WTO 안보예외조항 연구: WTO 미-중 반도체 분쟁 및 분쟁해결기구(DSB)에 대한 시사점
Panel Reports on WTO Agreement Security Exceptions: Implications for China-US Dispute on Semiconductor Export Controls and WTO Dispute Resolution System
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초록
WTO 협정의 안보예외조항은 회원국이 필수적 안보이익에 필요한 조치를 취하는 경우동 협정 상 의무로부터 면제하는 조항이다. 수십 년간 GATT 당사국 및 WTO 회원국은 해당조항의 남용이 다자무역체제를 심각하게 훼손시킬 수 있다는 의식을 갖고 분쟁 시 안보예외조항을 원용하는 것을 자제하였다. 그러나 최근 몇 년간 미국을 비롯한 다수의 회원국이WTO 분쟁에서 안보예외조항을 자주 원용하고 있다. 이 논문에서는 안보예외조항 관련 WTO 패널 보고서를 분석하고 현재 진행 중인 미중반도체 수출규제 분쟁 및 WTO 체제 전반에 대한 시사점을 살펴본다. 지금까지 패널 보고서에서 다루어진 GATT 제XXI조 제(b)호 (iii)목 등의 주요 쟁점은 (1) 안보예외조항이 자기판단적(self-judging)인지 여부 및 WTO 패널 관할권 보유 여부, (2) ‘필수적 안보이익보호에 필요한 조치’ 요건의 심리기준 및 (3) ‘국제관계상 비상상황’ 요건의 심리기준이다. WTO 패널은 지금까지 총 네 사건에서 안보예외조항의 전적인 자기판단성을 부인하고 패널의 관할권을 인정하였으며, 이 중 세 건에서 문제된 조치의 일부 또는 전부에 대해 안보예외조항 요건 충족을 부인하였다. 패널 판정례 상 미국이 중국과의 반도체 분쟁에서 GATT 제XXI조 (b)호 (iii)목의 객관적요건 충족을 인정받을 가능성이 낮으며, 지금까지 패널 보고서에 다루어지지 않은 GATT 제XXI조 (b)호 (ii)목의 경우 미국 측 주장의 인용 여부가 불확실하다. 미국의 대중 반도체수출규제의 경제안보정책 상 핵심적 위치를 고려할 때, 미국이 반도체 분쟁에서 부정적인결정을 받을 경우 미국의 WTO 체제에 대한 불만이 심화되는 한편 WTO 협정 상 안보예외조항의 개정 요구를 촉진할 가능성이 있다.
Abstract
The security exceptions under the WTO agreements exempt members from treaty obligations when they take certain measures deemed necessary for their essential security interests. For decades, GATT contractual parties and WTO members exercised self-restraint in evoking the security exceptions in dispute resolution proceedings, but recent years have seen a dramatic increase in members’ evocation of the security exceptions during WTO disputes. The United States is among the most prominent advocates of the security exceptions, and has maintained that the exceptions are “self-judging” — i.e., once a member evokes the exception during a WTO dispute, the panel should defer to the member’s judgment and decline to substantively review whether the requirements of the exception were met. This paper reviews recent WTO panel reports concerning the security exceptions and considers the implications of these decisions for the ongoing US-China dispute concerning the US’ semiconductor export control measures, as well as more generally for the WTO regime. All of the WTO panel reports issued thus far have concerned either Article XXI(b)(iii) of GATT or Article 73(b)(iii) of GATT, which are identical. The main interpretative issues in these provisions are (i) whether the security exceptions are self-judging and relatedly, whether WTO panels have jurisdiction over cases in which security exceptions are invoked; (ii) the standard of review applicable to “any action which it considers necessary for the protection of its essential security interests”; and (iii) the standard of review applicable to “taken in time of war or other emergency in international relations.” In four cases, the relevant WTO panel rejected the argument that the security provisions are entirely self-judging and found that WTO panels have jurisdiction to review claims where the security provisions are invoked. In three of these cases, the panel found that all or some of the contested measures did not fall within the scope of the in voked security exception. Based on existing panel rulings, it will likely be difficult for the US to prevail on a GATT Article 21(b)(iii) defense, while the outcome of an Article 21(b)(ii) defense is uncertain. Given the central role of these export controls in the US government’s economic and national security agenda, an adverse panel decision will deepen US dissatisfaction with the WTO dispute resolution system, and may prompt the US to call for an amendment of the security exceptions.
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