國際貿易與國家安全－GATT第XXI條安全例外條款之研析

International Trade and National Security-An Analysis of Article XXI of GATT on Security Exception

李貴英(Catherine Li)

《臺大法學論叢》 34卷4期 (2005/07) Pp. 229-282

https://doi.org/10.6199/NTULJ.2005.34.04.05

摘要

GATT第XXI條規定各締約國得以維護其基本安全爲由，排除其於GATT之下所應盡之義務。雖然明白援引此一例外之實例並不多，但是其重要性卻未嘗稍減。第XXI:(b)條係安全例外條款當中最重要且極具爭論性之規定，但是由於其並未定義何謂「其認爲必要」與「基本安全利益」等關鍵用詞，因此例外之範圍並未被明確的界定。再者由於援引安全例外條款之締約國得採取其認爲保護其基本安全利益所必要之行動，因而引起適用GATT第XXI條所生之爭端可否交付爭端解決小組予以審查之問題。然而爭端解決小組如何處理涉及安全例外條款之爭端案件，迄今仍屬而未決之問題。雖然若干學者提倡建立一套援用GATT第XXI條之評估標準，不過基於國家主權與國家安全之考量，可能導致WTO會員寧可GATT第XXI條之模糊空間，且不受WTO爭端解決機制所管轄。基此，本文擬就GATT第XXI條之本質、實踐，以及爭端解決之問題予以分析，並探討建立援引安全例外條款之客觀標準及其可行性。

關鍵字

關稅暨貿易總協定 ； 世界貿易組織 ； 國家安全例外 ； 爭端解決小組 ； 爭端解決規則及程序瞭解書 ； 福克蘭群島戰爭 ； 何姆斯－伯頓法案 ； 片面貿易制裁 ； 成本效益分析 ； 外交施壓

並列摘要

The exception to GATT obligations for national security reasons is set forth in Article XXI of GATT. This exception, while rarely invoked explicitly, is highly significant. Article XXI: (b) is the most important and controversial portion of this exception, because the GATT does not define critic al term s such as ”it considers necessary” and ”essential security interests”. Consequently, the scope of the exception in Article XXI is not readily discernable. Similarly, the fact that an invoker of the security exception may take any action to protect ”essential security interests” that ”it considers necessary” leaves open the question of whether the use of Article XXI is subject to review by a Panel. However, the question of whether a Panel has jurisdiction over this exception has never been definitively settled. Although some scholars suggest a variety of standards to be weighed when considering the invocation of security-based sanctions, sovereignty concerns intertwined with questions of national security may cause WTO members to prefer an ambiguous Article XXI that remains outside the bodies of WTO dispute settlement. This article provides a brief overview of the nature, the implementation, and the jurisdictional question behind Article XXI. It also explores the possibility of creating standards for the use of the security exception.

並列關鍵字

GATT ； WTO ； national security exception ； Panel ； DSU ； Falkland Islands War ； The Helms-Burton Act ； unilateral trade sanction ； cost-effectiveness approach ； diplomatic pressure

參考文獻

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Bhala, R.(1999).The Myth about Stare Decisis and international Trade Law (Part One of a Trilogy).