EU의 ‘초국경 보조금’ 규제의 국제법적 타당성 : 영토적 범위와 귀속의 문제를 중심으로 = Analysis of the Legality of EU’s Countervailing Measures on ‘Transnational Subsidies’ : Focused on Territorial Scope and Attribution

다국어 초록 (Multilingual Abstract)

While China actively lays out overseas expansion strategies based on its ‘Belt and Road Initiative,’ the EU has recently established the practice of imposing countervailing duties on so-called ‘transnational subsidies’ provided by China to companies in a third country. The offsetting measure appears inevitable for the EU, which has struggled to regulate China's bypassed subsidization through the exporting country. It is, however, questionable whether such measures t aken i n circumstances in which t he s ubsidizing country a nd the exporting one are not identical are legitimate under international law.
In this regard, this paper focuses on two issues—the first concerns whether transnational subsidies are a viable or permissible concept under the WTO legal regime. The authors examine the text and context of the WTO Agreement on Subsidies and Countervailing Measures (ASCM) and the WTO jurisprudence to confirm whether there is any territorial limit in each component of the countervailable subsidy. We find that the ASCM is based on the premise that the country that provides a countervailable subsidy is normally the exporting country; therefore, the financial contribution conferred by a country other than the exporting country is not subject to countervailing measures against the exporting country.
Second, the EU found that China’s provision of subsidies was ‘attributed’ to exporting countries by referring to Article 11 of the Draft Articles on Responsibility of States for Internationally Wrongful Acts (ARSIWA). In this respect, the authors examine whether this finding is legitimate in light of the text and commentaries of the ARSIWA and related international court rulings. In order to fulfill the criteria under Article 11 of the ARSIWA, clear evidence must be presented to demonstrate any intention of ‘acknowledgment and adoption.’ Furthermore, the entire process from acknowledgment to adoption must also be confirmed clearly through the state’s actions.
In today’s international trade environment, where the U.S.-China strategic competition intensifies, states increasingly intervenes in the supply chain, attempting to engage in overseas investment more directly and indirectly. The problem is that a practice of countervailing transnational subsidies might be able to tackle the foreign direct investment irrelevant to the subsidy regulation under the WTO legal regime. There is a need to consider a fundamental approach to the necessity, possibility, and specific normative directions of disciplines on transnational subsidies.

국문 초록 (Abstract)

중국이 일대일로 계획에 기초하여 적극적인 해외 진출 사업을 전개하고 있는 가운데 최근 EU는 중국이 제3국 진출 기업에 공여한 소위 ‘초국경 보조금’에 대해 상계관세를 부과하는 관행을 확립해 가고 있다. EU로서는 제3국을 우회하여 지급되는 새로운 형태의 보조금에 대처하기 위해 상계조치가 불가피하다는 입장이나 이 같은 조치가 현존 국제법 상 타당한 것인지에 대해서는 별도의 분석이 필요하다.
이와 관련하여 본 고에서는 두 가지 쟁점에 주목하여 논의를 진행한다. 첫째, 현행 WTO 보조금 협정상 초국경 보조금이 허용되는지와 관련하여, WTO 보조금 협정의 문언 및 문맥, 관련 WTO 판정례 등을 검토하고, 보조금 각 구성요소의 영토적 범위를 확인한다. 이로써 WTO 보조금 협정은 보조금 공여국과 수출국이 동일한 경우를 상정하며, 수출국의 역외에 존재하는 국가가 수출국 영토 내의 기업에 공여하는 초국경 보조금까지 규율 대상으로 하는지에 대한 답이 회의적임을 확인한다. 둘째, EU는 국가책임법 제11조를 원용하여 중국의 보조금 공여 행위를 수출국에 ‘귀속’된다고 판단하였는데, 이 같은 판단이 타당한 것이었는지 국가책임법 제11조의 문언 및 주석의 내용, 국제재판소 판결 등에 비추어 검토한다. 이를 통해 국가책임법 제11조를 원용하여 타국의 행위를 귀속시키려면 ‘승인 및 채택’의 의사에 대한 추론을 정당하게 하는 분명한 근거가 제시되어야 하며, 승인에서 채택에 이르는 과정이 국가의 행위를 통해 명확히 확인될 수 있어야 할 것임을 확인한다.
미-중 전략경쟁이 심화되고 있는 오늘날 국제통상환경에서 주요국들은 공급망 재편 및 해외투자 문제에 대한 개입의 강도를 높여 가고 있다. 이러한 상황에서 초국경 보조금 규제는 자칫 국제사회에 보편화된 해외투자를 규제의 대상으로 전락시킬 소지가 있음을 주지할 필요가 있다. 초국경 보조금 규율의 필요성과 규율 가능성, 그리고 구체적인 규범 방향에 대해 보다 근본적인 고민이 필요한 것으로 보인다.

참고문헌 (Reference)

• 1 정누리, "제3국 우회 역외보조금에 대한 규제 동향에 관한 소고" 법학연구소 29 (29): 219-248, 2021
• 2 정인섭, "新국제법 강의-이론과 사례" 박영사 2014
• 3 "Yearbook of the International Law Commission, 1988, Vol.II, part I" 1988
• 4 이환규, "WTO 보조금협정상 보조금의 정의 - 미국 및 EU 상계관세법상 정의규정과 비교분석 -" 미국헌법학회 21 (21): 153-200, 2010
• 5 "United States Diplomatic and Consular Staffin Tehran, Judgment, I.C.J. Reports 1980"
• 6 "UN Security Council Resolution 138, S/RES/138"
• 7 Crawford, James, "The Law of International Responsibility" Oxford University Press 2010
• 8 Crawford, James, "The International Law Commission’s Articles on State Responsibility: Introduction, Text and Commentaries" Cambridge University Press 2002
• 9 Evenett, Simon J., "The European Union’s New Move Against China: Countervailing Chinese Outward Foreign Direct Investment" 15 (15): 2020
• 10 EU General Court, "T-480/20; T-540/20 Hengshi Egypt Fiberglass Fabrics & Jushi Egypt for Fiberglass Industry v Commission; Jushi Egypt for Fiberglass Industry v Commission (22 March, 2022)"
• 11 Dumberry, Patrick, "State Succession to International Responsibility" Martinus NijhoffPublishers 2007
• 12 Crawford, James, "State Responsibility : The General Part" Cambridge University Press 2013
• 13 GATT, "Second Report of the Group of Experts on Anti-Dumping and Countervailing Duties" 1960
• 14 GATT, "Report of Group of Experts on Anti-Dumping and Countervailing Duties" 1959
• 15 European Commission, "Report from the Commission to the European Parliament and the Council “39th Annual Report from the Commission to the European Parliament and the Council on the EU’s Anti-Dumping, Anti-Subsidy and Safeguard activities and the Use of Trade Defence Instruments by Third Countries targeting the EU in 2020" 2021
• 16 European Union, "Regulation (EU) 2016/1037 of the European Parliament and of the Council of 8 June 2016 on protection against subsidised imports from countries not members of the European Union" L176 : 2016
• 17 "Panel Report on United States – Tax Treatment for “Foreign Sales Corporations” - Recourse to Article 21.5 of the DSU by the European Communities" 2002
• 18 "Panel Report on United States – Measures Treating Exports Restraints as Subsidies" 2001
• 19 "Panel Report on United States – Definitive Anti-Dumping and Countervailing Duties on Certain Products from China" 2011
• 20 "Panel Report on India – Measures Concerning Sugar and Sugarcane" 2021
• 21 The White House, "National Security Strategy of the United States of America"
• 22 GATT, "Meeting of 6 November 1990, Note by the Secretariat, Negotiating Group on Subsidies and Countervailing Measures" 1990
• 23 "Lighthouses Arbitration between France and Greece (Claims Nos. 11 & 4)"
• 24 "Joint Statement of the Trilateral Meeting of the Trade Ministers of Japan, the United States and the European Union, Washington D.C., 14 January, 2020"
• 25 Crochet, Victor, "China’s ‘Going Global’ Policy: Transnational Production Subsidies under the WTO SCM Agreement" 23 (23): 2020
• 26 European Commission, "COMMISSION IMPLEMENTING REGULATION (EU) 2022/433 of 15 March 2022 imposing definitive countervailing duties on imports of stainless steel cold-rolled flat products originating in India and Indonesia and amending Implementing Regulation (EU) 2021/2012 imposing a definitive anti-dumping duty and definitively collecting the provisional duty imposed on imports of stainless steel cold-rolled flat products originating in India and Indonesia" L88 : 2022
• 27 European Commission, "COMMISSION IMPLEMENTING REGULATION (EU) 2020/776 of 12 June 2020 imposing definitive countervailing duties on imports of certain woven and/or stitched glass fibre fabrics originating in the People's Republic of China and Egypt and amending Commission Implementing Regulation (EU) 2020/492 imposing definitive anti-dumping duties on imports of certain woven and/or stitched glass fibre fabrics originating in the People's Republic of China and Egypt" L189 : 2020
• 28 "Application of the Convention on the Prevention and Punishment of the Crime of Genocide (Bosnia and Herzegovina v. Serbia and Montenegro), Judgment" I.C.J 2007
• 29 Horlick, Gary N, "An Annotated Explanation of Articles 1 and 2 of the WTO Agreement on Subsidies and Countervailing Measures" 8 (8): 2013
• 30 "AB Report on United States – Measures Affecting Trade in Large Civil Aircraft (Second Complaint)" 2012
• 31 "AB Report on United States – Definitive Anti-Dumping and Countervailing Duties on Certain Products from China" 2011
• 32 "AB Report on United States – Anti-Dumping and Countervailing Measures on Large Residential Washers from Korea" 2016
• 33 "AB Report on Brazil – Export Financing Programme for Aircraft" 1999