SHORT GUIDE TO STATUTORY INTERPRETATION - OoCities 法定解释oocities指南

SHORTGUIDETOSTATUTORYINTERPRETATION

1. FundamentalRules

1.1 RegardlessofthewordingofanAct,thecourtisboundtogiveitsome

meaning.ThecourtcannotholdanActvoidforuncertainty.Scottv

Moses(1958)75WN(NSW)101.

1.2 Therulesofinterpretationareflexibleandmayapplydifferentlyindifferent

situation.KingstonvKeprosePtyLtd(1987)11NSWLR404at421-424.

Interpretationusingmaterialsintheact

2. IntrinsicMaterials

2.1 TheCrest,RegionalYear,NumberoftheAct,enactingWordsandtableof

contentsoftheActhavenolegaleffect.

2.2 Thelongtitleandpreambletoanactmaybeusedtoresolveambiguities

butnottorestrictorextendtheotherwiseplainmeaningoftheact.

2.3 Theshorttitle,accordingtoEnglishauthority,maybeusedtoresolve

ambiguitiesbutnottorestrictorextendtheotherwiseplainmeaningofthe

Act.ReBoaler[1915]KB21at40-41.

2.4 Theheadingofanactmadeaidinterpretationsubjecttothefollowing:

2.4.1 Wherethelanguageofasectionisclearthemeaningoftheheading

willgivewaytotheclearmeaningofthesection.

2.4.2 Wherethelanguageofasectionismoregeneral,butnotinconsistent

withtheheading,thenthesectionisreadsubjecttotheheading.

2.4.3 Wherethelanguageofasectionisdoubtfulorambiguousthemeaning

ofthesectionwhichwouldbeconsistentwiththeheadingisadopted.

K&SLakeCityFreightersPtyLtdvGordon&GotchLtd(1985)157CLR

309(1985157CLR309.

2.4.4 Headingtoparts,divisionsandsubdivisionsareconsideredpartofan

actunderActInterpretationActprovisions.Qld3.14(1),Cths.13(1).

2.5 Astomarginalnotes(Boldtypeatthebeginningofasectionin

modernlegislation)withinanActtheeffectofinterpretationdepends

onwhetherthemarginalnotesformpartoftheActornot.

2.5.1 WherethemarginalnotesdonotformpartoftheActtheActs

InterpretationActs.Qlds.14bandCths.15ABapply.

2.5.2 WherethemarginalnotesformpartofanActthentheActs

InterpretationActQlds.14(1)andCths.13(1)applysothatmarginal

notescanbeusedsimilarlytoheadings.

2.6 Whereascheduleappearsinanactitformspartoftheactandisto beinterpretedaccordingtotheplainwordsoftheschedule.

2.7 Punctuationdoesnotcontrolthemeaningofanactbutitisnottobe

whollydisregarded.

2.8 Whereanactisdividedintosectionsitisforconvenienceanddoes

notcontrolthemeaningoftheact,butisnottobewhollydisregarded,

similarlytopunctuation.

2.9 Compliancewithforms.Substantialcompliancewithformsas

specifiedbyanact,issufficient.AIAQlds.49,AIACthS.25C.

3. SyntacticalPresumptions

3.1 EjusdemGeneris:Wherealistofspecificwordsisfollowedbymoregeneralwords,themeaningofthegeneralwordsisrestrictedtothesameclasstheprecedingspecificwords.e.g.horse,cow,pig,goat,sheepandotheranimalswouldinisolationimplyotherfourleggedstockanimalsascomingwithinthesectionbutnotdomesticanimals,birdsorfish.

3.1.1 TheEjusdemGenerisrulecanberebuttedinthefollowingcircumstances:

(a) wherethespecificwordsaresowidethataclasscannotbe

defined.

(b) whereapplyingtheEjusdemGenerisrulewoulddefeatthegeneral

purposeonobjectoftheact

(c) wherethecontextinwhichthewordsappearsuggestsawider

meaning.

3.1.2 TheActsInterpretationActQlds.14DandCthS.15ADapplyin

interpretingtheuseofexamplesinacts.

3.2 NosciturASociis

Wordsofafeather,flocktogether.Thatisthatthewordsofanacttaketheirmeaningfromthewordsthattheyareassociatedwith.

3.3 ExpressioUniusEstExclusioAlterious

Wherethereisanexpressreferencetoonematteritindicatesthatothermattersareexcluded.Thiswillshouldbeusedcautiously.

3.4 LegesPosterioresprioresContrariasAbrogant

Lateractsorprovisionsimpliedlyamendorrepealearlierinconsistentactsorprovisionstotheextentoftheinconsistency.

3.5 GeneraliaSpecialibusNonDerogant

Latergeneralprovisionsdonotderogatefromearlierspecificprovisions,butarereadsubjecttothem.

3.5.1 ForacomparisonofLegesPosteriorEsandGeneraliaSpecialibus

seeHogervGibson,ExparteNoger[1987]1QdR419at420-2.

3.6 ThereisarebuttablepresumptionofReddendoSingulaSinguliswhich

wouldineffectputthewordrespectivelyattheendofaprovision,

givingeachtoeach.

3.7 Hendiadyscanbeusedtoaidinterpretationwheretwowordsjoinedby

thewordandpresenttheoneconcept,e.g.rockandroll.

4. MeaningofWords

4.1 Thegeneralruleisthatanactistobereadasawhole.Wordsareto

bereadintheircontextwithintheactasawhole.

4.2 Thecourtsarepreparedtousedictionariestoaidintheinterpretation

oftheordinarymeaningofaword,withthefollowingqualifications:

4.2.1. Caremustbetakenwhencompoundingwordse.g.unfair

competitionLeevTheShowmensGuildofGreatBritain[1952]2QB

329at337-8.

4.2.2 Themeaningofthewordmustbeobtainedfromadictionaryofthe

relevantjurisdiction.

4.2.3 Theactualwordsintheact,andnotsynonymsofthewordsintheact,

aretobeinterpreted.

4.2.4 Dictionariesonlyprovideopinionsasthemeaningofaword

4.3 AsageneralruledefinitionsectionswithinactsandinterpretationAct

provisionsapplytotheinterpretationofanact,unlessthecontrary

intentionappears.AIA(Qld)s.32A.

4.4 Whereawordisdefinedinanactandaderivativeofthatwordappears

intheact,thederivativewillhaveacorrespondingmeaningtothatof

theworddefined.e.g.occupy,occupier,occupation.

4.4.1 SeealsoAIAQlds.32andCths.18A

4.5 Thereisarebuttablepresumptionthatmeansisexclusivewhenused

inanact.

4.6 Thereisarebuttablepresumptiontheincludesisinclusivewhenused

inanact.

4.7 Deemedisusedtoascribeameaningtoawordorphrase

(a) whichisartificial;or

(b) inordertoputbeyonddoubtaparticularconstructive;or

(c) inordertogiveacomprehensivemeaningtothewordwhichincludes theobvioustheuncertainandtheimpossible.

4.8 Wordsareassumedtobeusedconsistentlythroughoutanact.

4.9 Wherethesamewordcouldbeusedagaininanactandadifferent

wordisused,itispresumedthatadifferentmeaningwasintended.

4.10 Wordsaretobegiventheircurrentmeaningsuchtheactisalways

speaking.TheCounciloftheShireofLakeMacquarievAberdare

CountyCouncil(1969)123CLR327at330-1.

4.11 Whereawordhasacquiredanestablishmentlegalmeaninge.g.

mortgagee,itwillbeinterpretedinaccordancewiththatmeaning

unlessthecontraryintentionclearlyappearsfromthecontextofthe

provision.

4.12 Wherenon-legalwordshaveacquiredatechnicalmeaningthecourt

willdetermineifithasthattechnicalmeaningwithintheact.

4.12.1 Thecourtwilldeterminewhatisthetechnicalmeaningby

referencetoevidence.

4.12.2 Expertevidenceisnotconclusive,thediscretionrestswiththe court.

4.13 Whereagenderisreferredtoinanactitreferstoallothergenders AIAQlds.32B,AIACths.23(a).

4.13.1 Tasmania,Victoria,SouthAustralia,WesternAustraliaandthe

NorthernTerritoryrefertomaleimputingfemaleandviceversa.

4.14 Wherethepluralisreferredtoitimpliesthesingularandviceversa.

AIAQlds.32candCths.23(b).

4.15 Whereapersonorpartyisreferredtoinanactitincludesa

corporation.AIAQlds.35andCths.22(1).

4.16 Whereagroupofwordsorparagraphsasconnectedbyororand

betweenthesecondlastandlastwords/paragraphs,thenprimafacie

thewordororandtoberegardedasappearingbetweeneach

word/paragraph.

4.16.1 Primafacieandisusedconjunctively,whichmeansthatall

words/paragraphsmustbesatisfied.

4.16.2 Primafacieorisuseddisjunctivelysothatonlyoneword/paragraph

needstobesatisfiedundertheprovision.

readasororviceversahavingregardto:

(a) thecontextoftheprovision;or

(b) whereitisestablishedthatamistakehasbeenmadeinthedraft

legislation.

4.17 UtResMagisValeatQuamPereat(itisbetterforathingtohave

effectthantobemadevoid).Wheretwopossibleinterpretationscan

bemadeofaprovisionwhichareconsistentwiththewording,thenthe

interpretationwhichwouldmaketheprovisionvalidandworkableisto

beused.

4.18 Shallandmay.Thereisnogeneralruleforthedeterminationofthe

meaningofshallandmayinaprovision.Thecourtwilldetermine

whetherthemeaningofthewordismandatoryordirectoryby

examinationofeachprovisioninthecontextinwhichitappears.

4.18.1 Shallisusuallymandatory.Mayisusuallydirectory.

4.18.2 Thecourtwillreadilyfindthatacontraryintentionappearsandthatthe

AIAdoesnotapplynotwithstandingAIA(Qld)s.32CA.

4.18.3 ShallasdirectoryHattonvBeaumont(1978)20ALR314at315-319.

4.18.4 MayasmandatoryReFettel(1952)528R(NSW)221at22308.

5. JurisdictionalPresumptions

5.1 Rebuttablepresumptionthatparliamentdoesnotlegislatebeyondits

territorialjurisdiction.

5.2 Rebuttablepresumptionthatparliamentdoesnotintendtolegislate

contrarytotherulesofinternationallaw.

5.3 Rebuttablepresumptionthatparliamentdoesnotlegislatetoalter

commonlawdoctrinesnorinvadecommonlawrights.

5.4 Rebuttablepresumptionthatparliamentdoesnotlegislatetobindthe

crown.BrophovStateofWA(1980-90);171CLR1.

5.5 Rebuttablepresumptionthatparliamentdoesnotlegislatetocreate

offencesofstrictliability.

5.6 Anactistobereaddownsoastobewithintheconstitutionalpowerof

therelevantlegislative.AIAQlds.9AIACths.15A.

5.7 Delegatedlegislationisreaddownsoasnottobebeyondthepowerofthe

enablingact.AIAQlds.21,AIACths.46(16).

5.8 AIACths.15AAcantbeusedtointerprettheCthconstitution.

6. GeneralRules

6.1 LiteralRules-thatthelanguageofastatutebereadinitsordinaryand

naturalsense.

6.1.2 Interpretationwithregardtotheintentionofparliamentisfondinthe

wordsoftheactwhenreadasawhole.AmalgamatedSocietyof

EngineersvAdelaideSteamshipCo.Ltd(1920)28CLR129at161-2.

6.2 GoldenRule-wheretheuseofawordinitsordinarysensewouldlead

toanabsurdity,repugnanceorinconsistencywiththerestofthe

instrumentthenthemeaningshouldbemodifiedtoavoidthatresult,

butnotmodifiedanymorethannecessary.

6.2.1 Tousethegoldenruletheremustbemorethanamereirregularity.

6.2.2 Thecourtsarepreparedtocorrectamistakewhichistheresultof

adraftingorprintingerror.

6.2.3 Thecourtsarenotpreparedtofillgapsinlegislationwhichhave notbeenforeseenbythelegislative.

6.2.4 Thecourtsarepreparedtotreatwordsinaprovisionasemplasage

wherethosewordsareincludedasaresultofincompetent

draftsmanship.

6.3 MischiefRules(Heydonscase(1584)76ER637)Wherethereis

ambiguityorinconsistencyinthelegislationthecourtwilllookatthe

remedythatParliamentintendedtousethemischiefanddefectforwhich

thecommonlawdidnotprovide.

6.3.1 Modernapproach.CooperBrookes(WollongongPtyLtdvFederal

CommissionerforTaxation(1981)147CLR297at319-323.

6.3.2 AIAQlds.14Alooksattheinterpretationthatwouldbestachievethe

purposeoftheact.AIACths.15AAlooksattheinterpretationthatwill

promotethepurposeoftheact.Theseprovisionshaveabroader

applicationthantheMischiefRulebecausetherearenopreconditions

ofambiguityorinconsistencytouse.NBS.15AAcantbeusedto

interprettheCthconstitution.

6.3.3 AIAactsapplytotheinterpretationofdelegatedlegislation.AIACth

s.46(a).StatutoryInstrumentsAct1992(Qld).

7. Time

7.1 ThereisageneralrulethatanActcomesintoeffectonthedate

specifiedordeterminedbytherelevantAct.

7.1.1 WheretheactissilentastothedatetheAIAQlds.15AandCth

s.5apply.

7.1.2 Thetimeofthedayatwhichtheactcommencesisatthe

beginningofthedayis12:00amaccordingtothecommonlaw

andseeAIAQlds.15BandCths.3(2).

7.2 Thereisageneralrulethatparliamentsarepresumedtolegislate

prospectivelyandtoonlyhavelimitedpowertolegislate

retrospectively. PolyukhorichvCthofAustralia(1990-1)172CLR500.

7.2.1 Thispresumptionisrebuttedby

(a) expressprovision

(b) necessaryimplicationorintention

(c) iftheActorprovisionisdeclaratoryinnature

(d) iftheActorprovisionaffectsproceduralprocessonly

RodwayvR(1990)169CLR515at518-24.

7.3 Whenmeasuringalengthoftime

(a) wheretimerunsfromaparticularday,actoreventthenthatdayis

excluded,and

(b) whereaprovisionexpresseotimeincleardays,thedayforfulfilment

isalsoexcluded

(c) anyothercaseincludesthedayforfulfilment.AIAQlds.38(1)and

Cths.36(1)

7.3.1 BeaumontofinDarwinBroadcastersPtyLtdvAustBroadcasting

Tribunal(1990)95ALR138heldthattheAIACthdidnotapplywhere

theprovisionbeinginterpretedsaidonagivendayandtheAIAsaid

fromagivenday.

7.3.2 Wherethelastdayofthecomplianceperiodisnotabusinessdaythe

nextbusinessdayapplies.AIAQlds.38(2)andCths.36(2).NBS.36

definesbusinessdayasbeingadaywhichisnotaSaturday,Sunday

orpublicholidayintheplacewheretheactistobedone.

7.3.3 Whereadocumentistobefiledonadayonwhichanofficeisclosed

thenthefilingmustbedoneonthenextdaythattheofficeisopen.

AIAQlds.38(?).

7.3.4 Wherethereisnotimespecifiedthentheactistobedoneas soonaspossible.AIAQlds.38(4).

8. PreparatoryExtrinsicMaterial

8.1 Asageneralruleparliamentarydebates(Hansards)cannotbeusedto

directlyinterpretlegislation.(SilleryvR(1981)35ALR227MurphyJ).

8.1.1 Parliamentarydebatesmaybeusedtodiscovertheobjector

purposeofanAct.(WacandoTheCommonwealth(1981)148CLR

1MasonJ).

8.1.2. Parliamentarydebatesmaybeusedtoexaminethehistorical

backgroundofanAct(DuganvMirrorNewspapersLtd(1978)142

CLR583StephenJ).

8.2 Generalrulethatthecourtcannotresorttodraftsofbillstoaid

interpretationwhetherintroducedintoparliamentornot.(CompareSA

CommissionerforPricesandConsumerAffairsvCharlesMoore(Aust)

Ltd

(1977)139CLR449andDuganvMirrorNewspapersLtd(1978)142

CLR583).

8.2.1 Exception-thecourthavelookedatdraftstotheCthConstitution

(TheSeamensUnionofAustraliavUtahDevelopmentCo.(1978)

144CLR120).

8.3 Itisthedutyofthecourttodefinethemeaningofanact,notthe

executive.Explanationsandpamphletsproducedbygovernment

departmentsarenotaguideforthecourts.(ReJauncey[1980]QdR

335).

8.4 Thereisageneralrulethatreportsofcommitteesofinquiry,Royal

commissions,lawreformcommissionsandthelike

(a)cannotbeusedtointerpretlegislationdirectly;but

(b)canbeusedtoascertain

(I)theobjectorpurposeofanact;and

(ii)historicalbackground.

(WacolDevelopmentPtyLtdvRealtyDevelopmentPtyLtd(1978)140

CLR503).

8.5 Thereisageneralrulethatinternationalconventionsandthelikecan beresortedtoresolveambiguitiesinanAct.

8.5.1 WhereaconventionhasbeentranslatedintoEnglishandthereisa

conflictwiththemeaningintheoriginallanguage,thelatterprevails.

8.6 AIACths.15ABQlds.14Ballowsreferencetoextrinsicmaterialtoan Actincertaincircumstances.

8.6.1 TheuseofCths.15ABorQlds.14Barenotmandatoryorconclusive.

8.6.2 TheAIAcanbeusedforthreepurposesonly:

(1) toconfirmthemeaningastheordinarymeaningconveyedbythe

text

(2) todeterminethemeaningwhereambiguous

(3) todeterminethemeaningwheretheordinarymeaningincontext

oftheactwouldbeabsurdorunreasonable.

9. AdditionalExtrinsicmaterial

9.1 Asageneralrule,whereaprovisioninacurrentactistobe

interpreted andasimilarprovisionsappearsinnowrepealed

legislation,theearlierpreviousprovisioncanberesortedtoaid

interpretation.

9.2 Anactpariamateria(anactdealingwiththesamesubjectmatterof the sameoranotherjurisdiction)canbeconsultedtointerprettheact inquestion.(DanzigervTheHydroElectricCommission[1961]TAS SR20).

9.3 Itispermissibletorefertootheractswithinalegislativeschemeto

interprettheactinquestion.

9.4 Thereisageneralrulethatamendinglegislationwhichhasgapfilling provisionsmaybereferredtoclearupambiguitiesordoubtsarisingin theinterpretationoftheearlieract.(ThompsonvJTFosseyPtyLtd (No1)(1978)20ALR496).

9.5 Thereisageneralrulethatdelegatedlegislation(egregulationstobe

madebythegovernorgeneral)cannotbeusedtointerpretthe provisionsofanact.

9.5.1 Wheretheregulationsaredeemedtobepartofanactoncemade

theycanbeusedtoaidinterpretation.Intheeventofinconsistency

withtheacttheregulationsmustgiveway.

9.5.2 Wherethereisaprovisioninanactgivingthepowertoamendanact

byregulation,theregulationhasthesameeffectasanamendingAct.

9.5.3 Wheretheactandregulationsformpartofalegislativeschemethen

theregulationscanbeusedtoaidconstruction.(butintheopinionof

MacAdamandSmithatpage286thisisadeparturefromthe

sovereigntyofparliamentandisquestionable.SeealsoThornEMI

PtyLtdvFCT(1987)71ALR728).

9.6 ConsolidatingActsarepresumednottochangethelawexceptby clearintentiontodoso.

9.7 Reprintedactsareforadministrativeeaseand