| 摘要: |
| 安全例外条款的模糊性表述让其具有多种解释的可能性，而不同的解释可能导致不同的裁判结果。在 DS512案中，WTO争端解决机构基本确定了安全例外条款的解释路径。在 DS567案中，WTO争端解决机构大体上延续了 DS512案确定的解释路径并明确了“善意原则”检验的标准。在 DS544案与 DS597案中，WTO争端解决机构严格按照《维也纳条约法公约》规定的条约解释方法再检验安全例外条款的解释路径。经过对DS512、DS567、DS544及 DS597案的审理，WTO争端解决机构确立了安全例外条款的解释路径，即由 WTO争端解决机构判断案件的现实情况是否符合安全例外条款列举的客观情况。成员方具有自行判断“基本安全利益”和措施“必要性”的权利，但 WTO争端解决机构有权基于“善意原则”审查之。中国从中得到的启示是：应该运用法律的手段解决“法律化的政治问题”；“疏导”和“围堵”策略并用，中国一方面可以在对外贸易中适用安全例外条款以贯彻落实“总体国家安全观”，另一方面应同其他成员方一道善意履约，谨防安全例外被滥用产生“破窗效应”。 |
| 关键词: 安全例外条款 GATT21条 解释路径 |
| DOI： |
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| 基金项目:国家社会科学基金重大项目“构建人类命运共同体国际法治创新研究”(项目编号:18ZDA153)；国家社会科学基金重点项目“‘人类命运共同体’国际法理论与实践研究”(项目批准号为:18AFX025)。由衷感谢复旦大学法学院梁咏和朱丹老师在本文写作过程中给予的建议和帮助。 |
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| The Interpretation Approach of WTO Security Exceptions and Implications for China |
| MA Zhongfa,XU Zichun |
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| Abstract: |
| The ambiguous expression of the security exception provision has rendered it susceptible to multiple interpretations, potentially leading to divergent judicial outcomes. In DS512, the DSB fundamentally established the interpretation approach for security exceptions. In DS567,the DSB largely followed the interpretation approach set forth in DS512 and clarified the criteria for the“good faith principle”test. In DS544 and DS597 cases,the DSB conducted a reexamination of the interpretation approach of the security exception clause in accordance with the rules of the Vienna Convention on the Law of Treaties. Following these pivotal cases—DS512, DS567, DS544, and DS597—the WTO has developed a relatively stable jurisprudence. The WTO Dispute Settlement Body assesses whether the objective circumstances warrant the application of the security exception, granting members the authority to determine the “essential security interests”and the“necessity”of measures but retaining the WTO Dispute Settlement Body’s power to review these decisions based on the “good faith principle”. China’s lessons learned from these cases include the necessity of employing legal means to address “legalized political issues”. By Implementing a dual approach of“guidance”and“containment”, China can apply the security exception clause in foreign trade to uphold its a holistic view of national security. Simultaneously, China should act in good faith alongside other WTO members to prevent the abuse of security exceptions, thus averting the emergence of a“broken window effect”. |
| Key words: security exception clause article XXI of GATT interpretation approach |
