WTO条约解释规则初步分析

1、第四讲WTO条约解释规则初步分析1 WTO争端解决中的条约解释规则 1969年维也纳条约法公约第31条 1969年维也纳条约法公约第32条 2 WTO争端解决中的条约解释规则 “WTO争端解决体制在为多边贸易体制提供安全性和可预测性方面是一个核心因素。各成员认识到该体制适于保护各成员在所涉相关协定项下的权利和义务，及依照国际公法上的解释习惯规则（customary rules of interpretation of public international law）澄清这些协定的现有规定。DSB的建议和裁决不能增加或减少所涉相关协定所规定的权利和义务。”（关于争端解决规则与程序的谅解第3条第

2、2款） 3 WTO争端解决中的条约解释规则 “ 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争端解决中的条约解释规则 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争端解决中的条约解释规则 “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年维也纳条约法公约第31条 “解释之通则”(General rule of interpretation) 1、条约

7、应依其用语按其上下文并参照条约之目的及宗旨所具有之通常意义，善意解释之。 2、就解释条约而言，上下文除指连同弁言及附件在内之约文外，并应包括： （a）全体当事国间因缔结条约所订与条约有关之任何协定； （b）一个以上当事国因缔结条约所订并经其他当事国接受为条约有关文书之任何文书。 3、应与上下文一并考虑者尚有： （a）当事国嗣后所订关于条约之解释或其规定之适用之任何协定； （b）嗣后在条约适用方面确定各当事国对条约解释之协定之任何惯例； （c）适用于当事国间关系之任何有关国际法规则。 4、倘经确定当事国有此原意，条约用语应使其具有特殊意义。71、用语(terms)字面意义（literal mea

8、ning）查字典: Shorter Oxford English Dictionary SPS协定附件A第4款关于“风险评估”定义，即“对食品、饮料或饲料中存在的添加剂、污染物、毒素或致病有机体对人类或动物的健康所产生的潜在（potential）不利影响进行评价” 其发生的潜在性（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 作为一个整体的协定因缔结条约所订之有关协定条约有关文书之任何文书 服务部门分类表和1993年列表指导方针 “美国赌博服务案” （WT/DS285

9、 ）专家组和上诉机构的不同理解 93、与上下文一并考虑的因素嗣后协定 TRIPS协定和公共健康宣言 “我们同意TRIPS协定没有也不应该禁止各成员方采取措施保护公共健康。因此，在重申我们对于TRIPS协定的承诺的同时，我们确认该协定能够而且应当以一种支持WTO成员保护公共健康的权利以及特别地促进所有人可获得药品的方式来解释和执行。” 10嗣后惯例 GATT专家组报告的法律地位 “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专家组报告的法律地位 “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有关国际法规则规则的范围：条约还是习惯当事国的范围：三种不同理解时际法的因素：演进性解释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、特殊意义 “多余的条款”？ 特定语境中的“通常意义”15对各要素的综合把握各要素之间的逻辑顺序非等级顺序委员会在该条的标题“解释通则”中使用了单数形式，强调了第1段和第2段之间以及第3段和前两段之间的关系，意图表明该条规定中的各解释方法的适用是一个综合的运作过程。因此，第27条标题中的“解释通则”使用的是单数形式而非复数形式，因为委员会想要强调解释的过程是一个整体，该条中的诸款规定构成单一的、高度整合的规则。委员会认为，当对该条规定作出整体性解读时，不应被看成在条约解释规范间设定了法律上的等级顺序。该条规定中的解释要素具有一定的先后顺序

16、。但这是逻辑上的考虑，不是有强制力的法律上的等级顺序，这指引着委员会在该条规定中作出了这样的安排。161969年维也纳条约法公约第32条“解释之补充资料” 为证实由适用第31条所得之意义起见，或遇依第31条作解释而： （a）意义仍属不明或难解；或 （b）所获结果显属荒谬或不合理时，为确定其意义起见，得使用解释之补充资料，包括条约之准备工作及缔约之情况在内。17“解释之补充资料”的范围:不确定“解释之补充资料”的特点: Unequal Partial Confusing “解释之补充资料”的地位18推荐阅读1.Ian Sinclair, The Vienna Convention on the Law of Treaties (second edition), Manchester University Press, 19842.Michael Lennard, Navigating By the Stars