供应链尽职调查国内立法的国际法分析——以WTO规则为切入点  

Assessing the Legitimacy of Supply Chain Due Diligence Rules in the Light of WTO Rules

作　　者：沈伟[1] 陈徐安黎 SHEN Wei;CHEN Xu'anli(KoGuan School of Law,Shanghai Jiao Tong University,Shanghai,200030)

机构地区：[1]上海交通大学凯原法学院,上海200030

出　　处：《国际商务（对外经济贸易大学学报）》2024年第6期135-153,共19页INTERNATIONAL BUSINESS

基　　金：国家社会科学基金重大项目“美国全球单边经济制裁中涉华制裁案例分析与对策”(21&ZD208)。

摘　　要：供应链尽职调查的目的正在从追求管理学上的供应链安全向追求多元化供应链价值转变,供应链上的人权、环境和劳工风险监管被纳入供应链安全的范畴。各国纷纷将企业供应链尽职调查义务化、硬法化,采用强制性的供应链监管和惩罚机制,对供应链上的域外实体产生重要影响。部分供应链尽职调查国内立法以企业社会尽责为由掩盖经济制裁、贸易保护等目的,应以WTO规则作为判断其国际法合法性的依据。供应链尽职调查国内立法的扩张性或歧视性适用会违反WTO禁止数量限制和非歧视待遇的规则。“一般例外”可免责的范围有限,大部分供应链尽职调查国内立法在WTO规则下的合法性成疑。中国应当通过WTO规则的“硬约束”功能敦促他国撤销不合法的供应链尽职调查国内立法,并通过WTO在国际话语方面的“软约束”功能促使他国自觉限制供应链尽职调查国内立法的适用范围,在符合WTO规则的基础上推动供应链尽职调查的国际合作,平衡国际贸易发展需求和各国利益。The purpose of supply chain due diligence has shifted from the pursuit of managerial supply chain security to the pursuit of diversified supply chain value,and the regulation of human rights,environmental and labor risks in the supply chain has been incorporated into the vision of supply chain security.Countries have obligated and legislated corporate supply chain due diligence and adopted mandatory supply chain regulation and penalty mechanisms,which have had a significant impact on the trade of foreign entities in the supply chain.Supply chain due diligence rules,if improperly applied,will violate the WTO rules on the prohibition of quantitative restrictions and non-discriminatory treatment.Given the limited scope of general exceptions,the legitimacy of the majority of supply chain due diligence rules under the WTO rules is questionable.Some of the supply chain due diligence rules use the legitimate reason of corporate social due diligence to cover up the purpose of economic sanctions or trade protection.China should urge other countries to withdraw illegal supply chain due diligence rules through the"hard constraint"of WTO rules,and urge them to consciously limit the scope of application of supply chain due diligence rules through the"soft constraint"of WTO's international discourse,so as to promote supply chain due diligence rules on the basis of conformity with WTO rules.WTO rules promote international cooperation in supply chain due diligence,and balances the development needs of international trade and the interests of all countries.

关 键 词：供应链尽职调查 数量限制 最惠国待遇 一般例外 WTO规则 

分 类 号：F744[经济管理—国际贸易]