論WTO司法實踐之條約解釋—以上下文解釋為中心

Treaty Interpretation in the WTO Dispute Settlement – Focusing on the Contextual Interpretation

陳昱安(Yu-An Chen)

指導教授 ： 羅昌發

國立臺灣大學/法律學院/法律學研究所/碩士(2010年)

https://doi.org/10.6342/NTU.2010.10643

摘要

在WTO爭端解決機構受理的案件中，凡經爭端解決小組或上訴機構作出裁決報告者，只要涉及到WTO協定的規定之適用，幾乎無一例外不涉及相關協定之條約解釋，由此可見條約解釋在WTO爭端解決機制中的普遍性和重要性。由爭端解決瞭解書第3.2條，透過WTO爭端解決個案的闡述，小組及上訴機構將維也納條約法公約引入WTO爭端解決機制中，在審議爭端時均採用該公約第31條至第33條關於條約解釋的規則。
本文側重上下文解釋方法在WTO之適用情形的分析與探討。關於上下文的範圍，維也納條約法公約提出可構成上下文的概略輪廓，WTO司法實踐則逐步釐清該輪廓的細緻內容。WTO要求會員國接受《WTO設立協定》及其所附的全部法律文件，因此上下文的最基本範圍即是WTO協定的各組成部分。此外，仍在WTO範圍內、但不屬於WTO協定組成部分之文件，在構成適當要件之情形下，也構成WTO協定之上下文。最後則是部分WTO協定以外的其他國際法文件。
訴訟當事國基於不同的政策考量，往往競相爭取將特定的法律文件納入解釋資料的範圍內，因此解釋者在審理過程中必須擔任守門員的角色，以展現WTO條約解釋規之穩定性與可預測性。由這項概念延伸至上下文解釋方法在WTO的適用，WTO在不同爭端個案中對是否可以構成上下文的判斷，增加了維也納條約法公約所沒有的要件，相較於公約第31條所制訂之上下文而言，小組及上訴機構採取更廣義的理解，並適用更廣義的作法，使其能將公約第31條第1項與第2項與其他明文或未明文之解釋規則相調和。經歸納WTO司法實踐，可得出以文件性質、會員國意向以及與系爭議題之關連性等要件作為檢驗是否構成上下文之判斷標準。在判斷標準建立後，據以清楚區別維也納條約法公約第31條第2項與其他項所可能含括之文件屬性，確保條約解釋之穩定適用與運作。

關鍵字

世界貿易組織 ； 維也納條約法公約 ； 條約解釋 ； 司法解釋 ； 上下文 ； 上下文解釋

並列摘要

It was recognized a decade ago that the World Trade Organization (thereafter WTO) dispute settlement mechanism would be the central pillar of the world trading system and the unique contribution for sustainable development of global economy. So far the WTO has handled 418 trade disputes including 121 Appellate Body and panel report adopted. Among all the procedural and substantial issues, the treaty interpretation is critical important for the WTO dispute settlement. However, there are no expressed rules of interpretation provided by the Understanding on Rules and Procedures Governing the Settlement of Disputes. The WTO Dispute Settlement Body had to develop the interpretative rules by practices of Appellate Body and panels, which have been integrated with the rule-based world trading system. Many issues of treaty interpretation then have been raised from the practices of the WTO dispute settlement.
This paper is focused on the rules of treaty interpretation, in particular an examination on how widely “context” is to be understood by the Appellate Body and panels in interpreting the WTO Agreements. Inline with its essentially “textual” approach, the Vienna Convention embodies a relatively narrow interpretation of “context” to comprise only the rest of the treaty and documents directly connected with the conclusion of that treaty. Nevertheless, Article 31(2) of the Vienna Convention can be read in a less restrictive manner as compared to this traditional view. On a closer look the preparatory work of the Vienna Convention and the jurisprudence of the WTO are both indicative of the need for a broader, flexible interpretation.
From the WTO jurisprudence, this paper further analyses the necessity to define the boundaries of contextual interpretative method for the current and future practices, with a view to distinguishing from other interpretative method. Nuances in the definition of context are possible, but by defining the boundaries of context through a series of criteria, context is defined in an open-ended manner, yet being confined to a reasonable realm. The creation of these criteria are explored also by the preparatory work of the Vienna Convention and the jurisprudence of the WTO, and the application of these criteria does not mean that how the panels and the Appellate Body apply the interpretation rules would be changed. Rather, they will operate together to provide security and predictability to the dispute settlement system and the multilateral trading system.

並列關鍵字

World Trade Organization ； Vienna Convention on the Law of Treaties ； VCLT ； treaty interpretation ； judicial interpretation ； context ； contextual interpretation

參考文獻

Aust, Anthony (2007), Modern Treaty Law and Practice, 2nd ed. (Cambridge University Press).

Black, Henry Campbell (1990), Black’s Law Dictionary, 6th ed. (West Group).

Gardiner, Richard (2008), Treaty Interpretation (Oxford University Press).

Grotius, Hugo (1625), Francis W. Kelsey trans. (1925), De Jure Belli ac Pacis: Libri Tres, Vol. 2, Ch. 16.

Jackson, John (1997), The World Trading System: Law and Policy of International Economic Relations (The MIT Press).