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付録17 WTO：韓国からEUへの質問状
（2002年12月23日）
　
WORLDL TRADE ORGANIZATION
G/SCM/Q2/EEC/39
23 December 2002
(02-7065)
Committee on Subsidies and Countervailing Measures
Original: English
　
SUBSIDIES
Request from the REPUBLIC OF KOREA to the EUROPEAN COMMUNITY and its Member States pursuant to Article 25.8 of the Agreement on Subsidies and Countervailing Measures
　
The following communication, dated 6 December 2002, has been received from the Permanent Mission of Korea.
　
My authorities instruct me, pursuant to paragraph 8 of Article 25 of the Agreement on Subsidies and Countervailing Measures ("the SCM Agreement"), to request that the European Community ("EC") and its Member States provide the information requested in the questionnaire enclosed herewith on the nature and extent of the subsidies afforded to the shipbuilding industry in the EC.
　
It would be appreciated if the European Communities provide a response "as quickly as possible and in a comprehensive manner" as provided in paragraph 9 of Article 25 of SCM Agreement. We consider that 40 days from the dispatch of the present letter and questionnaires constitutes reasonable time to respond our request. Thus, we look forward to receiving your response to this request by 15 January 2003.
　
I. GENERAL QUESTIONS ON THE EUROPEAN COMMUNITY ("EC")'S LEGAL FRAMEWORK FOR AID TO THE SHIPBUILDING SECTOR'
1. Can the EC confirm that its basic legal framework for aid to shipbuilders is set forth in Council Regulation (EC) No 1540/98 of 29 June 1998 establishing new rules on aid to shipbuilding 1("Regulation 1540/98") and Council Regulation (EC) No 1177/2002 of 27 June 2002 concerning a temporary defensive mechanism to shipbuilding 2("Regulation 1177/2002" hereafter)?
2. Can the EC confirm that Regulation 1540/98 controls aid granted by the Member States of the EC to the shipbuilding sector in relation to the building, conversion or repair of self-propelled seagoing commercial vessels of 100gt and above, tugs of 365 kW and above, and fishing vessels over 100gt for export? Can the EC also confirm that Regulation 1540/98 applies both to aid granted directly to shipbuilding undertakings and to other entities related to them whether directly or indirectly financed by EC Member States or their regional or local authorities or financed through State resources in any form whatsoever?
3. Can the EC confirm that the different types of aid covered by Regulation 1540/98 are as follows?:
　
(i) Operating aid in the form of contract-related aid supporting shipbuilding and ship- conversion projects up to a maximum of 9 per cent of the contract value before aid. 3Can the EC confirm that the provision on this operating aid lapsed on 31 December 2000 but the permitted subsidies can continue to apply to contracts entered into force before that date, for vessels to be delivered up to the end of 2003 or even longer in exceptional cases?

Can the EC confirm that operating aid is also contemplated in the form of state- supported credit facilities, which are considered compatible with EC provisions if they comply with the terms of the OECD Sector Understanding on Export Credits for Ships. Is it correct that OECD-compatible credit facilities are not counted towards the maximum ceiling for permissible operating aid?
(ii) Closure aid to defray the normal costs resulting from the partial closure of shipbuilding, ship repair or ship conversion yards and leading to an irreversible reduction in production capacity.
(iii) Restructuring aid for firms in difficulty in the form of capital injections, debt write- offs, subsidized loans, loss compensation and guarantees, which is granted on one-off basis and leads to an irreversible reduction in production capacity.
(iv) Other aid measures in the form of investment aid for innovation, regional investment aid, aids to defray research and development expenditure and aid defraying costs for environmental protection.
　
4. Can the EC confirm that Regulation 1177/2002 reinstates operating aid up to a maximum intensity of 6 per cent of contract value before aid in support of contracts for the building of container ships, product and chemical tankers as well as LNG carriers to be delivered within three years from the date of signing of the contract (extension of the three-year delivery deadline remains possible in special circumstances)?
　
5. In the terms of the Regulation, such operating aid will be considered compatible with the Common Market when there has been competition for the contract from a Korean shipyard offering a lower price. Can the EC elaborate on how this requirement is assessed in practice?
6. Can the EC confirm that contracts eligible for aid under Regulation 1177/2002 are those signed from 24 October 2002 (i.e. the date that the European Commission's Notice announcing the initiation of WTO dispute settlement proceedings against Korea as a result of the investigation conducted under the Trade Barrier Regulation concerning certain alleged subsidies received by the Korean shipbuilding industry was published), until one month after the European Commission gives notice in the Official Journal of the European Communities that these dispute settlement proceedings are resolved or suspended? Is it correct that Regulation 1177/2002 will in any event expire on 31 March 2004?
7. Can the EC confirm that aid in support of contracts for the building of LNG carriers will, however, only be authorised for contracts signed after the European Commission gives notice in the Official Journal of the European Communities that it confirms, on the basis of investigations covering the period of 2002, that the Community industry has suffered material injury and serious prejudice in this market segment caused by the alleged Korean subsidies?
8. Can the EC confirm that the aid permitted under the above framework provisions is financed directly by the EC Member States or their regional or local authorities or financed through State resources in any form whatsoever?
　
II. QUESTIONS ON THE EC'S SUBSIDY CASES
The Republic of Korea requests the European Commission (hereafter, "the Commission") and the EC Member States to respond to the following questions for the years 1998, 1999, 2000, 2001 and up to this date. The information should also include aid that has been and/or will be provided based on a shipbuilding contract signed before 2001 in respect of the ships to be delivered subsequently under the conditions set forth in Regulation 1540/98 and aid that may already have been approved or notified for approval under Regulation 1177/2002.
　
(Identification of Subsidies)
　
1. Identify which subsidies were or have been granted, or maintained, directly or indirectly, to the EC shipyards in terms of the following categories.
- Operating aid
- Restructuring aid
- Closure aid
- Investment aid for innovation
- Regional investment aid
- Others
　
The information in this questionnaire is requested irrespective of whether the subsidies are funded by the federal, regional, local authorities, other public bodies in the EC Member States or private institutions directed or entrusted by the authorities to grant these subsidies from their own funds or through funds made available by the EC.
　
(Legal Provisions)
　
2. Identify the legal provisions (EC and/or EC Member State provisions) with ful references on the basis of which each subsidy is identified in question 1 and provide the following information on:
(i) The eligibility criteria, including terms and conditions, of each subsidy identified in question 1 and any anticipated changes to the criteria with the documentation substantiating the changes, and in the case of the subsidies being terminated, the last date that a company could apply for or claim and receive benefits under the programme.
(ii) The procedure for authorising and granting each subsidy, identified in question 1, both in the EC Member States and within the EC, and whether a formal application and/or specific approval is required each time benefits are received or the receipt of benefits is automatic after their initial authorisation.
(Operating Aid)
　
3. For each subsidy, identified in question 1, provided as an operating aid, please provide the following information on:
(i) The forms in which the subsidy was or has been granted (e.g., grants, loans, loan guarantees, bond infusions, tax benefits), the amounts provided in each form, and terms and conditions of each form of the subsidy.
(ii) The name and address of the agency or authority responsible for administering and authorising the subsidy within the EC or within an EC Member State.
(iii) The name of the shipyard(s) to which the subsidy was or has been provided, the type (including CGT) and buyer of the vessel, and the time of sales contract and delivery of the vessel. The examples of types of vessels are following:
　 - Crude oil tankers (single hull only)
　 - Crude oil tankers (double hull only)
　 - Product and chemical carriers
　 - Bulk carriers
　 - Combined carriers
　 - General cargo ships
　 - Reefers
　 - Full container ships
　 - Ro-Ro vessels
　 - Car carriers
　 - LPG carriers
　 - LNG carriers
　 - Ferries
　 - Passenger ships including cruise ships
　 - Fishing vessels
　 - Other non-cargo vessels.
(iv) The ratio of the total amount of the subsidy to the total sales value at delivery and order book level for each type of vessel concerned for each of the above calendar years within the period mentioned above.
(v) The total amount of the subsidies afforded by each EC Member State per each of the above calendar years.
(iv) The number of vessels delivered and corresponding CGT separately for
　 - holding owners within the EC
　 - holding owners outside the EC
　
(Restructuring, Closure Aid, etc)
　
4. For each subsidy, identified in question 1, provided as a restructuring, closure aid, and other aids, please provide the following information on:
(i) The forms in which the subsidy is granted (e.g., grants, loans, loan guarantees, bond infusions, interest relief, debt rescheduling, equity for debt swaps, other debt write-offs, tax benefits), the amounts provided in each form, and terms and conditions of each form of the subsidy.
(ii) The name and address of the agency or authority responsible for administering and authorising the subsidy within the EC or within an EC Member State.
(iii) The name of the shipyard(s) to which the subsidy was or has been provided, and the types of vessels (including CGT) the shipyard has produced since 1998.
(iv) For each restructuring aid, the methodology applied to determine the viability of the shipyard and to develop detailed plans, and the name of the institution that conducted the field study and evaluated the value of the shipyard in difficulty.
(v) The total amount of the subsidies afforded by each EC Member State per each of the above calendar years in terms of each category of aids (restructuring aid, closure aid, etc).
(Equity Infusion)
　
5. If any of the subsidies identified in question 1 takes the form of equity infusion or a debt-for-equity swap, please include the following specific information in the answers to questions 3 and 4 in this section of the questionnaire.
(i) The name of the recipient of each investment/conversion.
(ii) The name of the federal, regional or local authorities, another public body or private institutions directed or entrusted by public body, which approved the equity investment/conversion and the date at which it did so.
(iii) The exact amount of the equity infusion.
(iv) The methodology to determine equity worthiness of the shipyard and, if any reports or other documents were prepared in support thereof, the conc1usions of the studies or reports.
(v) If the government of the EC Member State concerned attempted to, or did, secure equity investment for a shipyard in difficulty from private sources, please describe the circumstances surrounding the investment, any agreement entered into between the government and the private parties, and provide all relevant documentation (e.g., a copy of the agreement, discussion memoranda, etc.).
　
(Loans, Loan Guarantees, Export credits)
1 O.J. No L 202, 18 July 1998, p.1.
2 O.J. No L 172, 2 July 2002, p.1.
3 For shipbuilding contracts with a contract value before aid exceeding £ 10 million, the ceiling is 9 per cent, for conversions, repairs for shipbuilding contracts of a lesser value, the ceiling is 4.5 per cent.







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