WTO體制內(nèi)中國稀土出口管制措施的合規(guī)性研究
發(fā)布時間：2018-07-31 06:25
【摘要】：稀土作為一種重要的工業(yè)原材料,在國家安全中的地位日益突出。近年來,美國、歐盟等國一直指責(zé)中國所實施的稀土出口管制措施違反國際貿(mào)易規(guī)則,并不斷威脅在WTO體制內(nèi)提起爭端解決,以迫使中國放松稀土出口管制,增加稀土出口量。 本文以中國稀土出口管制措施在WTO法律框架內(nèi)的合規(guī)性問題為研究對象,以比較GATT第二十條、第二十一條條文作為研究出發(fā)點,從WTO規(guī)則解釋與成員方實踐相結(jié)合的角度,著重研讀第二十一條“安全例外”條款條文含義、援用條件以及相關(guān)案例,總結(jié)出援用“安全例外”條款的合規(guī)性判斷標(biāo)準(zhǔn)以及WTO爭端解決機(jī)構(gòu)的態(tài)度。并結(jié)合中國入世相關(guān)法律文件以及“中國原材料出口”案的爭端解決過程,梳理出中國當(dāng)前稀土出口管制措施的法律邏輯,指出此類措施所面臨的WTO爭端風(fēng)險。在深入研究WTO成員方——美國、歐盟的軍民兩用物項出口管制體系,并分析其與WTO規(guī)則相符性的基礎(chǔ)之上,提煉出可供中國學(xué)習(xí)借鑒的做法。最后,本文對中國在WTO體制內(nèi)實施稀土出口管制措施的合規(guī)性進(jìn)行探索,并提出相應(yīng)的建議。 第一章簡述稀土的分類及用途,分析了中國當(dāng)前稀土出口管制措施的策略,概述有關(guān)稀土出口管制的法律條文,并通過對“中國原材料出口”案的簡要分析,指出中國當(dāng)前稀土出口管制措施所面臨的WTO爭端風(fēng)險。 第二章首先從立法目的和宗旨角度對GATT第二十一條“安全例外”條款進(jìn)行解讀,分析了其與GATT第二十條“一般例外”條款的區(qū)別。在此基礎(chǔ)上,深入研究了第二十一條(a)、(b)兩款。最后評價了不同時期的成員方實踐。 第三章通過對美國和歐盟的兩用物項出口管制體系的研究,評析了其中對“安全例外”條款的援用,并簡述了兩者對華技術(shù)出口管制的現(xiàn)狀,指出中國稀土可以學(xué)習(xí)借鑒之處。 第四章闡述中國援用GATT第二十一條(a)、(b)兩款的構(gòu)想,并提出了完善相應(yīng)稀土出口管制體系的立法建議。
[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.
【學(xué)位授予單位】：復(fù)旦大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2012
【分類號】：D996.1
本文編號：2154715
[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.
【學(xué)位授予單位】：復(fù)旦大學(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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