WTO例外条款:理论解析与中国实践

WTO Exceptions: Theoretical Analysis and China' s Practices

例外条款是WTO平衡贸易目标与非贸易目标的重要条款,它对设置义务的一般性规则或原则加以限定或限制。在WTO争端案中,被诉方可以援引例外条款来抗辩被诉措施的合法性。专家组和上诉机构为识别例外条款确立了一些标准,如对例外与排除适用规则进行区分、考虑规则本身的性质及重要性以及将当事人的态度作为重要考虑因素等,但实践中却并未完全遵行这些标准。肯定性抗辩是争端解决实践中与例外紧密联系的一个概念,一般而言,例外与肯定性抗辩并不存在本质区别,专家组和上诉机构基本在大体相同的意义上使用这两个词语。中国应在未来的争端案中更多地提出例外条款抗辩,如获支持将极大地维护我国的权益。

Exception is a kind of important rule in WTO which balances trade and non-trade objectives. It limits general rules or principles setting obligations. In WTO disputes, the respondent may invoke exceptions to defend the legitimacy of their measures. The WTO panels and Appellate Body established a number of standards to identify exceptions, such as differentiation between exceptions and exclude application rules, consideration of the nature and importance of the rules as well as the attitudes of the parties and so on, but in practice these standards are not fully complied with. Affi rmative defence is a concept in close contact with exception in dispute settlement practice. In general, there are no essential differences between exception and affi rmative defence, they are basically used in much the same way by the panels and Appellate Body. China should make more use of exception as defences in future disputes, which would greatly benefit China if supported by the Dispute Settlement Body.