WTO安全例外条款:实践演进、路径选择与中国因应  

Security Exceptions in the WTO System:Evolution of Practice,Path Selection and Proposals on China's Position

作　　者：李晓玲 Li Xiaoling

机构地区：[1]中国社会科学院大学法学院

出　　处：《国际法研究》2023年第3期25-48,共24页Chinese Review of International Law

摘　　要：WTO安全例外条款是近年来国际贸易政策研究的焦点问题。随着其核心概念“基本安全利益”从意指国防军事安全,扩张至地缘竞争和外交政策意义上的国家安全,安全例外成为大量出口管制和单边制裁的合法化理由,损害多边贸易体系的有效性。自2019年以来,WTO连续发布了俄罗斯运输限制措施案、沙特阿拉伯知识产权措施案、美国钢铝产品案及美国原产地标记措施案专家组报告,一致肯定涉安全例外争端的可裁判性。与此同时,有建议提出对涉安全例外争端适用非违反之诉或引入新的救济机制,通过补偿或授权报复,重建所涉成员在WTO协定下权利义务的平衡。该建议回避安全例外援引的正当性,且受影响方将无权要求撤销限制措施,不利于遏制单边主义。2023年1月,美国提出根据《马拉喀什建立世界贸易组织协定》第9条,对安全例外条款作出权威解释。各成员在争端解决领域的交锋,将可能扩展至多边谈判。中国可根据争端解决领域的新发展,与倾向于约束安全例外的其他成员加强协调,推动严格援引安全例外的纪律,完善遏制单边主义措施的国际法律工具。The WTO security exceptions have been the focus of trade policy discussions in recent years.With the generalization of national security,the term of"essential security interest"has been expanded from national defense and military security to cover national security in the sense of geopolitical competition and foreign policy,making the security exception a legitimate justification for a large number of export controls and unilateral sanctions,which seriously undermines the whole WTO system.Since 2019,the WTO has issued panel reports in Russia-Traffic in Transit,Saudi Arabia-IPRs,US-Steel and Aluminium Products and US-Origin Marketing,consistently confirming the justiciability of disputes over the security exception.While the US and some scholars advocate non-violation claims or a new specially-designed remedy to address this issue by reestablishing the balance of rights and obligations of members under the WTO agreements.Under this rebalancing approach,which evades the legitimacy of the invocation of security exception,a complainant cannot request the withdrawal of unilateral measures,which is not conductive to curbing the prevalence of unilateralism.On 27 January 2023,the US,for the first time,expressed its intention to seek an authoritative interpretation of security exception clauses pursuant to Article IX of the Marrakesh Agreement Establishing the World Trade Organization.Taking advantage of new progress in the field of dispute settlement and the atmosphere among major members tending to restrict the invocation of security exception,China may engage in the reform of WTO security exceptions actively and insist on the justiciability of disputes over security exception in particular,so as to strengthen international legal tools for containing foreign unilateral measures.

关 键 词：世界贸易组织 安全例外 基本安全利益 可裁判性 非违反之诉 

分 类 号：D996.1[政治法律—经济法学]