WTO安全例外条款解释与适用研究——以中美半导体措施案为例  

Research on Interpretation and Application of WTO Security Exception Provisions:Taking China-U.S.Semiconductor Measures Case as an Example

作　　者：鄂晓梅[1] E Xiaomei

机构地区：[1]内蒙古大学法学院

出　　处：《国际法研究》2024年第6期74-91,共18页Chinese Review of International Law

基　　金：2020年度国家社会科学基金重点项目“国家安全凸显背景下的国际贸易规则变革与中国应对策略研究”(20AFX025)的阶段性研究成果。

摘　　要：2022年10月起,美国开始全面限制向中国出口特定半导体产品以及相关的技术服务等,并援引WTO安全例外条款为其措施辩护。近几年,WTO发布了多个与安全例外条款相关的专家组报告,中国或作为当事方或作为第三方参与到这些争端中。在这些争端中,援引例外条款的成员所依据的事实和理由逐渐从传统的国家安全事项向知识产权、经济安全乃至民主和人权问题演变,WTO主要成员之间就该条款的解释和适用问题存在巨大分歧。从WTO已发布的专家组裁决、WTO成员的态度、例外条款谈判历史以及学者的观点可以看到,美国对中国采取的广泛而严苛的半导体贸易限制措施不符合WTO安全例外条款。WTO成员应秉持善意和克制原则援引安全例外条款,给予条款中的“基本安全利益”“国际关系中的紧急情况”等关键用语清晰明确的定义和范围,帮助WTO成员在维护国家基本安全利益与防止安全例外滥用之间达成有效的平衡。Since October 2022,the United States began to impose a comprehensive ban on the export of certain semiconductor products,and related services and technologies destined for or in relation to China,and has invoked WTO's security exception provisions as justification.In recent years,WTO have circulated several panel reports relating to security exception provisions.China has participated in these disputes as parties or as third parties.In these disputes,the facts and grounds cited by invoking members have gradually evolved from traditional issues of national security to intellectual property,economic security,and even democracy and human rights issues.There are significant differences among WTO members on the interpretation and application of the security exception provisions.From WTO panel reports,members'positions,negotiation history and the views of scholars,it can be seen that the extensive and stringent semiconductor ban imposed by the United States against China do not comply with the WTO security exception provisions.The WTO Members should act in good faith and exercise restraint in invoking security exception provisions,and give a clear definition and scope to the key terms in the provisions such as“essential security interests”and“emergency in international relations”,so as to help WTO members to strike an effective balance between safeguarding essential national security interests and preventing the abuse of the security exceptions.

关 键 词：国家安全 安全例外 安全例外条款 GATT 1994第21条 WTO 

分 类 号：D92[政治法律—法学]