WTO條約解釋規(guī)則初步分析

1、第四講WTO條約解釋規(guī)則初步分析1 WTO爭端解決中的條約解釋規(guī)則 1969年維也納條約法公約第31條 1969年維也納條約法公約第32條 2 WTO爭端解決中的條約解釋規(guī)則 “WTO爭端解決體制在為多邊貿(mào)易體制提供安全性和可預(yù)測性方面是一個核心因素。各成員認(rèn)識到該體制適于保護各成員在所涉相關(guān)協(xié)定項下的權(quán)利和義務(wù)，及依照國際公法上的解釋習(xí)慣規(guī)則（customary rules of interpretation of public international law）澄清這些協(xié)定的現(xiàn)有規(guī)定。DSB的建議和裁決不能增加或減少所涉相關(guān)協(xié)定所規(guī)定的權(quán)利和義務(wù)。”（關(guān)于爭端解決規(guī)則與程序的諒解第3條第

2、2款） 3 WTO爭端解決中的條約解釋規(guī)則 “ This rule has received its most authoritative and succinct expression in the Vienna Convention on the Law of Treaties (the Vienna Convention) which provides in relevant part:ARTICLE31General rule of interpretation1.A treaty shall be interpreted in good faith in accordance wit

3、h the ordinary meaning to be given to the terms of the treaty in their context and in the light of its object and purpose. 4 WTO爭端解決中的條約解釋規(guī)則 That general rule of interpretation has attained the status of a rule of customary or general international law. As such, it forms part of the customary rules

4、of interpretation of public international law which the Appellate Body has been directed, by Article3(2) of the DSU, to apply in seeking to clarify the provisions of the General Agreement and the other covered agreements of the Marrakesh Agreement Establishing the World Trade Organization (the WTO A

5、greement). That direction reflects a measure of recognition that the General Agreement is not to be read in clinical isolation from public international law.” (United States - Standards for Reformulated and Conventional Gasoline, WT/DS2/AB/R,29 April 1996 )5 WTO爭端解決中的條約解釋規(guī)則 “There can be no doubt th

6、at Article 32 of the Vienna Convention, dealing with the role of supplementary means of interpretation, has also attained the same status. ” （Report of the Appellate Body, Japan-Taxes on Alcoholic Beverages, WT/DS8/AB/R, 4 October 1996 ）61969年維也納條約法公約第31條 “解釋之通則”(General rule of interpretation) 1、條約

7、應(yīng)依其用語按其上下文并參照條約之目的及宗旨所具有之通常意義，善意解釋之。 2、就解釋條約而言，上下文除指連同弁言及附件在內(nèi)之約文外，并應(yīng)包括： （a）全體當(dāng)事國間因締結(jié)條約所訂與條約有關(guān)之任何協(xié)定； （b）一個以上當(dāng)事國因締結(jié)條約所訂并經(jīng)其他當(dāng)事國接受為條約有關(guān)文書之任何文書。 3、應(yīng)與上下文一并考慮者尚有： （a）當(dāng)事國嗣后所訂關(guān)于條約之解釋或其規(guī)定之適用之任何協(xié)定； （b）嗣后在條約適用方面確定各當(dāng)事國對條約解釋之協(xié)定之任何慣例； （c）適用于當(dāng)事國間關(guān)系之任何有關(guān)國際法規(guī)則。 4、倘經(jīng)確定當(dāng)事國有此原意，條約用語應(yīng)使其具有特殊意義。71、用語(terms)字面意義（literal mea

8、ning）查字典: Shorter Oxford English Dictionary SPS協(xié)定附件A第4款關(guān)于“風(fēng)險評估”定義，即“對食品、飲料或飼料中存在的添加劑、污染物、毒素或致病有機體對人類或動物的健康所產(chǎn)生的潛在（potential）不利影響進(jìn)行評價” 其發(fā)生的潛在性（potential）或或然性（probability） (WT/DS26/AB/R，WT/DS48/AB/R，para.184 ) 82、上下文(Context)弁言及附件 作為一個整體的協(xié)定因締結(jié)條約所訂之有關(guān)協(xié)定條約有關(guān)文書之任何文書 服務(wù)部門分類表和1993年列表指導(dǎo)方針 “美國賭博服務(wù)案” （WT/DS285

9、 ）專家組和上訴機構(gòu)的不同理解 93、與上下文一并考慮的因素嗣后協(xié)定 TRIPS協(xié)定和公共健康宣言 “我們同意TRIPS協(xié)定沒有也不應(yīng)該禁止各成員方采取措施保護公共健康。因此，在重申我們對于TRIPS協(xié)定的承諾的同時，我們確認(rèn)該協(xié)定能夠而且應(yīng)當(dāng)以一種支持WTO成員保護公共健康的權(quán)利以及特別地促進(jìn)所有人可獲得藥品的方式來解釋和執(zhí)行?！?10嗣后慣例 GATT專家組報告的法律地位 “The Panel noted that other GATT and WTO panels have interpreted Article III and that panel reports adopted by

10、 the GATT CONTRACTING PARTIES and the WTO Dispute Settlement Body constitute subsequent practice in a specific case by virtue of the decision to adopt them. Article 1(b)(iv) of GATT 1994 provides institutional recognition that adopted panel reports constitute subsequent practice. (WT/DS8/R, 11 July

11、1996, para.6.10. )11 GATT專家組報告的法律地位 “Generally, in international law, the essence of subsequent practice in interpreting a treaty has been recognized as a concordant, common and consistent sequence of acts or pronouncements which is sufficient to establish a discernable pattern implying the agreemen

12、t of the parties regarding its interpretation. An isolated act is generally not sufficient to establish subsequent CONTRACTING PARTIES” （WT/DS8/AB/R，pp.12-13）12有關(guān)國際法規(guī)則規(guī)則的范圍：條約還是習(xí)慣當(dāng)事國的范圍：三種不同理解時際法的因素：演進(jìn)性解釋134、目的和宗旨 While ArticleXX was not modified in the Uruguay Round, the preamble attached to the WT

13、O Agreement shows that the signatories to that Agreement were, in 1994, fully aware of the importance and legitimacy of environmental protection as a goal of national and international policy. The preamble of the WTOAgreement - which informs not only the GATT 1994, but also the other covered agreeme

14、nts - explicitly acknowledges the objective of sustainable development As this preambular language reflects the intentions of negotiators of the WTO Agreement, we believe it must add colour, texture and shading to our interpretation of the agreements annexed to the WTO Agreement, in this case, the G

15、ATT1994. （ WT/DS58/AB/R ）145、特殊意義 “多余的條款”？ 特定語境中的“通常意義”15對各要素的綜合把握各要素之間的邏輯順序非等級順序委員會在該條的標(biāo)題“解釋通則”中使用了單數(shù)形式，強調(diào)了第1段和第2段之間以及第3段和前兩段之間的關(guān)系，意圖表明該條規(guī)定中的各解釋方法的適用是一個綜合的運作過程。因此，第27條標(biāo)題中的“解釋通則”使用的是單數(shù)形式而非復(fù)數(shù)形式，因為委員會想要強調(diào)解釋的過程是一個整體，該條中的諸款規(guī)定構(gòu)成單一的、高度整合的規(guī)則。委員會認(rèn)為，當(dāng)對該條規(guī)定作出整體性解讀時，不應(yīng)被看成在條約解釋規(guī)范間設(shè)定了法律上的等級順序。該條規(guī)定中的解釋要素具有一定的先后順序

16、。但這是邏輯上的考慮，不是有強制力的法律上的等級順序，這指引著委員會在該條規(guī)定中作出了這樣的安排。161969年維也納條約法公約第32條“解釋之補充資料” 為證實由適用第31條所得之意義起見，或遇依第31條作解釋而： （a）意義仍屬不明或難解；或 （b）所獲結(jié)果顯屬荒謬或不合理時，為確定其意義起見，得使用解釋之補充資料，包括條約之準(zhǔn)備工作及締約之情況在內(nèi)。17“解釋之補充資料”的范圍:不確定“解釋之補充資料”的特點: Unequal Partial Confusing “解釋之補充資料”的地位18推薦閱讀1.Ian Sinclair, The Vienna Convention on the Law of Treaties (second edition), Manchester University Press, 19842.Michael Lennard, Navigating By the Stars