WTO安全例外条款研究
摘要
在世贸组织的各项协议中，存在着众多复杂、分散的例外条款。其中，安全例外条款尤其引人注目。其分布广泛，涉及货物贸易、服务贸易、与贸易有关的知识产权等，它允许世贸组织(WTO)成员方为维护特定的国家安全利益而可以采取背离WTO的任何原则和规定的措施。为世贸组织各成员方维护本国的国家安全利益而背离其义务开辟了“免责”通道。我国现已成为世贸组织成员方，在实践和执行WTO各协议的实践中，完全有权合法、有效地运用WTO安全例外条款，在特定情况下实施贸易限制措施，以维护我国的国家安全利益。目前，国内虽已对WTO进行了大量有价值的研究，但关于安全例外的专著及专题性论文却殊为少见。因此，本文试图在这方面有所突破，使用案例法、条文解释法、文献研究法等法学研究方法对该条款作出初步研究，并针对我国立法和实践中的不足，提出实用的法律对策。
本文共分五个部分，第一部分为引言，指出对WTO安全例外条款予以研究的必要性和现实意义。
第二部分为WTO安全例外条款概述。首先指出例外条款的概念及分类，其次列出安全例外条款的概念及架构，然后阐述安全例外条款的由来及其成因，最后分析了安全例外条款的法理基础和法律特征。
第三部分，着重阐述WTO安全例外条款的价值与缺陷。首先，阐述了安全例外条款的价值，其次分析了安全例外条款在条文方面和监督机制方面的缺陷，最后提出了关于完善安全例外条款的一些设想。
第四部分，分析了援用WTO安全例外条款的条件。在该部分中本文着重分析了“国家基本安全利益”、“国际关系中的紧张局势”、“所必需”等几个重要条件。
第五部分是中国应对WTO安全例外条款的对策。首先，分析WTO
安全例外条款与两岸经贸关系;其次，讲述了Wl，O安全例外条款与香
港《基本法》第23条的关系，最后，介绍了我国利用安全例外条款的
现状及不足之处，提出了我国应采取的对策。
There exist a lot of exception clauses in the WTO agreements. The security exception clauses. Among them, especially drew attention. They exist widespread and involve trade in Goods, trade in service trade-revealed intellectual property. They allow WTO members to take measures to derogate and exempt from WTO obligations in order to safeguard specific interest of national security. They make it possible to exempt WTO members from their obligations in order to safeguard their basic motional security. Since our country has become WTO member, in the practice of implementing WTO agreements, we have the full right to use WTO general exception clause legally and effectively so that we can carry out trade-restrictive measures in the specific situation to safeguard our country's national security. It can be seen that it is very signification to study WTO security exception clauses. However, little studies has been made on security exception clauses in our country. Using methods such as clause-interpretation, case stu
dy and literature study, this paper aims at making preliminary study and putting forward comprehensive, practical legal countermeasures in view of the defeats of our country's legislation and practice.
The paper is composed of five sections. The first section is one introduction. It indicates the necessity and practical significance of the research on WTO security exception clause.
The second section is a survey of WTO security exception clauses. At first, the concept and classification of exceptions is pointed out, then the concept and the framework of security exception clause is set out, then the forming history and origin of security exception is expounded, and then the
legal principle and legal features of security exception one anglicized.
The third section mainly anal sizes its defect and value of security exception. Some advices to perfect security exception clause are put forward on the base of the analysis of is defects both in the provisions and in the supervisory mechanism.
The fourth section analyses the requirements of using WTO security exception clause. In this section, such important requirement as "Its essential security interest", "tense situation of international relations" and "it considers necessary" are emphasized.
The fifth section is about Chinese legal countermeasures to WTO security exception douse. After introducing the present legal situation of Chinese usage of security exception clauses and its deficiency. It puts forward the countermeasures that our country should take.
本文共分五个部分，第一部分为引言，指出对WTO安全例外条款予以研究的必要性和现实意义。
第二部分为WTO安全例外条款概述。首先指出例外条款的概念及分类，其次列出安全例外条款的概念及架构，然后阐述安全例外条款的由来及其成因，最后分析了安全例外条款的法理基础和法律特征。
第三部分，着重阐述WTO安全例外条款的价值与缺陷。首先，阐述了安全例外条款的价值，其次分析了安全例外条款在条文方面和监督机制方面的缺陷，最后提出了关于完善安全例外条款的一些设想。
第四部分，分析了援用WTO安全例外条款的条件。在该部分中本文着重分析了“国家基本安全利益”、“国际关系中的紧张局势”、“所必需”等几个重要条件。
第五部分是中国应对WTO安全例外条款的对策。首先，分析WTO
安全例外条款与两岸经贸关系;其次，讲述了Wl，O安全例外条款与香
港《基本法》第23条的关系，最后，介绍了我国利用安全例外条款的
现状及不足之处，提出了我国应采取的对策。
There exist a lot of exception clauses in the WTO agreements. The security exception clauses. Among them, especially drew attention. They exist widespread and involve trade in Goods, trade in service trade-revealed intellectual property. They allow WTO members to take measures to derogate and exempt from WTO obligations in order to safeguard specific interest of national security. They make it possible to exempt WTO members from their obligations in order to safeguard their basic motional security. Since our country has become WTO member, in the practice of implementing WTO agreements, we have the full right to use WTO general exception clause legally and effectively so that we can carry out trade-restrictive measures in the specific situation to safeguard our country's national security. It can be seen that it is very signification to study WTO security exception clauses. However, little studies has been made on security exception clauses in our country. Using methods such as clause-interpretation, case stu
dy and literature study, this paper aims at making preliminary study and putting forward comprehensive, practical legal countermeasures in view of the defeats of our country's legislation and practice.
The paper is composed of five sections. The first section is one introduction. It indicates the necessity and practical significance of the research on WTO security exception clause.
The second section is a survey of WTO security exception clauses. At first, the concept and classification of exceptions is pointed out, then the concept and the framework of security exception clause is set out, then the forming history and origin of security exception is expounded, and then the
legal principle and legal features of security exception one anglicized.
The third section mainly anal sizes its defect and value of security exception. Some advices to perfect security exception clause are put forward on the base of the analysis of is defects both in the provisions and in the supervisory mechanism.
The fourth section analyses the requirements of using WTO security exception clause. In this section, such important requirement as "Its essential security interest", "tense situation of international relations" and "it considers necessary" are emphasized.
The fifth section is about Chinese legal countermeasures to WTO security exception douse. After introducing the present legal situation of Chinese usage of security exception clauses and its deficiency. It puts forward the countermeasures that our country should take.
引文
[1] 曾令良．世界贸易组织法[M]．武汉：武汉大学出版社，1996。
[2] 陈卫东著．《WTO例外条款解读》．北京：对外经济贸易大学出版社，2002。
[3] 周林彬，郑远远．《WTO规则例外和例外规则》，广州：广东人民出版社，2000。
[4] 赵维田．《世贸组织(WTO)的法律制度》，长春：吉林人民出版社．2000。
[5] 伯纳德·霍克尔、迈克尔·考斯泰基著．刘平等译．《世界贸易体制政治经济学——从关贸总协定到世界贸易组织》，北京：法律出版社，1999。
[6] 邓力平、张定中．《入世：理性透视》，合肥：安徽人民出版社，2000．
[7] 周林彬，郑远远．《WTO例外的基础理论问题探析》，载《经济法论丛》第六卷，漆多俊主编。
[8] 梁西主编．《国际法》(修订第二版)，武汉：武汉大学出版社，2000。
[9] 李小年编著．《WTO法律规则与争端解决机制》，上海：上海财经大学出版社，2000。
[10] [美]曼库·奥尔森著，吕应中等译．《国际兴衰探源—经济增长、滞胀与社会僵化》，北京：商务印书馆，1999年。
[11] [美]丹尼·罗德瑞克著，熊贤良、何蓉译．《全球化走得太远了吗》，北京：北京大学出版社，2000。
[12] 饶戈平著．《国际组织法》，北京：北京大学出版社，1996。
[13] 王铁崖主编．《国际法》，北京：法律出版社，1995。
[14] 曹建明、贺小勇著．《世界贸易组织》，北京：法律出版社，1999。
[15] 邓志能编著．《WTO例外规则》南宁：广西民族出版社，2001。
[16] 参见余敏友．《世界贸易组织争端解决机制法律与实践》，武汉：武汉大学出版社，1998。
[17] 石广生主编．《中国加入世界贸易组织知识读本(二)》 北京：人民出版社，2002。
[18] 参见郭平坦．《台湾加入WTO对两岸经贸关系的影响》网址：www.china news.Org
[19] 钱其．《坚持“和平统一、一国两制”基本方针，努力推动两岸关系发展》(人民日报)(海外版)，2002。
[20] 新华社2001年10月31日点．《国台办发言：两岸之间的问题不需借助WTO架构解决》(http:11202.106.83.158/xxjb0042,htm)
[1] John·H·Jackson. World trade and law of GATT(1969).
[2] General Agreement on Tariffs And Trade(GATT1994), Article ⅩⅩ Ⅰ.
[3] GATT, Analytical index : Guide to GATT Law and Practice, Updated 6th Edition (1995).
[4] Anne O. Krueger(ed), The WTO as an International Organization, The University of Chicago Press 1998.
[5] Bernard Hoekman, Mickel Kostecki: The Political Economy of the World Trading System-From GATT to WTO, the University of Michigan Press.
[6] Krishner Orin and Berstein Edward.M, The Bretton Woods——GATT SYSTEM: Retrospect and Prospect Offer 50Year, NY: Me, jsharpe, 1996.
[7] Bernard M. Hoekman and Michel M. Kostecki: The political Economy of the world trading system (1995).
[8] GATT, Analytical Index: Guide to GATT Law and practice, Updated 6th Edition (1995).
[9] See: Report of the Council of Representatives on work carried out since the thirty-seventh session of the Contracting Partied, doc.L/5414,12Nov. 1982.
[10] GATT Doc. L/5426(1982), in GATT, Analytical Index: Guide to GATT law and practice. Updated 6'h Edition (1995).
[11] Hannes L. sdhloemann and Stefan ohlhoff. Constitutionalization" and Disputed Settlement in The WTO: National Security as an Issue of Competence, The American Journal of International Law. Vol. 93 (1999)NO.2.
[12] GATT Doc. [/M/196. at] (1986), in GATT. Analytical Index: Guide to GATT Law and practice, updated 6th Edition (1995).
[13] Hannes L. sdhloemann and Stefan ohlhoff. "Constitutionalization" and Dispute Settlement in the WTO: National security as an Issue of Competence. The American Journal of International Law. Vol, 93(1999), No.2.
[14] M.J.Hahn. Vital Interests and the Law of GATT: An Analysis of GATT's Security Exception. Michigan Journal of International Law. Vol. 12(1991).
[15] Kees Jan Kuilwijk, Castro's Cuba and the U.S. Helms-Burton Act—An Interpretation of the GATT Security Exemption, Journal of World Trade, Vol.31 (1997) No.4.
[16] Wesley A. Cann, Creating Standards and Accountability for the use of the WTO Security Exception: Reducing a New Balance between Sovereignty and Multilateralism, Yale Joumal of International Law, Vol.26 (2001), No.4.
[17] Kees Jan Kuilwijk, Castro's Cuba and the U.S. Helms-Burton Act—An Interpretation of the GATT Security Exemption, Journal of World Trade, Vol.31 (1997) No.4.
[18] http://www-svca. WTO—ministerial. Org/english/thewto-e/minist-e/minol-e/min01-e/min01-11 nov-e.htm
[2] 陈卫东著．《WTO例外条款解读》．北京：对外经济贸易大学出版社，2002。
[3] 周林彬，郑远远．《WTO规则例外和例外规则》，广州：广东人民出版社，2000。
[4] 赵维田．《世贸组织(WTO)的法律制度》，长春：吉林人民出版社．2000。
[5] 伯纳德·霍克尔、迈克尔·考斯泰基著．刘平等译．《世界贸易体制政治经济学——从关贸总协定到世界贸易组织》，北京：法律出版社，1999。
[6] 邓力平、张定中．《入世：理性透视》，合肥：安徽人民出版社，2000．
[7] 周林彬，郑远远．《WTO例外的基础理论问题探析》，载《经济法论丛》第六卷，漆多俊主编。
[8] 梁西主编．《国际法》(修订第二版)，武汉：武汉大学出版社，2000。
[9] 李小年编著．《WTO法律规则与争端解决机制》，上海：上海财经大学出版社，2000。
[10] [美]曼库·奥尔森著，吕应中等译．《国际兴衰探源—经济增长、滞胀与社会僵化》，北京：商务印书馆，1999年。
[11] [美]丹尼·罗德瑞克著，熊贤良、何蓉译．《全球化走得太远了吗》，北京：北京大学出版社，2000。
[12] 饶戈平著．《国际组织法》，北京：北京大学出版社，1996。
[13] 王铁崖主编．《国际法》，北京：法律出版社，1995。
[14] 曹建明、贺小勇著．《世界贸易组织》，北京：法律出版社，1999。
[15] 邓志能编著．《WTO例外规则》南宁：广西民族出版社，2001。
[16] 参见余敏友．《世界贸易组织争端解决机制法律与实践》，武汉：武汉大学出版社，1998。
[17] 石广生主编．《中国加入世界贸易组织知识读本(二)》 北京：人民出版社，2002。
[18] 参见郭平坦．《台湾加入WTO对两岸经贸关系的影响》网址：www.china news.Org
[19] 钱其．《坚持“和平统一、一国两制”基本方针，努力推动两岸关系发展》(人民日报)(海外版)，2002。
[20] 新华社2001年10月31日点．《国台办发言：两岸之间的问题不需借助WTO架构解决》(http:11202.106.83.158/xxjb0042,htm)
[1] John·H·Jackson. World trade and law of GATT(1969).
[2] General Agreement on Tariffs And Trade(GATT1994), Article ⅩⅩ Ⅰ.
[3] GATT, Analytical index : Guide to GATT Law and Practice, Updated 6th Edition (1995).
[4] Anne O. Krueger(ed), The WTO as an International Organization, The University of Chicago Press 1998.
[5] Bernard Hoekman, Mickel Kostecki: The Political Economy of the World Trading System-From GATT to WTO, the University of Michigan Press.
[6] Krishner Orin and Berstein Edward.M, The Bretton Woods——GATT SYSTEM: Retrospect and Prospect Offer 50Year, NY: Me, jsharpe, 1996.
[7] Bernard M. Hoekman and Michel M. Kostecki: The political Economy of the world trading system (1995).
[8] GATT, Analytical Index: Guide to GATT Law and practice, Updated 6th Edition (1995).
[9] See: Report of the Council of Representatives on work carried out since the thirty-seventh session of the Contracting Partied, doc.L/5414,12Nov. 1982.
[10] GATT Doc. L/5426(1982), in GATT, Analytical Index: Guide to GATT law and practice. Updated 6'h Edition (1995).
[11] Hannes L. sdhloemann and Stefan ohlhoff. Constitutionalization" and Disputed Settlement in The WTO: National Security as an Issue of Competence, The American Journal of International Law. Vol. 93 (1999)NO.2.
[12] GATT Doc. [/M/196. at] (1986), in GATT. Analytical Index: Guide to GATT Law and practice, updated 6th Edition (1995).
[13] Hannes L. sdhloemann and Stefan ohlhoff. "Constitutionalization" and Dispute Settlement in the WTO: National security as an Issue of Competence. The American Journal of International Law. Vol, 93(1999), No.2.
[14] M.J.Hahn. Vital Interests and the Law of GATT: An Analysis of GATT's Security Exception. Michigan Journal of International Law. Vol. 12(1991).
[15] Kees Jan Kuilwijk, Castro's Cuba and the U.S. Helms-Burton Act—An Interpretation of the GATT Security Exemption, Journal of World Trade, Vol.31 (1997) No.4.
[16] Wesley A. Cann, Creating Standards and Accountability for the use of the WTO Security Exception: Reducing a New Balance between Sovereignty and Multilateralism, Yale Joumal of International Law, Vol.26 (2001), No.4.
[17] Kees Jan Kuilwijk, Castro's Cuba and the U.S. Helms-Burton Act—An Interpretation of the GATT Security Exemption, Journal of World Trade, Vol.31 (1997) No.4.
[18] http://www-svca. WTO—ministerial. Org/english/thewto-e/minist-e/minol-e/min01-e/min01-11 nov-e.htm