WTODisputeSettlementMechanism5Word格式.docx

WTODisputeSettlementMechanism5Word格式.docx

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ChapterV

GuidelinesforInterpretation

oftheWTOCoveredAgreements

OUTLINE

IIntroduction

IIApplicationofArts.31,32oftheViennaConvention

IIIWTORulesonConflicts:

EffectiveInterpretation

IVTheStatusofLegitimateExpectationsinInterpretation

AccordingtoArt.11oftheDSU,thepanel’sroleisto“makeanobjectiveassessmentofthematterbeforeit,includinganobjectiveassessmentofthefactsofthecaseandtheapplicabilityandconformitywiththerelevantcoveredagreements”.Inthepreviouschapter,wehaveexaminedthegeneralstandardofreviewlabeledas“anobjectiveassessment”regarding“thefactsofthecase”;

clearly,forpanelstofulfilappropriatelytheirfunctionsasdesignatedinArt.11oftheDSU,itisalsoindiscerptibletomakesuchanobjectiveassessmentof“theapplicabilityandconformitywiththerelevantcoveredagreements”.Therefore,theinterpretationissueofthecoveredagreementsarises.Inthissection,theauthorwillscrutinizeguidelinesforinterpretationappliedundertheWTOjurisprudence.

Toresolveaparticulardispute,beforeaddressingtheparties’argumentsindetail,itisclearlynecessaryandappropriatetoclarifythegeneralissuesconcerningtheinterpretationoftherelevantprovisionsandtheirapplicationtotheparties’claims.However,theplexnatureofthecoveredagreementshasgivenrisetodifficultiesininterpretation.

Asnotedpreviously,GATT/WTOjurisprudenceshouldnotbeviewedinisolationfromgeneralprinciplesdevelopedininternationallawormostjurisdictions;

andaccordingtoArt.oftheDSU,panelsareboundbythe“customaryrulesofinterpretationofpublicinternationallaw”intheirexaminationofthecoveredagreements.Anumberofrecentadoptedreportshaverepeatedlyreferred,asinterpretativeguidelines,to“customaryrulesofinterpretationofpublicinternationallaw”asembodiedinthetextofthe1969ViennaConventionontheLawofTreaties（‘ViennaConvention’）,especiallyinitsArts.31,32.ItisinaccordancewiththeserulesoftreatyinterpretationthatpanelsortheAppellateBodyhavefrequentlyexaminedtheWTOprovisionsatissue,onthebasisoftheordinarymeaningofthetermsofthoseprovisionsintheircontext,inthelightoftheobjectandpurposeofthecoveredagreementsandtheWTOAgreement.TheseViennaConventionarticlesprovideasfollows:

“Art.31:

GeneralRuleofInterpretation

1.Atreatyshallbeinterpretedingoodfaithinaccordancewiththeordinarymeaningtobegiventothetermsofthetreatyintheircontextandinthelightofitsobjectandpurpose.

2.Thecontextforthepurposeoftheinterpretationofatreatyshallprise,inadditiontothetext,includingitspreambleandannexes:

（a）anyagreementrelatingtothetreatywhichwasmadebetweenallthepartiesinconnexionwiththeco

nclusionofthetreaty;

（b）anyinstrumentwhichwasmadebyoneormorepartiesinconnexionwiththeconclusionofthetreatyandacceptedbytheotherpartiesasaninstrumentrelatedtothetreaty.

3.Thereshallbetakenintoaccounttogetherwiththecontext:

（a）anysubsequentagreementbetweenthepartiesregardingtheinterpretationofthetreatyortheapplicationofitsprovisions;

（b）anysubsequentpracticeintheapplicationofthetreatywhichestablishestheagreementofthepartiesregardingitsinterpretation;

（c）anyrelevantrulesofinternationallawapplicableintherelationsbetweentheparties.

4.Aspecialmeaningshallbegiventoatermifitisestablishedthatthepartiessointended.

Art.32SupplementaryMeansofInterpretation

Recoursemaybehadtosupplementarymeansofinterpretation,includingthepreparatoryworkofthetreatyandthecircumstancesofitsconclusion,inordertoconfirmthemeaningresultingfromtheapplicationofarticle31,ortodeterminethemeaningwhentheinterpretationaccordingtoarticle31:

（a）leavesthemeaningambiguousorobscure;

or

（b）leadstoaresultwhichismanifestlyabsurdorunreasonable.”

PursuanttoArt.oftheViennaConvention,thedutyofatreatyinterpreteristodeterminethemeaningofaterminaccordancewiththeordinarymeaningtobegiventotheterminitscontextandinlightoftheobjectandpurposeofthetreaty.AsnotedbytheAppellateBodyinitsReportonJapan-AlcoholicBeverages（DS8/DS10/DS11）,“Article31ofprovidesthatthewordsofthetreatyformthefoundationfortheinterpretiveprocess:

‘interpretationmustbebasedabovealluponthetextofthetreaty’.Theprovisionsofthetreatyaretobegiventheirordinarymeaningintheircontext.Theobjectandpurposeofthetreatyarealsotobetakenintoaccountindeterminingthemeaningofitsprovisions”.AndinUS–Shrimps