补贴专向性审查的争议、发展与中国对策  

The Dispute and Development of Subsidy Specificity Test and China’s Countermeasures

作　　者：陈瑶 CHEN Yao

机构地区：[1]华东政法大学国际法学院

出　　处：《武大国际法评论》2021年第6期56-76,共21页Wuhan University International Law Review

基　　金：2020年度国家社科基金重大项目“中国特色自由贸易港国际法治研究”(项目批准号:20&ZD205)的阶段性成果之一。

摘　　要：在WTO框架下,成员对一项补贴采取措施的前提是该项补贴具有专向性。实践中,由于《补贴与反补贴措施协定》第2条在专向性认定许多方面的沉默和基于个案的认定方式,补贴专向性审查在WTO中运行不佳。美国关税法中的专向性审查被纳入《补贴与反补贴措施协定》的根本原因在于其对反补贴税的限制,而当前美国所主导的对专向性审查的新发展出于其政治考虑纳入了更为宽松的认定条件,将专向性审查塑造成为一项可有可无的补贴筛选规则。在当前WTO补贴规则改革背景下,中国应采取有效防守与主动进攻相结合的方式:以竞争中立理念指导产业政策的制定与实施;坚持个案认定,反对美国提出的补贴专向性审查中"特定企业"新标准;主张基于行为的规制,反对歧视国有企业的专向性审查;建立一套可反驳的推定,缓解调查当局的举证负担,但同时应限制调查当局享有的自由裁量权,为关键性概念的认定提出更具操作性的标准,以强化反补贴措施的可预期性。A subsidy shall be countervailed only if such a subsidy is specific.In practice,however,the specificity test has not worked well in the WTO due to the silence of Article 2 of the SCM Agreement on many aspects of the specificity determination and the case-by-case approach of determination.For political reasons,by incorporating more lenient determinations in US-led free trade agreements and US domestic laws,the specificity test has been shaped into a dispensable subsidy screening system,while its inclusion into the SCM Agreement for its restriction on the use of countervailing duties in the first place.In the context of the current reform of WTO subsidy rules,as far as China is concerned,a combination of effective defence and proactive attack should be adopted:guiding the formulation and implementation of industrial policy with the idea of competitive neutrality;insisting on case-by-case determinations and oppose the new standard for“certain enterprises”proposed by the United States;advocating behavior-based regulation and opposing the specificity test that discriminates against state-owned enterprises;establishing a set of rebuttable presumptions to ease the burden of proof on investigating authorities,but at the same time limiting the discretion enjoyed by investigating authorities and proposing more operational criteria for the identification of key concepts to enhance the predictability of countervailing measures.

关 键 词：补贴与反补贴 事实专向性 非商业援助 特定企业 国有企业 

分 类 号：D996.1[政治法律—经济法学]