,而是社會(huì)總福利的最大化。雖然中國與歐盟在政治體制、國情等方面存在著明顯的差距,但是中國與歐盟同為成文法國家,其國家援助控制制度對中國有很大的啟示。中國應(yīng)該吸收、借鑒其實(shí)體法和程序上的精髓內(nèi)容,協(xié)調(diào)好競爭政策與產(chǎn)業(yè)政策的關(guān)系,要明確地為公共和私人的經(jīng)濟(jì)功能劃分界限,建立獨(dú)立的司法執(zhí)法體系,明確法定的監(jiān)管執(zhí)法機(jī)構(gòu)。這樣有利于規(guī)范產(chǎn)業(yè)政策工具的運(yùn)用,培養(yǎng)全社會(huì)的競爭文化和守法意識(shí),增強(qiáng)政府公信力,維護(hù)社會(huì)主義市場經(jīng)濟(jì)的健康運(yùn)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.
【學(xué)位授予單位】：對外經(jīng)濟(jì)貿(mào)易大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2014
【分類號(hào)】：D95;DD912.29
，
本文編號(hào)：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.
【學(xué)位授予單位】：對外經(jīng)濟(jì)貿(mào)易大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2014
【分類號(hào)】：D95;DD912.29
，
本文編號(hào)：2250281
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