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Part Ⅰ: Introduction1

Chapter 1: Preliminary Remarks3

Ⅰ.Subsidies in the International Context3

A.What is a Subsidy?5

B.Types of Subsidies8

1.Export Subsidies8

2.Domestic Subsidies9

C.Conclusion9

Ⅱ.Scope of this Work: Subsidies in the WTO and the EC10

Chapter 2: Economic Analysis of Subsidies13

Ⅰ.Introduction13

Ⅱ.Analysis of International Trade15

A.Theory of Comparative Advantage15

B.Theory of Proportion in Factors of Production17

C.Economies of Scale18

D.Imperfect Competition19

E.Conclusion20

Ⅲ.Effects of Subsidies on International Trade20

A.Effects of Export Subsidies22

B.Effects of Domestic Subsidies26

C.Conclusion27

Ⅳ.Effects of the Adoption of Countervailing Duties28

Ⅴ Concluding Remarks30

Part Ⅱ: The Regulation of Subsidies in the WTO31

Introduction to Part Ⅱ33

Chapter 3: Evolution of the Regulation of Subsidies in International Trade: From the GATT to the WTO35

Ⅰ.Introduction35

Ⅱ.Subsidies in the Havana Charter36

A.Negotiations for the Creation of the ITO: Origins of the GATT37

B.Regulation of Subsidies in the HC39

C.Conclusions41

Ⅲ.Subsidies in the GATT （1947—1979）41

A.The GATT of 194742

1.GATT Negotiations42

2.Obligations on Subsidies in the GATT43

3.The Definition of ‘Subsidy' in the GATT of 194746

4.Conclusion47

B.The Reforms of 195547

1.Export Subsidies47

a） Non-Primary Products48

b） Primary Products49

2.Revision Clause51

3.Conclusion51

C.The Situation after the Reform of 195552

1.Notification of Subsidies52

2.Export Subsidies for Primary Products53

3.Export Subsidies for Non-Primary Products57

4.The Detinition of Subsidy after the Reform of 195558

a） Price Support Systems59

b） Subsidies Financed by a Non-Governmental Levy60

c） Multiple Exchange Rates60

d） Purpose of the Subsidy61

e） Other Cases61

5.Conclusions62

Ⅳ.The Subsidies Code from the Tokyo Round of 197963

A.Negotiations During the Tokyo Round （1973—1979）63

B.The Tokyo Round Subsidies Code of 197965

1.Track Ⅰ—Countervailing Duties66

2.Track Ⅱ—Obligations on Subsidies68

C.The Situation after the Reform of 197974

1.The Definition of ‘Subsidy' after the Tokyo Round of 197974

2.Situation after the Tokyo Round76

3.Relevant Cases after the Reform of 197978

a） Export Subsidies for Primary Products79

b） Export Subsidies for Non-Primary Products81

c） Countervailing Duties82

D.Conclusions83

Ⅴ Negotiations in the Uruguay Round （1986—1994）84

A.The Negotiations on Subsidies in the Uruguay Round84

1.Definition of ‘Subsidy'85

a） The Position of the US86

b） The Position of the EC86

2.The ‘Traffic Light Approach'87

3.Other Important Issues: Trade Remedies,Sub-National Entities and Developing Countries88

4.Negotiations on Primary Products88

B.Proposals Made during the Negotiations89

1.The Cartland Draft89

2.The Dunkel Draft90

3.The De Zeeuw Draft92

C.Conclusions92

Ⅵ.The Final Result: Agreements on Subsidies in the WTO93

Ⅶ.Concluding Remarks95

Chapter 4: The Regulation of Subsidies in the Agreement on Subsidies and Countervailing Measures97

Ⅰ.Introduction97

Ⅱ.Definition of ‘Subsidy': Article 1 ASCM102

A.1 st Element: 1 st Alternative—Financial Contribution103

1.Government or Other Public Body103

2.Territoriality of the Measure106

3.Exhaustive List of Cases Considered to be Financial Contributions107

a） Direct Transfer of Funds or Potential Transfers of Funds or Liabilities108

b） Foregoing of Government Revenue That Would Be Collected Otherwise108

c） Provision of Goods or Services110

d） Payments to a Funding Mechanism or Entrustment/Direction of Private Bodies111

B.1st Element: 2nd Alternative—Income or Price Support119

C.2nd Element: Benefit123

D.Conclusions128

Ⅲ.Specificity of the Measure: Article 2 of the ASCM129

A.The Specificity Test132

1.‘De Jure' Specificity138

2.‘De Facto' Contingency138

B.Specificity of Regional Subsidies139

C.Specificity per se140

D.Burden of Proof of Specificity140

E.Conclusions141

Ⅳ.Prohibited Subsidies: Article 3 of the ASCM142

A.Export Subsidies143

1.‘De Jure' Contingency144

2.‘De Facto' Contingency145

B.The Illustrative List of Export Subsidies148

C.Domestic Content Subsidies154

D.Conclusions157

Ⅴ Non-Actionable Subsidies: Article 8 of the ASCM158

A.Assistance for R.D Activities159

B.Assistance to Disadvantaged Regions160

C.Assistance for Adapting Infrastructures to New Environmental Requirements161

D.Notification and the Opportunity for Appeal162

E.Other Non-Actionable Subsidies163

F.Conclusions165

Ⅵ.Actionable Subsidies: Articles 5 and 6 of the ASCM166

A.Injury to the Domestic Industry of Another Member166

B.Nullification or Impairment of GATT Benefits168

C.Serious Prejudice169

1.Cases Where a Serious Prejudice is Presumed （Subsidies Prohibited Prima Facie）170

2.Cases Where Serious Prejudice May Exist （Prohibited Subsidies）172

a） Displacement or Impediment of Imports172

b） Displacement or Impediment of Exports173

c） Price Undercutting by the Subsidized Product174

d） Increase in the World Market Share of theSubsidized Primary Product177

D.Conclusions177

Ⅶ.Remedies: Disputes and Countervailing Duties178

A.Multilateral Forum: Disputes before the DSB180

1.Procedures for the Different Categories of Subsidies180

a） Red Category: Prohibited Subsidies （Article 4 of the ASCM）181

b） Amber Category: Actionable Subsidies （Article 7 of the ASCM）182

c） Green Category: Non-Actionable Subsidies （Article 9 of the ASCM）183

2.Results of These Procedures: Withdrawal, Repayment or Removal of the Effects184

3.Conclusion187

B.National Forum: Countervailing Duties187

1.Substantive Requirements189

a） Existence of a Specific Subsidy189

b） Material Injury to a Domestic Industry191

c） Causal Link192

2.Procedural Requirements193

a） Initiation and Consultation193

b） Calculating the Amount of Countervailing Duties194

c） Duration and Termination of Countervailing Duties197

d） Possibilities for Judicial Review of the Countervailing Duties197

C.Conclusions198

Ⅷ.Notification and Monitoring of Subsidies: The Role of the SCM Committee199

Ⅸ.Exceptions for Developing Countries: Article 27 of the ASCM201

A.Prohibited Subsidies202

B.Actionable Subsidies202

C.Countervailing Duties204

D.Conclusions204

Ⅹ.Concluding Remarks204

Chapter 5: The Regulation of Subsidies in the Agreement on Agriculture207

Ⅰ.Introduction207

Ⅱ.The Agreement on Agriculture208

A.Commitments on Domestic Support209

1.Amber Basket210

2.Blue Basket213

3.Green Basket214

a） General Services215

b） Food Security Industry215

c） Domestic Food Aid215

d） Direct Payments to Producers215

4.Conclusion216

B.Commitments on Export Subsidies217

1.Export Subsidies for Products Subject to Reduction Commitments218

a） List of Export Subsidies （Article 9.1.of the AoA）219

1.Direct Subsidies219

2.Export Sales under the Domestic Market Price220

3.Export Payments for Agricultural Products221

4.Subsidies to Reduce Costs of Marketing or Transporting Exports224

5.Upstream Subsidies225

b） Other Export Subsidies （Article 10.1 of the AoA）225

c） Conclusion227

2.Export Subsidies for Products Not Subject to Reduction Commitments227

3.Conclusion230

C.Conclusions230

Ⅲ.The Application of the ASCM to Basic Agricultural Products: The Relationship Between the ASCM and the AoA231

A.Definition of ‘Subsidy' in the AoA231

B.Specificity in the AoA234

C.Conclusions235

Ⅳ.Trade Remedies: The Expiration of the Peace Clause235

A.The Peace Clause: Exceptions to Article 13 of the AoA236

1.Exceptions for Domestic Support237

2.Exceptions for Export Subsidies238

3.Expiration of the Peace Clause: Application of the ASCM239

B.Lack of Conformity of a Measure With the AoA: Withdrawal of the Subsidy （Article 4.7 of the ASCM）240

C.Conclusions242

Ⅴ.Concluding Remarks242

Chapter 6: Subsidies in the WTO: The ‘Foreign Sales Corporations' Case245

Ⅰ.Introduction245

Ⅱ.The DISC Case249

A.Group of Experts in DISC251

B.Group of Experts in the European Cases252

C.The Aftermath of These Cases254

D.Conclusions255

Ⅲ.The US—FSC Case256

A.The FSC—First Panel and AB Reports257

1.Measures in Relation to the FSCs257

2.First Panel Report260

a） EC Arguments261

b） US Arguments262

c） Conclusions of the Panel264

3.First AB Report268

4.Conclusions270

B.The ETI—Second Panel and AB Reports271

1.Measures Introduced by the ETI272

2.Second Panel Report273

3.Second AB Report276

4.Conclusions277

C.Developments of the FSC/ETI Case277

Ⅳ.Conclusions from the FSC Case280

Part Ⅲ: EC Rules on State Aids283

Introduction to Part Ⅲ285

Chapter 7: Evolution of the State Aid Rules in the EC287

Ⅰ.Introduction287

Ⅱ State Aids in the History of the EC291

A.Rules on State Aids: From ECSC to EEC292

B.Evolution of the Rules on State Aids After the EECTreaty293

C.Conclusions296

Ⅲ.State Aids Nowadays: Statistics296

Ⅳ.Concluding Remarks303

Chapter 8: The Notion of ‘State Aid': Article 87.1 of the EC Treaty305

Ⅰ.Introduction305

Ⅱ.The Notion of ‘Aid in Any Form'307

A.Examples of Advantages Granted by the State309

1.Participation in the Capital of Enterprises309

2.Loans310

3.Government Guarantees311

4.Sale of Public Goods311

5.Acquisition of Products or Services by the State312

6.Provision of Public Services by the State312

7.Conclusions314

B.Intention of the Government When Granting the Measure314

C.Indirect Advantages315

D.Form of the Aid315

Ⅲ.Granted by a Member State or through State Resources315

A.The Meaning of ‘State'316

B.Notion of ‘State Resources'318

C.Aids ‘Granted by the Member States or through State Resources'321

D.Conclusions327

Ⅳ.Distortion in Competition: Selectivity327

A.Distortion in Competition328

B.Selectivity of the Measure330

C.Conclusions336

Ⅴ Effect on Trade between Member States336

Ⅵ.Concluding Remarks338

Chapter 9: State Aids Compatible with the Common Market341

Ⅰ.Introduction341

Ⅱ.State Aids per se Compatible with the Common Market342

A.Aids with Social Character343

B.Aids to Repair Damages Caused by Natural Disasters344

C.Aids to Certain Regions of the Federal Republic of Germany344

D.Conclusions345

Ⅲ.State Aids Which May be Compatible with the Common Market346

A.Aids to Improve the Development of Certain Regions Where the Standards of Living are Abnormally Lowor Where There is a Serious Unemployment Situation350

B.Aids for Projects of Common European Interest or to Remedy a Serious Disturbance in the Economy of a Member State353

C.Aids to Promote the Development of Certain Activities or Regions: Sectoral, Horizontal and Regional Aids355

1.Regional Aids in Article 87.3（c） of the EC Treaty356

2.Sectoral Aids359

a） Transport361

b） Motor Vehicles363

c） Steel and Coal364

3.Horizontal Aids365

a） Aids for the Protection of the Environment365

b） Aids for R&D366

c） Aids for Employment and Training368

d） Aid for SMEs370

e） Aids for Rescuing and Restructuring Companies in Crisis371

D.Aids to Promote Culture374

E.Aids Authorized by the Council375

Ⅳ.Conclusions377

Chapter 10: Procedural Issues: Control of State Aids in the EC and Recovery of State Aids379

Ⅰ.Introduction379

Ⅱ.Procedures to Control State Aids in the EC380

A.State Aid Control by the European Commission380

1.Notified Aids381

2.Non-Notified （Unlawful） Aids387

3.Control of Existing Aids389

B.Appeals before the CFI/ECJ on State Aids390

1.Commission Decisions Subject to Appeal391

2.Types of Actions and Locus Standi391

3.Review by the ECJ394

4.Consequences of the Review396

C.Role of National Courts in the Control of State Aids396

D.Conclusions400

Ⅲ.Remedies—Recovery of State Aids401

A.Powers of the European Commission in State Aids:Suspension, Modification or Recovery401

B.Exceptions on the Recovery of State Aids403

C.Calculation of the Amount of Aid to be Recovered404

D.Subjects Obliged to Return the Aid406

E.Conclusions406

Ⅳ Concluding Remarks407

ChapterⅡ: Agricultural Subsidies in the EC409

Ⅰ.Introduction409

Ⅱ.State Aids to Agricultural Products410

Ⅲ.The CAP: Agricultural Subsidies in the EC413

A.The CAP in the EC Treaty: Objectives414

B.CMOs: Types of Subsidies for Agricultural Goods in the EC416

1.Price Support through Regulation of the Markets416

2.Income Support: Production Subsidies417

3.Storage Systems and Compensation for Remnants417

4.Common Mechanisms for the Stabilization of Imports and Exports418

5.CAP Funding: EAGGF418

C.The Reform of the CAP420

Ⅳ.Concluding Remarks423

Part Ⅳ: Comparative Analysis of the Regulation of Subsidies in the WTO and the EC: Consequences425

Introduction to Part Ⅳ427

Chapter 12: Comparison of the WTO and EC Rules on Subsidies and State Aids429

Ⅰ.Introduction429

Ⅱ.Systemic Approach to Disciplining Subsidies430

A.Analysis of National Measures in the WTO431

1.Framework of the ASCM432

2.Framework of the AoA433

B.Analysis of Government Measures in the EC435

C.Notification and Control of Subsidies and State Aids437

D.Conclusions439

Ⅲ.Definition of ‘Subsidy' versus Notion of ‘State Aid'440

A.Origin of the Measure: Government versus State440

B.Benefit versus Aid442

C.Nature of the Resources Used443

1.FSC versus Sloman Neptun446

2.Canada—Aircraft and US—Export Restraints versus PreussenElektra448

3.Price Fixing Systems449

D.Conclusions449

Ⅳ.Specificity versus Selectivity450

A.The Term ‘Certain'451

B.Undertakings and Industries/Productions452

C.Measures Granted by Sub-National Entities454

D.Conclusions455

Ⅴ.Prohibitions and Exceptions in the WTO and the EC455

A.Red Category—Prohibited Subsidies and Aids Incompatible with the Common Market456

1.Export Subsidies458

2.Import SubstitutionlDomestic Content Subsidies461

3.Conclusion463

B.Green Category—Permitted Subsidies and Aids Compatible with the Common Market463

1.Aid for R&D464

2.Aid for Underdeveloped Regions466

3.Aid for the Adaptation of Existing Facilities to New Environmental Requirements468

4.Conclusion469

C.Amber Category—Actionable Subsidies and AidsWhich May be Compatible with the Common Market469

1.The Adverse Effects Standard470

2.The Compensatory Justification Standard （Community Interest）472

3.Comparison of Both Standards473

D.Conclusions474

Ⅵ.Remedies: Withdrawal of the Subsidy versus Recovery of the Aid475

A.Remedies at the Multilateral Level: Withdrawal of Prohibited Subsidies versus Recovery of Unlawful Aid476

B.Coercive Means of Enforcement478

C.Remedies at the National Level: The Role of Individuals480

D.Conclusions481

Ⅶ.Reasons for the Differences between the WTO and the EC482

A.Scope and Systemic Approach483

B.Definitions of ‘Subsidy' and ‘State Aid'484

C.Prohibited and Permitted Government Measures486

D.Control and Remedies487

E.Conclusions489

Ⅷ.Concluding Remarks490

Chapter 13: Conformity of the EC State Aid Rules With the WTO: Suggestions493

Ⅰ.Introduction493

Ⅱ.Conformity of State Aids With the WTO Rules on Subsidies: Conflicts495

A.Scope of the Regulation: Subsidy versus State Aid495

B.Objectives of the Regulation: Adverse Effects on Trade versus Community Objectives496

C.Conclusion: Lack of Conformity499

Ⅲ.A Different Case: Conformity of Agricultural Subsidies in the EC with the AoA499

A.Domestic Support500

B.Export Subsidies501

C.Other Issues: Expiration of the Peace Clause502

D.The AoA in the EC Legal System502

E.Negotiations on Agriculture in the Doha Round502

F.Conclusions503

Ⅳ Consequences of the Lack of Conformity504

A.Consequences for the EC and the Member State505

1.Government Measure = Subsidy ≠ State Aid505

a） Multilateral Level—WTO506

（i） Distribution of Competences with Respect to the WTO Agreements506

（ii） The Dispute Settlement System in Practice: Representation on Behalf of the EC509

（iii） Retaliatory Actions: The Requirement of Uniformity in the Action511

（iv） Conclusions: Joint Responsibility of the EC and the Member State512

（v） Consequences for the EC and the Member State Derived from the ASCM513

b） Community Level—EC513

c） Conclusions515

2.Government Measure = Subsidy = Authorized State Aid516

a） Multilateral Level WTO516

b） Community Level—EC519

c） Conclusions520

B.Consequences for Individuals520

1.Government Measure = Subsidy = Authorized State Aid521

2.Government Measure = Subsidy State Aid526

3.Conclusion527

C.Conclusions527

Ⅴ.Suggestions: Ways to Improve the Conformity of the EC Rules on State Aids with the WTO528

A.Modification of the Notion of ‘State Aid'529

B.The Community Interest ‘Plus' Standard531

C.Indirect Effect of the Provisions of the ASCM532

D.Conclusions532

Ⅵ.Concluding Remarks533

Chapter 14: Final Remarks535

Ⅰ.Introduction535

Ⅱ.Main Conclusions of This Work536

Ⅲ.Subsidies in an International Context: Reflections and Room for Improvement548

Ⅳ.Conclusion: A Look into the Future555

Table of Cases559

Ⅰ.GATT/WTO559

A.GATT559

B.WTO560

Ⅱ.EC563

A.ECJ563

B.CFI567

Bibliography569

Index581