本文關(guān)鍵詞： 原材料出口限制案 原材料 出口限制 WTO　出處：《浙江工商大學(xué)》2012年碩士論文　論文類型：學(xué)位論文

【摘要】：2009年6月23日,美國和歐盟就中國限制9種工業(yè)原料出口向世貿(mào)組織起訴。兩個(gè)月之后,墨西哥提出類似請求。美國、歐盟、墨西哥指控中國對出口進(jìn)行數(shù)量限制,對出口征收額外出口稅,設(shè)定最低出口價(jià)格體系和合同審查制度、沒有按規(guī)則公布特定條件和措施。專家組在對案件進(jìn)行審理后,對中國針對9項(xiàng)原材料采取的出口關(guān)稅、出口配額、出口許口證、最低出口價(jià)格等作出了初裁決定。判定中國的部分出口限制措施與GATT1994的相關(guān)規(guī)則以及《中國加入議定書》的相關(guān)承諾不符。 “美國、歐盟、墨西哥訴中國原材料出口限制措施案”發(fā)生在經(jīng)濟(jì)全球化、貿(mào)易全球化和國際金融危機(jī)的歷史背景下,并且成為奧巴馬總統(tǒng)上臺以后,美中之間的第一例自然資源出口爭端案。因此引起了國際社會對原材料出口限制制度的熱議。本文試圖從國際法與國內(nèi)法的雙重視角對原材料出口限制制度進(jìn)行研究。 本文除了引言和結(jié)論以外主要由以下幾個(gè)部分組成： 第一部分,原材料的概念及在國際貿(mào)易中的地位。美歐墨的起訴文件、中國的書面陳述以及專家組的報(bào)告中,將9項(xiàng)原材料稱為"raw material"和‘'natural resource"。該部分對這兩個(gè)概念的范圍進(jìn)行了區(qū)分,并通過介紹原材料的特點(diǎn)——用途廣泛性、不可再生性、環(huán)境相關(guān)性、分布區(qū)域性和價(jià)格波動(dòng)性,來說明原材料本身的重要性。原材料的重要不僅僅體現(xiàn)在它的獨(dú)特性上,其在國際貿(mào)易中的地位也是舉足輕重的,正因?yàn)槿绱?不論是國內(nèi)法還是國際法都對其進(jìn)行保護(hù)。原材料的保護(hù)已經(jīng)被納入國家自然資源主權(quán)和環(huán)境主權(quán)的范圍。 第二部分,與限制原材料有關(guān)的WTO規(guī)則。一國的出口限制權(quán)利要受到國際規(guī)則的約束。按照WTO規(guī)則,數(shù)量限制措施是被普遍禁止的,但是,在例外情形下,成員方的出口限制措施也是被允許的。中國在《中國加入議定書》中,也作出了有關(guān)出口限制的承諾。該部分在分析了原材料的重要地位及限制出口的一般規(guī)則的基礎(chǔ)上,進(jìn)一步詮釋了GATT第20條(b)項(xiàng)和(g)項(xiàng)的適用條件以及WTO成員方實(shí)施出口限制的具體措施。 第三部分,部分國家原材料出口限制的法律與實(shí)踐。我們在了解WTO關(guān)于出口限制的規(guī)定后,有必要認(rèn)識其他國家的相關(guān)法律與實(shí)踐。因此,本部分詳細(xì)介紹了歐美國家的原材料戰(zhàn)略和從出口限制措施中獲益的部分發(fā)展中國家。歐盟出臺《原材料倡議》,積極部署從發(fā)展中國家獲取廉價(jià)原材料,并確定對其經(jīng)濟(jì)發(fā)展至關(guān)重要的戰(zhàn)略性原材料名單。歐盟的原材料戰(zhàn)略還包括其緊鑼密鼓地與一系列國家和組織進(jìn)行自由貿(mào)易協(xié)定的談判,要求發(fā)展中國家開放市場。美國雖然沒有戰(zhàn)略性原材料名單,但也通過了一系列法案來振興稀土和重要原材料。與此相反,一些發(fā)展中國家,為了發(fā)展國內(nèi)產(chǎn)業(yè)或者保護(hù)資源環(huán)境,采取出口稅和出口禁令等方式限制出口。本文列舉了阿根廷、肯尼亞和蒙古三個(gè)國家,說明出口限制措施對一些發(fā)展中國家的促進(jìn)作用。 第四部分,我國現(xiàn)有的有關(guān)原材料出口限制的法律與實(shí)踐。該部分從我國對原材料出口采取的出口許可證、出口關(guān)稅等具體措施入手,根據(jù)專家組裁定,分別將其與WTO規(guī)則和國內(nèi)法進(jìn)行對比。 在中美歐原材料出口限制案中,中國雖然在初裁時(shí)被認(rèn)定為部分措施與GATT1994以及《中國加入議定書》的承諾不符,但是中國仍然應(yīng)該據(jù)理力爭,展示其維護(hù)國家主權(quán)的堅(jiān)定立場。另一方面,中國需要從該案件中吸取經(jīng)驗(yàn)教訓(xùn),調(diào)整我國的資源發(fā)展戰(zhàn)略,完善我國的資源法律體系。
[Abstract]:In June 23, 2009, the United States and the European Union Chinese Limited 9 industrial raw materials exports to the WTO sued. Two months later, Mexico made a similar request. The United States, the European Union, Mexico accused China number of restrictions on exports, the imposition of additional export tax on export, set the minimum export price system and contract review system, did not disclose the specific conditions and measures according to the a group of experts in the rules. The case for trial, the export quota of export tariffs, Chinese take on 9 of raw materials, export license, the minimum export price has made a preliminary decision. The related rules of some export measures to limit the GATT1994 and Chinese and Chinese < commitments related to the protocol of accession > inconsistent.
"The United States, the European Union, Mexico v. Chinese raw materials export restrictions case occurred in the economic globalization, the globalization of trade and international financial crisis background, and become president Obama came to power, the first case of exports of natural resources dispute between the United States and China. This caused the international community to export restrictions on raw materials of the hot system. To study the export restrictions on raw materials system this paper attempts from the dual perspective of domestic and international law.
In addition to the introduction and conclusion, this paper mainly consists of the following parts:
The first part, the concept of raw materials and the position in the international trade. The United States and Europe ink prosecution documents, China written statements and the report of the expert group, the 9 items of raw materials is called "raw material" and "'natural resource". The part of these two concepts are differentiated, and through the introduction of characteristics of raw materials, widely used, non renewable, environment, regional distribution and price volatility, to illustrate the importance of the raw material itself. The important raw materials is not only reflected in its uniqueness, its position in international trade is very important, because of this, whether it is domestic law or international law for their protection. The protection of raw materials have been included in the scope of state sovereignty of natural resources and environmental sovereignty.
The second part, with restrictions on raw materials related to WTO rules. The right to export restrictions by international rules. According to the rules of WTO, the number of restrictions is generally prohibited, but in exceptional circumstances, export restrictions members are permitted. China in < > Chinese protocol of accession also, make a promise about export restrictions. This part analyzes the general rules of the important position and the restrictions on the export of raw materials on the further interpretation of the GATT twentieth (b) and (g) the applicable conditions and specific measures of WTO member Fang Shishi export restrictions.
The third part, the law and practice of export restrictions on raw materials in some countries. We understand the WTO regulations on export restrictions, it is necessary to understand the relevant laws and practices of other countries. Therefore, this part introduces the strategic raw materials in Europe and the United States and limiting measures in part of the benefit of developing countries from the introduction of the EU exports. "Raw materials initiative >, actively deploying cheap raw materials obtained from developing countries, and to determine the strategic raw materials is of great importance to the list. The raw materials include the strategy of EU negotiations on a free trade agreement with the wildly beating gongs and drums in a number of countries and organizations, open up markets in developing countries. Although the United States has no strategic raw materials list, but through a series of bills to the revitalization of rare and important raw materials. On the contrary, some developing countries, in order to develop the domestic industry or They protect the resources and environment, take export tax and export ban to restrict exports. This paper lists three countries, namely Argentina, Kenya and Mongolia, to illustrate the promoting effect of export restrictions on some developing countries.
The fourth part is about the existing laws and practices on the export restrictions of raw materials in China. This part starts from the specific measures such as export license and export tariff adopted by our country on the basis of the export of raw materials, and compares them with the WTO rules and domestic laws according to the expert panel's ruling.
In the United States and Europe export restrictions on raw materials in the case, although in the preliminary China was identified as part of measures with GATT1994 and < Chinese > protocol of accession commitments inconsistent, but China should still argue, demonstrate its firm stance in safeguarding national sovereignty. On the other hand, Chinese need to draw lessons from this case, adjustment resource development strategy of our country, improve China's legal system.

【學(xué)位授予單位】：浙江工商大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2012
【分類號】：D996.1

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