WTO补贴规制类型问题新论

A New Research on the Types of Subsidy Regulation under WTO

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归属院系:

国际法学院

作者:

王诺雯

导师:

徐忆斌

导师单位:

国际法学院

学位:

硕士

语种:

中文

关键词:

可持续投资, 投资补贴, 世界贸易组织改革, SCM协定, 补贴规制类型

摘要:

补贴是一国促进产业发展、干预市场经济和实现国家目标的重要政策性工具。长期以来,补贴的使用属于国家主权范畴,但经济全球化趋势下,各国交往不断紧密,一国维持补贴举措不但可能带来市场扭曲效应的溢出,而且还会破坏国际社会的公平竞争秩序。为督促成员合理使用补贴与反补贴措施,补贴与反补贴措施协定应运而生。其将补贴划分为不同类型,采取分类管理的规制策略,对多边贸易体制的维护发挥积极作用。随着国际形势发展,近年来单边补贴规制措施不断扩张,WTO原有补贴规制类型也逐渐暴露出问题,成为研究焦点。以解决现有SCM协定中补贴规制类型的缺陷为出发点,本文试图在提议恢复不可诉补贴制度的基础上,将符合国际发展趋势,取得广泛共识的可持续投资补贴类别引入原有不可诉补贴规制类型,构建一套具有普遍性、灵活性和发展性的可持续投资特征体系,并结合这一体系为中国推动WTO补贴规制类型改革提供一些思考与建议。除引言和结语外,正文由四个部分组成:第一部分根据WTO原有补贴规制类型,梳理其存在的主要问题并探析问题由来。在SCM协定的长期适用和当前单边补贴规制盛行背景下,WTO补贴规制类型暴露出禁止性、可诉补贴规制类型的扩张问题和不可诉补贴规制类型的恢复与更新两大问题。这一问题归根到底是SCM协定制定之初成员的相互妥协与现今发达国家成员与发展中国家成员力量对比发生变化,发达国家成员既得利益遭受冲击共同导致。第二部分在分析WTO原有补贴规制类型问题及成因的基础上,提出WTO补贴规制类型问题解决的新思路。明确解决WTO补贴规制类型问题的关键在于处理补贴规则的失衡与发展中国家成员的利益关切。通过恢复不可诉补贴规制类型并新增可持续投资补贴规制类型这一路径,能够在恢复补贴规制平衡性的同时,为发展中国家成员争取更有效豁免空间,并借由提供谈判空间与可行方案的方式解决WTO补贴规制类型问题。第三部分基于新的思路提出具体化解决WTO补贴规制类型问题的可行路径。着眼于如何通过可持续投资补贴概念更新并完善现行补贴规制类型体系,提出在恢复不可诉补贴规制类型的同时增加可持续投资补贴规制类型,确定普遍性与灵活性兼具的可持续投资补贴规制类型指示清单,基于可持续投资特点引入可持续投资补贴规制类型更新机制的三条路径,以促使WTO补贴规则体现发展需要,保障投资的合理流动。第四部分进一步探讨WTO补贴规制类型改革的中国方案。中国在参与推动WTO补贴规制类型改革过程中,国内层面,应当优化补贴设计发放和金融支持工具,确保可持续投资补贴实施的WTO合规性;区域层面,建议通过区域平台不断凝聚构建可持续投资补贴类别共识;多边层面,应积极参与WTO补贴改革议题改革谈判,以多边渠道推动不可诉补贴恢复及可持续投资补贴规制类型纳入。

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学科:

国际法学

提交日期

2025-07-01

引用参考

王诺雯. WTO补贴规制类型问题新论[D]. 西南政法大学,2025.

全文附件授权许可

知识共享许可协议-署名

  • dc.title
  • WTO补贴规制类型问题新论
  • dc.title
  • A New Research on the Types of Subsidy Regulation under WTO
  • dc.contributor.schoolno
  • 20220301090971
  • dc.contributor.author
  • 王诺雯
  • dc.contributor.affiliation
  • 国际法学院
  • dc.contributor.degree
  • 硕士
  • dc.contributor.childdegree
  • 法学硕士学位
  • dc.contributor.degreeConferringInstitution
  • 西南政法大学
  • dc.identifier.year
  • 2025
  • dc.contributor.direction
  • 国际经济法学
  • dc.contributor.advisor
  • 徐忆斌
  • dc.contributor.advisorAffiliation
  • 国际法学院
  • dc.language.iso
  • 中文
  • dc.subject
  • 可持续投资,投资补贴,世界贸易组织改革,SCM协定,补贴规制类型
  • dc.subject
  • sustainable FDI; investment subsidy; WTO reform; SCM Agreement; types of subsidy
  • dc.description.abstract
  • 补贴是一国促进产业发展、干预市场经济和实现国家目标的重要政策性工具。长期以来,补贴的使用属于国家主权范畴,但经济全球化趋势下,各国交往不断紧密,一国维持补贴举措不但可能带来市场扭曲效应的溢出,而且还会破坏国际社会的公平竞争秩序。为督促成员合理使用补贴与反补贴措施,补贴与反补贴措施协定应运而生。其将补贴划分为不同类型,采取分类管理的规制策略,对多边贸易体制的维护发挥积极作用。随着国际形势发展,近年来单边补贴规制措施不断扩张,WTO原有补贴规制类型也逐渐暴露出问题,成为研究焦点。以解决现有SCM协定中补贴规制类型的缺陷为出发点,本文试图在提议恢复不可诉补贴制度的基础上,将符合国际发展趋势,取得广泛共识的可持续投资补贴类别引入原有不可诉补贴规制类型,构建一套具有普遍性、灵活性和发展性的可持续投资特征体系,并结合这一体系为中国推动WTO补贴规制类型改革提供一些思考与建议。除引言和结语外,正文由四个部分组成:第一部分根据WTO原有补贴规制类型,梳理其存在的主要问题并探析问题由来。在SCM协定的长期适用和当前单边补贴规制盛行背景下,WTO补贴规制类型暴露出禁止性、可诉补贴规制类型的扩张问题和不可诉补贴规制类型的恢复与更新两大问题。这一问题归根到底是SCM协定制定之初成员的相互妥协与现今发达国家成员与发展中国家成员力量对比发生变化,发达国家成员既得利益遭受冲击共同导致。第二部分在分析WTO原有补贴规制类型问题及成因的基础上,提出WTO补贴规制类型问题解决的新思路。明确解决WTO补贴规制类型问题的关键在于处理补贴规则的失衡与发展中国家成员的利益关切。通过恢复不可诉补贴规制类型并新增可持续投资补贴规制类型这一路径,能够在恢复补贴规制平衡性的同时,为发展中国家成员争取更有效豁免空间,并借由提供谈判空间与可行方案的方式解决WTO补贴规制类型问题。第三部分基于新的思路提出具体化解决WTO补贴规制类型问题的可行路径。着眼于如何通过可持续投资补贴概念更新并完善现行补贴规制类型体系,提出在恢复不可诉补贴规制类型的同时增加可持续投资补贴规制类型,确定普遍性与灵活性兼具的可持续投资补贴规制类型指示清单,基于可持续投资特点引入可持续投资补贴规制类型更新机制的三条路径,以促使WTO补贴规则体现发展需要,保障投资的合理流动。第四部分进一步探讨WTO补贴规制类型改革的中国方案。中国在参与推动WTO补贴规制类型改革过程中,国内层面,应当优化补贴设计发放和金融支持工具,确保可持续投资补贴实施的WTO合规性;区域层面,建议通过区域平台不断凝聚构建可持续投资补贴类别共识;多边层面,应积极参与WTO补贴改革议题改革谈判,以多边渠道推动不可诉补贴恢复及可持续投资补贴规制类型纳入。
  • dc.description.abstract
  • Subsidy is a significant policy instrument for a nation to promote industrial development, intervene in the market economy, and achieve national objectives. For a long time, the use of subsidy has fallen within the realm of national sovereignty. However, with the trend of economic globalization and the increasing interconnection of nations, a country's maintenance of subsidy measures may not only lead to the spillover of market distortion effects but also disrupt the fair competition order of the international community. To encourage members to use subsidy and countervailing measures reasonably, the SCM Agreement emerged alongside the WTO system. It categorizes subsidy into different types and adopts a regulatory strategy of classified management, playing a positive role in maintaining the multilateral trading system. With the evolution of the international situation, unilateral countervailing measures have been expanding in recent years, and the original subsidy regulatory types of the WTO have gradually revealed deficiencies.Starting from addressing the defects in the existing subsidy regulatory types of the SCM Agreement, this paper attempts to propose the reinstatement of the non-actionable subsidy system and to introduce sustainable investment subsidy category that align with international trends and have garnered broad consensus into the original non-actionable subsidy regulatory types. This would establish a set of universal, flexible, and developmental sustainable investment characteristic system, and provide some reflections and recommendations for China to propel WTO subsidy regulatory category reform in conjunction with this system.Excluding the introduction and conclusion, the main body of this essay is composed of four parts:The first part rooted in the original WTO subsidy regulatory types, organizes the main existing problems and explores their origins. Under the long-term application of the SCM Agreement and the current prevalence of unilateral countervailing measures, the WTO subsidy regulatory types have exposed two major issues: the expansion of prohibited and actionable subsidy regulatory types, and the reinstatement and updating of non-actionable subsidy regulatory types. These issues ultimately stem from the compromises made by members at the inception of the SCM Agreement and the shifting power dynamics between developed and developing country members, with the vested interests of developed country members being impacted.The second part based on the analysis of the problems and causes of the original WTO subsidy regulatory types, proposes a new solution to the issues of WTO subsidy regulatory types. It clarifies that the key to resolving the issues of WTO subsidy regulatory types lies in addressing the imbalance of subsidy rules and the interest concerns of developing country members. By reinstating non-actionable subsidy regulatory types and adding sustainable investment subsidy regulatory types, this approach can restore the balance of subsidy regulations while securing more effective exemption space for developing country members, and resolve the issues of WTO subsidy regulatory types by providing negotiation space and feasible solutions.The third part, under the new approach, specifies feasible paths to resolve the issues of WTO subsidy regulatory type. This section focuses on how to update and refine the current subsidy regulatory type system through the concept of sustainable investment subsidies, proposing three paths: reinstating non-actionable subsidy regulatory types while adding sustainable investment subsidy regulatory types, establishing an indicative list of sustainable investment subsidy regulatory types that embodies both universality and flexibility, and introducing an update mechanism for sustainable investment subsidy characteristics based on the features of sustainable investment. This would prompt WTO subsidy rules to reflect developmental needs and ensure the rational flow of investment.The fourth part further exploration of China’s approach to WTO subsidy regulatory type reform. In the process of participating in and promoting WTO subsidy regulatory type reform, China should adopt a multi-tiered strategy. At the domestic level, China should optimize subsidy design, distribution, and financial support tools to ensure the WTO compliance of sustainable investment subsidy implementation; at the regional level, it is recommended that China continuously build consensus on constructing sustainable investment subsidy categories through regional platforms; at the multilateral level, China should actively monitor and participate in WTO subsidy reform, and promote the reinstatement of non-actionable subsidies and the inclusion of sustainable investment subsidy regulatory types through multilateral channels.
  • dc.date.issued
  • 2025-05-29
  • dc.date.oralDefense
  • 2025-05-25
  • dc.relation.citedreferences
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