快捷链接
通知公告
讲话文件
欧盟以绿色转型为名对“新三样”产业实施大规模专向补贴
添加时间:
2024-11-08 18:35
欧盟以绿色转型为名对“新三样”产业实施大规模专向补贴
欧盟以绿色转型为名对“新三样”产业实施大规模专向补贴
作者|史晓丽 郭威 中国政法大学国际法学院
2024年10月29日欧委会发布公告,自10月30日起对自中国进口的电动汽车征收反补贴税。实际上,[1]欧盟及其成员国近年来以支持绿色转型和落后地区发展等名义,通过直接赠款、税收优惠、低息贷款、贷款担保、价格补贴等方式,大力补贴“新三样”产业(锂电池、光伏产品和电动汽车),以提高全球竞争力和抢占新兴产业制高点。尽管欧盟制定了限制成员国提供国家援助的规则,但也设置了名目繁多的豁免条款,允许各成员国实施具有专向性和扭曲性的补贴。欧盟还以自身名义设立多项支持性基金,直接提供赠款。欧盟双渠道补贴机制(欧盟基金和成员国国家援助)向许多“新三样”项目提供了全额资助或者覆盖项目绝大多数成本的高额资助,补贴力度非常大。以太阳能发电产业为例,欧盟在2022年通过各项基金提供的补贴累计高达250亿欧元。[2]
欧盟以推动绿色转型、落后地区发展等名义设立了至少十一项支持性基金,为“新三样”产业提供补贴,这些基金包括“复苏和韧性基金”“地平线欧洲”“创新基金”“欧洲区域发展基金”“连接欧洲基金”“公正过渡基金”“凝聚力基金”“投资欧盟基金”“欧洲社会基金”“欧洲农业农村发展基金”以及“现代化基金”。
在欧盟各项基金中,有五大基金(复苏和韧性基金、地平线欧洲、创新基金、欧洲区域发展基金和连接欧洲基金)经常以赠款和贷款形式为大量“新三样”项目提供全额补贴或者金额超过项目预算一半的大额补贴。
(二)欧盟基金对电池产业的整体补贴力度最大
电池产业是电动汽车的上游,欧盟基金对其提供了大量直接赠款。在“新三样”产业中,电池行业获得欧盟基金补贴以及各成员国国家援助的项目数量最多。例如,“地平线欧洲”在2014-2020年向电池产业的307个研发项目提供了约8.73亿欧元赠款,“创新基金”在2021-2022年向电池产业的8个项目提供了约1.61亿欧元赠款,“欧洲区域发展基金”向14个成员国的459个电池相关项目提供了约3.19亿欧元赠款。[10] 在电池制造方面,“欧洲区域发展基金”提供了大量拨款。例如,该基金在2018年9月向德国能源与环境化学中心的“未来电池项目”拨款80万欧元用于制造有机物电池(项目预算101万欧元),[16]2019年10月向德国“汉堡能源转型和清洁空气计划”(项目预算6150万欧元)拨款778万欧元用于将集装箱运输车改造为电池车。[17] 在电池回收方面,“创新基金”提供了大量全额资助。例如,该基金在2022年4月向法国ERAMET公司的电动汽车锂电池回收项目提供了6755万欧元的全额补贴。[18] 欧盟基金对电动汽车产业至少提供了220亿欧元以赠款为主要形式的补贴,其中“复苏和韧性基金”(RRF)、“地平线欧洲”(Horizon Europe)、“欧洲区域发展基金”(ERDF)和“连接欧洲基金”(CEF)提供的补贴全面覆盖电动汽车研发、制造、配套充电设施安装和消费等环节。 例如,“复苏和韧性基金”向西班牙的多个电动汽车项目提供巨额补贴。2021年12月该基金向西班牙“电动和联网汽车行业经济复苏和转型战略性计划”(PERTE VEC)拨款15.5亿欧元(项目预算30亿欧元)以支持电动汽车和联网汽车全产业链研发,[26]2023年5月和7月再次向西班牙该项目提供8.37亿欧元[27]和5.287亿欧元赠款。在消费环节,法国从2023年起向电动汽车消费者提供相当于电动汽车含税价格27%的“生态补贴”,“复苏和韧性基金”为其拨款9.85亿欧元。[28]2021年西班牙的“高效和可持续出行项目III”(MOVES III)获得“复苏和韧性基金”提供的1.5亿欧元用于补贴电动汽车消费和充电设施安装。[29]2021年,“复苏和韧性基金”向德国提供55亿欧元补贴以支持私人电动汽车、公共汽车和轨道汽车消费和充电基础设施安装,[30]2023年又向德国个人购置零排放汽车拨款27.64亿欧元。[31]
“欧洲区域发展基金”在2022年11月为意大利、罗马尼亚和西班牙共同部署的电动汽车大功率充电基础设施网络项目拨款2138万欧元,[37]2019年2月向西班牙“高效和可持续的交通激励计划”(MOVES)提供1500万欧元补贴,[38]2020年向西班牙项目预算1亿欧元的MOVES II计划提供部分资金,[39]用于补贴电动汽车消费和充电基础设施安装。[40]
欧盟成员国为“欧洲共同利益重要项目”(IPCEI)下的两期电池产业研发项目累计提供了超过60亿欧元的补贴,为区域援助计划下的六个项目提供了累计5.72亿欧元的补贴,补贴形式包括直接赠款、税收优惠与贷款担保。[41] 法国和德国还向电池产业提供大额专向补贴。例如在法国,截至2023年5月,“法国2030计划”向电池研发项目(PEPR)提供了1900万欧元国家援助,“BATMAT计划”为80个成熟电池项目提供了1500万欧元国家援助,“电池创新解决方案和技术计划”为20个项目提供了7900万欧元国家援助,“材料回收创新解决方案计划”(RRR)提供了3000万欧元国家援助,向关键金属投资基金注入5亿欧元。[44]2024年1月,欧委会批准了德国对Northvolt公司9.02亿欧元的国家援助以支持其建设清洁电池工厂和大规模生产电池,该补贴包括7亿欧元的直接赠款和2.02亿欧元贷款担保。[45]
(三)欧盟成员国对光伏产业补贴期限最长并且单项补贴金额较大
花样繁多的补贴使欧盟“新三样”产业实现了快速协同发展。在电池产业,2014-2020年欧盟预算至少提供了17亿欧元的拨款和贷款担保,2019年以来各成员国仅以支持“欧洲共同利益重要项目”和区域发展的名义就提供了总额累计超过65.7亿欧元的国家援助。[71]在双重补贴的支持下,欧盟已拥有10家超级电池工厂和20个在建工厂,电池产能可以满足三分之二的欧盟市场需求。[72]2022-2023年,欧盟锂电池出口额在全球出口总额的占比从28.2%上升至30.3%。[73]在光伏领域,欧盟基金提供的补贴和各成员国的国家援助至少达到86亿欧元和236亿欧元。这些巨额补贴使欧盟在2021-2023年的光伏装机容量年增长率均超过40%,[74]2022-2023年欧盟太阳能电池板出口额增长19%,出口量增长37%。[75]在电动汽车领域,欧盟基金提供的补贴和各成员国提供的国家援助至少达到220亿欧元和108亿欧元。在补贴政策推动下,欧盟到2023年已拥有超过63万个公共充电点,2023年直流汽车充电装置增长率达到84%。[76]2022年欧盟电动汽车出口金额(223亿欧元)同比上涨100%,与2019年相比增长400%。[77] 总之,欧盟“新三样”补贴名目繁多,补贴对象具有专向性,补贴力度大,许多项目获得了全额补贴或者金额超过项目预算一半的补贴。这些补贴已见成效,对欧盟“新三样”产业的制造与出口起到了重要促进作用。随着欧盟“新三样”产业补贴规模和范围的不断扩大,市场扭曲作用将进一步加深。 (本文研究助理:符馨予,崔芸菲,黄旖璇,张倩茹) [1]本文数据主要来自欧委会官方统计报告、欧盟向世贸组织提交的补贴通报、欧盟成员国政府或公共机构发布的信息。 [2]European Commission, REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL:2023 Report on Energy Subsidies in the EU, https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:52023DC0651. [3]European Commission: Recovery and Resilience Facility Scoreboard - Sustainable Transport Thematic Analysis, April 2024; European Commission: Recovery and Resilience Facility Scoreboard - Clean Energy Thematic Analysis, December 2021. [4]New and Full Notification Pursuant to Article XVI:1 of the GATT 1994 and Article 25 of the Agreement on Subsidies and Countervailing Measures, European Union, 25 July 2023. [5]European Commission, What is the Innovation Fund. https://climate.ec.europa.eu/eu-action/eu-funding-climate-action/innovation-fund/what-innovation-fund_en#other-forms-of-support. [7]New and Full Notification Pursuant to Article XVI:1 of the GATT 1994 and Article 25 of the Agreement on Subsidies and Countervailing Measures, European Union,25 July 2023,G/SCM/N/401/EU. [8]European Parliament and of the Council of European Union, establishing the Connecting Europe Facility and repealing Regulations (EU) No 1316/2013 and (EU) No 283/2014. [9]New and Full Notification Pursuant to Article XVI:1 of the GATT 1994 and Article 25 of the Agreement on Subsidies and Countervailing Measures, European Union, 25 July 2023,G/SCM/N/401/EU. [10]he EU’s industrial policy on batteries:New strategic impetus needed,https://www.eca.europa.eu/ECAPublications/SR-2023-15/SR-2023-15_EN.pdf. [11]EU Funding & Tenders Portal, Silicon and polyanionic chemistries and architectures of Li-ion cell for high energy battery, https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/opportunities/projects-details/31045243/653373/H2020?order=DESC&pageNumber=1&pageSize=50&sortBy=title&keywords=Battery&isExactMatch=true&frameworkProgramme=31045243. [12]EU Funding & Tenders Portal, All Solid-sTate Reliable BATtery for 2025, https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/opportunities/projects-details/31045243/875029/H2020?order=DESC&pageNumber=2&pageSize=50&sortBy=title&keywords=Battery&isExactMatch=true&frameworkProgramme=31045243. [13]European Commission, Lithium-ion battery with silicon anode, nickel-rich cathode and in-cell sensor for electric vehicles, https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/opportunities/projects-details/31045243/875548/H2020?keywords=%20electric%20vehicles&isExactMatch=true&order=DESC&pageNumber=1&pageSize=50&sortBy=title; Lithium-ion battery with silicon anode, nickel-rich cathode and in-cell sensor for electric vehicles, European Commission, https://cordis.europa.eu/project/id/875548/reporting. [14]European Commission, Solid state sUlfide Based LI-MEtal batteries for EV applications, https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/opportunities/projects-details/31045243/875028/H2020?keywords=%20electric%20vehicles&isExactMatch=true&order=DESC&pageNumber=1&pageSize=50&sortBy=title. [15]EU Funding & Tenders Portal, Towards the next generation of high performance li-ion battery cells, https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/opportunities/projects-details/43108390/101069910/HORIZON?keywords=%20battery&isExactMatch=true&order=DESC&pageNumber=1&pageSize=50&sortBy=title. [16] European Commission, Developing sustainable, environment-friendly batteries in Jena, Germany, https://ec.europa.eu/regional_policy/projects/projects-database/developing-sustainable-environment-friendly-batteries-in-jena-germany_en. [17] European Commission, Port of Hamburg uses green ‘smart batteries’ to support the German energy transition,https://ec.europa.eu/regional_policy/projects/projects-database/port-of-hamburg-uses-green-smart-batteries-to-support-the-german-energy-transition_en. [18] European Commission, Recycling Li-ion Batteries for Electric Vehicles, https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/opportunities/projects-details/43089234/101086003/INNOVFUND?keywords=%20electric%20vehicles&isExactMatch=true&order=DESC&pageNumber=1&pageSize=50&sortBy=title. [19] European Commission, REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL:2023 Report on Energy Subsidies in the EU, https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:52023DC0651. [20] Innovation Fund, TANGO: ITaliAN PV Giga factory, https://climate.ec.europa.eu/document/download/04f1ef88-9b30-4849-9118-647d0f04fefe_en?filename=if_pf_2022_tango_en.pdf. [21] EU Funding & Tenders Portal, Global Optimization of integrated PhotoVoltaics system for low electricity cost, https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/opportunities/projects-details/31045243/792059/H2020?order=DESC&pageNumber=1&pageSize=50&sortBy=title&keywords=%20photovoltaics&isExactMatch=true. [22] EU Funding & Tenders Portal, Advanced Strategies for Development of Sustainable Semiconductors for Scalable Solar Cell Applications, https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/opportunities/projects-details/43108390/101046297/HORIZON?order=DESC&pageNumber=2&pageSize=50&sortBy=title&keywords=%20photovoltaics&isExactMatch=true. [23] EU Funding & Tenders Portal, Ultra-stable, highly efficient, low-cost perovskite photovoltaics with minimised environmental impact, https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/opportunities/projects-details/43108390/101084124/HORIZON?order=DESC&pageNumber=1&pageSize=50&sortBy=title&keywords=%20photovoltaics&isExactMatch=true. [24] European Commission, Aide d'État / Italie SA.102460 (2022/N) RRF - Réalisation d’installations photovoltaïques sur des bâtiments agricoles, zootechniques et agroindustriels, à financer dans le cadre du PNRR, Mission 2, composante 1, investissement 2.2 « Parc agrosolaire »., https://ec.europa.eu/competition/state_aid/cases1/202234/SA_102460_B0B5B582-0000-CE7D-B1CB-7E5998392C84_32_1.pdf;European Commission, State aid: Commission approves €1.2 billion Italian scheme under Recovery and Resilience Facility to support investments in photovoltaic panels in agricultural sector, https://ec.europa.eu/commission/presscorner/detail/en/ip_22_4331. [25] European Commission, State Aid SA.104269 (2022/N) – Italy RRF: LIP – Regional investment aid to 3Sun Srl, https://ec.europa.eu/competition/state_aid/cases1/202426/SA_104269_111.pdf;European Commission, State aid: Commission approves €89.5 million Italian measure under Recovery and Resilience Facility to support 3Sun's solar panel plant expansion, https://ec.europa.eu/commission/presscorner/detail/en/ip_23_3964. [26] European Commission, State aid: Commission approves €3 billion scheme under the Spanish Recovery and Resilience Plan to support research, development, innovation, environmental protection and energy efficiency in automotive value chain, https://ec.europa.eu/commission/presscorner/api/files/document/print/en/ip_21_6726/IP_21_6726_EN.pdf. [27] European Commission, State aid: Commission approves €837 million Spanish scheme to support the production of batteries for electric and connected vehicles to foster the transition to a net-zero economy, https://ec.europa.eu/commission/presscorner/detail/en/ip_23_2425. [28] European Commission, Ecological bonuses – Support to demand for clean vehicles, https://commission.europa.eu/projects/ecological-bonuses-support-demand-clean-vehicles_en. [29] IDEA, Programa MOVES III, https://www.idae.es/ayudas-y-financiacion/para-movilidad-y-vehiculos/programa-moves-iii. [30] Federal Ministry of Finance, Scholz: Clear signal for climate action and digitalization, https://www.bundesfinanzministerium.de/Content/EN/Pressemitteilungen/2021/2021-04-27-german-recovery-and-resilience-plan-adopted.html. [31] European Commission, Support for the replacement of the private vehicle fleet, https://commission.europa.eu/projects/support-replacement-private-vehicle-fleet_en. [32] EU Funding & Tenders Portal, Optimised and Systematic Energy Management in Electric Vehicles, https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/opportunities/projects-details/31045243/653514/H2020?keywords=%20electric%20vehicles&isExactMatch=true&order=DESC&pageNumber=1&pageSize=50&sortBy=title. [33] EU Funding & Tenders Portal, ERA-NET Cofund Electric Mobility Europe, https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/opportunities/projects-details/31045243/723977/H2020?keywords=%20electric%20vehicles&isExactMatch=true&order=DESC&pageNumber=2&pageSize=50&sortBy=title. [34] European Commission, Scalable European Powertrain Technology Platform for Cost-Efficient Electric Vehicles to Connect Europe, https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/opportunities/projects-details/31045243/824262/H2020?keywords=%20electric%20vehicles&isExactMatch=true&order=DESC&pageNumber=1&pageSize=50&sortBy=title. [35] EU Funding & Tenders Portal, Switching-Cell-Array-based Power Electronics conversion for future electric vehicles, https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/opportunities/projects-details/43108390/101056781/HORIZON?order=DESC&pageNumber=1&pageSize=50&sortBy=title&keywords=%20electric%20vehicles&isExactMatch=true. [36] European Commission, Zero Emission electric Vehicles enabled by haRmonised circularity, https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/opportunities/projects-details/43108390/101138034/HORIZON?keywords=%20electric%20vehicles&isExactMatch=true&order=DESC&pageNumber=1&pageSize=50&sortBy=title. [37] European Commission, Next Wav-E: Developing an EU-wide network of electric vehicles’ high-power charging infrastructure for the electrification of mobility and decarbonisation of the road transport sector, https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/opportunities/projects-details/43251567/101119157/CEF2027?keywords=%20electric%20vehicles&isExactMatch=true&order=DESC&pageNumber=1&pageSize=50&sortBy=title. [38] IDEA, Convocatorias OT4 del IDAE: nivel de absorción e indicadores. Estado de convocatorias MOVES e Industria III, https://www.idae.es/ayudas-y-financiacion/fondo-europeo-de-desarrollo-regional-feder/rebeca-red-de-economia-baja-en; IDEA, Programa Operativo Plurirregional de España 2014-2020 (POPE) Convocatorias IDAE en OT 4 – EBC, https://www.idae.es/sites/default/files/documentos/rebeca/07_convocatorias_ot4_pope.pdf. [39] IDEA, Antecedentes: Programa MOVES y Programa MOVES II, https://www.idae.es/ayudas-y-financiacion/para-movilidad-y-vehiculos/programa-moves-iii/antecedentes-programa-moves-y-programa-moves-ii; BOLETÍN OFICIAL DEL ESTADO, MINISTERIO PARA LA TRANSICIÓN ECOLÓGICA Y EL RETO DEMOGRÁFICO, https://www.boe.es/boe/dias/2020/06/17/pdfs/BOE-A-2020-6235.pdf. [40] IDEA, El Gobierno aprueba un nuevo plan de ayudas de 100 millones para fomentar la movilidad sostenible, https://www.idae.es/noticias/el-gobierno-aprueba-un-nuevo-plan-de-ayudas-de-100-millones-para-fomentar-la-movilidad. [41] European Commission, State aid Scoreboard 2023, https://competition-policy.ec.europa.eu/document/download/0b2037c5-c43f-4917-b654-f48f74444015_en?filename=state_aid_scoreboard_note_2023.pdf. [42] European Commission, State aid: Commission approves €3.2 billion public support by seven Member States for a pan-European research and innovation project in all segments of the battery value chain, https://ec.europa.eu/commission/presscorner/detail/en/ip_19_6705; European Commission, State Aid SA.54793 (2019/N) – Belgium State Aid SA.54809 (2019/N) – Finland State Aid SA.54794 (2019/N) – France State Aid SA.54801 (2019/N) – Germany State Aid SA.54806 (2019/N) – Italy State Aid SA.54808 (2019/N) – Poland State Aid SA.54796 (2019/N) – Sweden Important Project of Common European Interest (IPCEI) on Batteries, https://ec.europa.eu/competition/state_aid/cases1/202231/SA_54801_60A43582-0000-CEC2-BCDC-018723136555_325_1.pdf. [43] State aid: Commission approves €2.9 billion public support by twelve Member States for a second pan-European research and innovation project along the entire battery value chain, European Commission, https://ec.europa.eu/commission/presscorner/detail/en/ip_21_226; European Commission Competition Policy, Autumn IPCEI Batteries – Austria, https://competition-cases.ec.europa.eu/cases/SA.55855; European Commission, Subject: State Aid SA.55855 (2020/N) – Austria State Aid SA.56665 (2020/N) – Greece State Aid SA.55840 (2020/N) – Belgium State Aid SA.55813 (2020/N) – Italy State Aid SA.55844 (2020/N) – Croatia State Aid SA.55859 (2020/N) – Poland State Aid SA.55846 (2020/N) – Finland State Aid SA.55819 (2020/N) – Slovakia State Aid SA.55858 (2020/N) – France State Aid SA.55896 (2020/N) – Spain State Aid SA.55831 (2020/N) – Germany State Aid SA.55854 (2020/N) – Sweden Important Project of Common European Interest on European Battery Innovation (EuBatIn), https://ec.europa.eu/competition/state_aid/cases1/202347/SA_55813_E0E4FC8B-0000-C6F2-8A8F-DC66E4CA80F9_580_1.pdf.
版权所有:中国法学会世界贸易组织法研究会 京ICP备10012170号-16 主编:吕勇 责任主编:周小康 地址:北京市西城区兵马司胡同63号2217室邮编:100034 电话:010-6610681