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題名 關鍵礦物供應鏈與電動車電池產業之政策研究：以WTO適法性為核心
Policy Research on Critical Mineral Supply Chains and the Electric Vehicle Battery Industry: Focusing on Legality Under WTO Law作者 戴維萱
Tai, Wei-Hsuan貢獻者 楊培侃
Yang, Pei-Kan
戴維萱
Tai, Wei-Hsuan關鍵詞 關鍵礦物
電動車電池
供應鏈危機
Critical Mineral
EV battery
Supply Chain Crisis日期 2024 上傳時間 4-九月-2024 15:29:25 (UTC+8) 摘要 隨著全球能源轉型之趨勢，鎳、鈷、鋰與稀土元素等關鍵礦物的重要性日益增加，尤其在電動車製造領域中，此些礦物是電池中不可或缺的原料。然而，目前關鍵礦物的生產與加工高度集中於少數開發中國家，引發資源分布不均與地緣政治風險等問題。各國因此制定相關貿易及產業政策，以防止供應鏈斷裂對經濟、能源及國家安全造成的危害。 本研究聚焦於此些政策於世界貿易組織（WTO）下之適法性問題。透過分析礦物資源國與礦物需求國對關鍵礦物的政策，評估其是否符合《關稅暨貿易總協定（GATT）》及其他WTO協定的規範，並探討適用例外條款的可能性。在礦物資源國方面，本文認為中國與印尼對礦物的出口限制措施雖構成GATT規範之違反，依然得持續施行，故可能增加供應鏈斷裂的風險。在礦物需求國方面，美國對電動車消費者與相關產業的稅賦減免措施，則可能違反GATT國民待遇原則及《補貼暨平衡稅協定（SCM）》。 在此背景下，本文認為現行貿易規則存在不合理之處，故無法有效應對當前急迫的貿易問題。因此，本文進一步討論因應關鍵礦物供應鏈危機的國際經貿新趨勢，探討中國為主與西方國家在WTO架構之外發展的新國際合作模式，以及美國在地緣政治背景下發展的區域協定與架構，如何成為解決供應鏈危機的有效途徑。本文結論發現，為應對現代快速變動的經濟和政治環境，現行國際貿易規範亟需改革；而新的國際合作模式與高標準貿易協定雖具有解決問題之潛力，但尚需平衡各國利益與國際貿易的公平性，方能達到互利且永續發展之目標。
With the global energy transition, critical minerals such as nickel, cobalt, lithium, and rare earth elements have become increasingly important, especially in electric vehicle manufacturing. These minerals are essential for batteries, yet their production and processing are concentrated in a few developing countries, leading to uneven resource distribution and geopolitical risks. Countries have thus implemented trade and industrial policies to prevent supply chain disruptions from threatening their economies, energy security, and national security. This study examines the legality of these policies under the World Trade Organization (WTO). It evaluates whether the policies of both mineral-rich and mineral-dependent countries comply with the General Agreement on Tariffs and Trade (GATT) and other WTO agreements and explores possible exceptions. China's and Indonesia's export restrictions may violate GATT but continue, increasing supply chain risks. The U.S. tax incentives for electric vehicle consumers and related industries may breach GATT's national treatment principle and the Agreement on Subsidies and Countervailing Measures (SCM). The study concludes that current trade rules are insufficient to address urgent trade issues. It discusses new international economic and trade trends to tackle the critical mineral supply chain crisis, including international cooperation models outside the WTO framework and regional agreements like USMCA and IPEF. The findings suggest that while new cooperation models and high-standard trade agreements have potential, balancing national interests and trade fairness is crucial for achieving mutual benefits and sustainable development.參考文獻 林彩瑜，WTO制度與實務：世界貿易組織法律研究，2版（2013年）。 羅昌發，國際經貿法，2版（2010年）。 張南薰，再生能源之購電政策與WTO協定之合致性—以加拿大及印尼之FIT計畫案為例，收於：楊光華編，第十七屆國際經貿法學發展學術研討會論文集，頁159-214（2017年）。 顏慧欣，出口管制制度及WTO適法性探討：以美國出口管制制度及爭議為例，收於：楊光華編，第二十屆國際經貿法學發展學術研討會論文集，頁437-496（2021年）。 吳玉瑩（2022年），美國《基建就業法案》及《通膨削減法案》對電動車供應鏈之影響及意涵，經濟前瞻，204期，頁122-127。 李佳容（2023年），國際關鍵礦物發展趨勢對我國推動國際能源轉型合作之啟示，臺灣經濟研究月刊，46卷10期，頁104-111。 徐遵慈（2023年），「印太經濟繁榮架構」下供應鏈協定之談判進展與可能影響，經濟前瞻，208期，頁95-100。 楊健弘（2023年），臺美出口管制法規體系之比較研析－以軍民兩用貨品及技術為核心，月旦法學雜誌，332 期，頁192-211。 翟文中、陳宥芯（2024年），中美關鍵礦物競爭之戰略意涵與影響，戰略與評估，13卷第2期，頁1-32。 芮嘉緯，尋找新一代鋰電池負極材料 解決石墨材料供應與性能問題，北美智權報，2024年3月20日，http://cn.naipo.com/Portals/11/web_cn/Knowledge_Center /Research_and_Innovation/IPND_240320_1001.htm。 楊日興，資源戰再起 陸限制石墨出口，工商時報，2023年10月21日，http s://www.ctee.com.tw/news/20231021700085-439901。 李宗憲，佐科威：印尼明年將禁止鋁土礦出口，中央社，2022年12月21日，https://www.cna.com.tw/news/aopl/202212210140.aspx。 日經中文網，印尼加強資源禁運，恐招貿易摩擦， 2023年4月26日，https://zh .cn.nikkei.com/politicsaeconomy/commodity/52184-2023-04-26-05-00-05.html。 自由時報，印尼最快今年對部分鎳產品課徵累進式出口稅，2022年1月13日，https://ec.ltn.com.tw/article/breakingnews/3800031。 中華人民共和國對外貿易法 商务部海关总署公告2023年第39号关于优化调整石墨物项临时出口管制措施的公告 Chien-Huei Wu, Law and Politics on Export Restrictions: WTO and Beyond (Oxford University Press, 2021). 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國立政治大學
國際經營與貿易學系
111351047資料來源 http://thesis.lib.nccu.edu.tw/record/#G0111351047 資料類型 thesis dc.contributor.advisor 楊培侃 zh_TW dc.contributor.advisor Yang, Pei-Kan en_US dc.contributor.author (作者) 戴維萱 zh_TW dc.contributor.author (作者) Tai, Wei-Hsuan en_US dc.creator (作者) 戴維萱 zh_TW dc.creator (作者) Tai, Wei-Hsuan en_US dc.date (日期) 2024 en_US dc.date.accessioned 4-九月-2024 15:29:25 (UTC+8) - dc.date.available 4-九月-2024 15:29:25 (UTC+8) - dc.date.issued (上傳時間) 4-九月-2024 15:29:25 (UTC+8) - dc.identifier (其他 識別碼) G0111351047 en_US dc.identifier.uri (URI) https://nccur.lib.nccu.edu.tw/handle/140.119/153496 - dc.description (描述) 碩士 zh_TW dc.description (描述) 國立政治大學 zh_TW dc.description (描述) 國際經營與貿易學系 zh_TW dc.description (描述) 111351047 zh_TW dc.description.abstract (摘要) 隨著全球能源轉型之趨勢，鎳、鈷、鋰與稀土元素等關鍵礦物的重要性日益增加，尤其在電動車製造領域中，此些礦物是電池中不可或缺的原料。然而，目前關鍵礦物的生產與加工高度集中於少數開發中國家，引發資源分布不均與地緣政治風險等問題。各國因此制定相關貿易及產業政策，以防止供應鏈斷裂對經濟、能源及國家安全造成的危害。 本研究聚焦於此些政策於世界貿易組織（WTO）下之適法性問題。透過分析礦物資源國與礦物需求國對關鍵礦物的政策，評估其是否符合《關稅暨貿易總協定（GATT）》及其他WTO協定的規範，並探討適用例外條款的可能性。在礦物資源國方面，本文認為中國與印尼對礦物的出口限制措施雖構成GATT規範之違反，依然得持續施行，故可能增加供應鏈斷裂的風險。在礦物需求國方面，美國對電動車消費者與相關產業的稅賦減免措施，則可能違反GATT國民待遇原則及《補貼暨平衡稅協定（SCM）》。 在此背景下，本文認為現行貿易規則存在不合理之處，故無法有效應對當前急迫的貿易問題。因此，本文進一步討論因應關鍵礦物供應鏈危機的國際經貿新趨勢，探討中國為主與西方國家在WTO架構之外發展的新國際合作模式，以及美國在地緣政治背景下發展的區域協定與架構，如何成為解決供應鏈危機的有效途徑。本文結論發現，為應對現代快速變動的經濟和政治環境，現行國際貿易規範亟需改革；而新的國際合作模式與高標準貿易協定雖具有解決問題之潛力，但尚需平衡各國利益與國際貿易的公平性，方能達到互利且永續發展之目標。 zh_TW dc.description.abstract (摘要) With the global energy transition, critical minerals such as nickel, cobalt, lithium, and rare earth elements have become increasingly important, especially in electric vehicle manufacturing. These minerals are essential for batteries, yet their production and processing are concentrated in a few developing countries, leading to uneven resource distribution and geopolitical risks. Countries have thus implemented trade and industrial policies to prevent supply chain disruptions from threatening their economies, energy security, and national security. This study examines the legality of these policies under the World Trade Organization (WTO). It evaluates whether the policies of both mineral-rich and mineral-dependent countries comply with the General Agreement on Tariffs and Trade (GATT) and other WTO agreements and explores possible exceptions. China's and Indonesia's export restrictions may violate GATT but continue, increasing supply chain risks. The U.S. tax incentives for electric vehicle consumers and related industries may breach GATT's national treatment principle and the Agreement on Subsidies and Countervailing Measures (SCM). The study concludes that current trade rules are insufficient to address urgent trade issues. It discusses new international economic and trade trends to tackle the critical mineral supply chain crisis, including international cooperation models outside the WTO framework and regional agreements like USMCA and IPEF. The findings suggest that while new cooperation models and high-standard trade agreements have potential, balancing national interests and trade fairness is crucial for achieving mutual benefits and sustainable development. en_US dc.description.tableofcontents 第一章 緒論 1 第一節 研究動機與目的 1 第二節 研究方法與架構 2 第三節 研究範圍與限制 3 第二章 關鍵礦物對電動車電池產業之重要性 5 第一節 產業特性與發展概況 5 一、能源轉型趨勢 5 二、電動車車用電池供應鏈組成 7 三、關鍵礦物之主要供應國與需求國市場分佈 9 第二節 關鍵礦物競合下貿易政策之態樣 11 一、礦物資源國之貿易政策 12 二、礦物需求國之貿易政策 14 第三章 各國對關鍵礦物所採行與貿易相關之政策 16 第一節 中國、印尼之出口限制措施 16 一、中國「決定對石墨類相關製品實施臨時出口管制措施」 16 二、印尼「礦產與煤炭礦業法」對鎳礦石之出口禁令與國內加工要求 18 第二節 以美歐為主的產業保護措施 23 一、美國「降低通膨法案」對電動車產業之稅賦抵免措施 23 二、美國提高電動車產品及相關原料之關稅 30 三、歐盟綠色新政產業計畫 32 第三節 易引發貿易關切之政策類型 39 第四章 關鍵礦物相關政策之WTO適法性分析 41 第一節 關鍵礦物出口管制措施之適法性分析 41 一、GATT對於出口限制之規範 41 二、中國對石墨製品出口管制措施之法律分析 43 三、中國對石墨實施出口管制措施可否適用GATT之例外？ 46 四、小結 56 第二節 對關鍵礦物之國內加工要求之適法性分析 57 一、GATT對於國內加工要求之規範 57 二、印尼對鎳礦石之國內加工要求之法律分析 57 三、印尼國家加工要求可否適用GATT之例外？ 58 四、小結 60 第三節 對電動車消費者及再生能源企業之稅賦減免措施之適法性分析 60 一、GATT第III條及TRIMs協定第2.1條對於自製率要求之規範 61 二、SCM協定對補貼之規範 63 三、美國對電動車消費者授予稅賦減免之法律分析 65 四、美國對再生能源企業授予稅賦減免之法律分析 69 五、美國對消費者及再生能源企業之稅賦抵免措施可否適用例外？ 70 六、小結 73 第四節 關鍵礦物供應鏈危機對WTO貿易規範之挑戰 74 第五章 因應關鍵礦物與電動車電池供應鏈危機之國際經貿新趨勢 76 第一節 地緣政治下確保關鍵礦物供應源之國際合作 77 一、中國為主之新興市場集團 77 二、歐美為主之西方集團 78 第二節 美國於區域架構主導制定之高標準貿易規範 83 一、美墨加貿易協定 83 二、印太經濟架構 86 三、美國主導USMCA與提倡IPEF供應鏈協定之意義 88 第三節 新型態貿易規範與合作模式可否解決關鍵礦物供應鏈危機 89 第六章 結論 92 參考文獻 94 zh_TW dc.format.extent 2964137 bytes - dc.format.mimetype application/pdf - dc.source.uri (資料來源) http://thesis.lib.nccu.edu.tw/record/#G0111351047 en_US dc.subject (關鍵詞) 關鍵礦物 zh_TW dc.subject (關鍵詞) 電動車電池 zh_TW dc.subject (關鍵詞) 供應鏈危機 zh_TW dc.subject (關鍵詞) Critical Mineral en_US dc.subject (關鍵詞) EV battery en_US dc.subject (關鍵詞) Supply Chain Crisis en_US dc.title (題名) 關鍵礦物供應鏈與電動車電池產業之政策研究：以WTO適法性為核心 zh_TW dc.title (題名) Policy Research on Critical Mineral Supply Chains and the Electric Vehicle Battery Industry: Focusing on Legality Under WTO Law en_US dc.type (資料類型) thesis en_US dc.relation.reference (參考文獻) 林彩瑜，WTO制度與實務：世界貿易組織法律研究，2版（2013年）。 羅昌發，國際經貿法，2版（2010年）。 張南薰，再生能源之購電政策與WTO協定之合致性—以加拿大及印尼之FIT計畫案為例，收於：楊光華編，第十七屆國際經貿法學發展學術研討會論文集，頁159-214（2017年）。 顏慧欣，出口管制制度及WTO適法性探討：以美國出口管制制度及爭議為例，收於：楊光華編，第二十屆國際經貿法學發展學術研討會論文集，頁437-496（2021年）。 吳玉瑩（2022年），美國《基建就業法案》及《通膨削減法案》對電動車供應鏈之影響及意涵，經濟前瞻，204期，頁122-127。 李佳容（2023年），國際關鍵礦物發展趨勢對我國推動國際能源轉型合作之啟示，臺灣經濟研究月刊，46卷10期，頁104-111。 徐遵慈（2023年），「印太經濟繁榮架構」下供應鏈協定之談判進展與可能影響，經濟前瞻，208期，頁95-100。 楊健弘（2023年），臺美出口管制法規體系之比較研析－以軍民兩用貨品及技術為核心，月旦法學雜誌，332 期，頁192-211。 翟文中、陳宥芯（2024年），中美關鍵礦物競爭之戰略意涵與影響，戰略與評估，13卷第2期，頁1-32。 芮嘉緯，尋找新一代鋰電池負極材料 解決石墨材料供應與性能問題，北美智權報，2024年3月20日，http://cn.naipo.com/Portals/11/web_cn/Knowledge_Center /Research_and_Innovation/IPND_240320_1001.htm。 楊日興，資源戰再起 陸限制石墨出口，工商時報，2023年10月21日，http s://www.ctee.com.tw/news/20231021700085-439901。 李宗憲，佐科威：印尼明年將禁止鋁土礦出口，中央社，2022年12月21日，https://www.cna.com.tw/news/aopl/202212210140.aspx。 日經中文網，印尼加強資源禁運，恐招貿易摩擦， 2023年4月26日，https://zh .cn.nikkei.com/politicsaeconomy/commodity/52184-2023-04-26-05-00-05.html。 自由時報，印尼最快今年對部分鎳產品課徵累進式出口稅，2022年1月13日，https://ec.ltn.com.tw/article/breakingnews/3800031。 中華人民共和國對外貿易法 商务部海关总署公告2023年第39号关于优化调整石墨物项临时出口管制措施的公告 Chien-Huei Wu, Law and Politics on Export Restrictions: WTO and Beyond (Oxford University Press, 2021). 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