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E-raamat: Treaty Interpretation by the WTO Appellate Body [Oxford Scholarship Online e-raamatud]

(Turpin-Lipstein Fellow and College Lecturer in Law at Clare College, Cambridge, and Affiliated Lecturer at the Faculty of Law, University of Cambridge.)
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Treaty Interpretation by the WTO Appellate BodySuurem pilt
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Raamatu kodulehekülg: http://www.oxfordscholarship.com/view/10.1093/acprof:oso/9780199562237.001.0001/acprof-9780199562237
This book analyzes how the Appellate Body uses particular principles of general international law in interpreting the WTO covered agreements. It deals equally with general international law and WTO law. The aim is to explain how the Appellate Body interprets and applies customary international law on treaty interpretation in dealing with the WTO covered agreements. The main concern is to analyze the judicial reasoning and ways of justifying judicial decision-making. In particular, it answers the question of how the Appellate Body explains its reading of WTO treaty language.

It is argued that the Appellate Body has interpreted the WTO covered agreements in a contextual and effective manner, an approach that corresponds with general international law. The character of the WTO covered agreements has, nevertheless, confronted the Appellate Body with some questions of interpretation that were until recently unexplored or neglected by other courts and tribunals. In that sense, the Appellate Body has contributed to the development of general international law on treaty interpretation, or at least to its practice.

WTO law is primarily treaty law, but increasingly soft law and broader themes and values from other disciplines, such as governance, variable geometry and legitimacy, are introduced and discussed. Customary international law - with the exception of the principles of treaty interpretation - and general principles of law are often seen as excluded entirely. An ancillary theme of this proposed monograph is the extent to which customary international law and general principles of law have penetrated WTO law through the technique of treaty interpretation.
General Editor's Preface vii
Foreword ix
Acknowledgements xi
Abbreviations xxi
List of Cited WTO Panel and Appellate Body Reports, Initiated WTO Disputes, and their Common Abbreviations xxv
List of Cited GATT Panel and Working Party Reports, and their Common Abbreviations xlvii
Table of Cases xlix
Introduction lxiii
I. The Basic Principles and Concepts Governing WTO Dispute Settlement and Treaty Interpretation
1. The WTO Dispute Settlement System
3
1.1 Introduction
3
1.2 The Character of WTO Dispute Settlement
4
1.3 The Jurisdiction of WTO Panels and the Appellate Body
8
1.3.1 Exclusive but Not General Jurisdiction
8
1.3.2 Jurisdiction over Facts and Law
12
1.4 The Applicable Law in WTO Dispute Settlement
13
1.5 Treaty Interpretation in WTO Dispute Settlement
22
1.6 Authentic Interpretation versus Judicial Interpretation
26
1.7 Conclusion
30
2. Principles of Treaty Interpretation: Meaning and Function
32
2.1 Introduction
32
2.2 The Position under General International Law
34
2.2.1 Principles, Not Rules
34
2.2.2 Categories of Principles of Treaty Interpretation
37
2.2.2.1 Codified Principles
37
A Historical Note
37
Articles 31 to 33 VCLT
49
2.2.2.2 Non-Codified Principles
52
2.2.3 Functions of Principles of Treaty Interpretation
53
2.2.4 The Inter-Temporal Element in Treaty Interpretation
55
2.3 The Position in WTO Dispute Settlement
56
2.3.1 The Appellate Body's Appreciation of Treaty Interpretation
56
2.3.2 The Appellate Body's Application of Codified and Non-Codified Principles of Interpretation
57
2.3.3 Special Principles of Treaty Interpretation
58
2.3.3.1 A Questionable Category
58
2.3.3.2 Illustration 1: The Alleged Principle of In Dubio Mitius
61
2.3.3.3 Illustration 2: The Principle of Legitimate Expectations
65
2.3.3.4 Illustration 3: Article 17.6(ii) Anti-Dumping Agreement
68
2.4 Conclusion
72
3. The Subject of Treaty Interpretation in WTO Dispute Settlement
73
3.1 Introduction
73
3.2 The Scope of WTO 'Treaty Language'
74
3.2.1 WTO 'Treaty Language'
74
3.2.1.1 Articles and Ad Articles
77
3.2.1.2 Cross-References and Incorporation by Reference
77
3.2.1.3 Waivers and `GATT/WTO Issues'
78
3.2.1.4 Footnotes and Understandings
80
3.2.2 The Character of the WTO Covered Agreements
81
3.2.2.1 The ILC's View: No Formal Classes or Categories of Treaties
81
3.2.2.2 The Contractual versus the Law-Making Approach
83
3.2.2.3 The Distinction Applied to the WTO Covered Agreements
86
3.2.2.4 Constitutional Theories and the Interpretation of WTO Treaty Language
87
3.3 The Special Case of Schedules of Commitments
93
3.3.1 Schedules of Commitments—Negotiation and Conclusion
93
3.3.2 Article 2(1)(a) VCLT and Schedules of Commitments
99
3.3.3 The Appellate Body's Interpretation of Schedules of Commitments
100
3.3.4 Alternative Approaches to the Interpretation of Schedules of Commitments
102
3.3.4.1 The ICJ's Interpretations of Unilateral Declarations
102
3.3.4.2 Struggling Towards a Solution in WTO Dispute Settlement
106
3.4 Conclusion
108
4. The Interpretation of Silence in the WTO Covered Agreements
110
4.1 Introduction
110
4.2 Non Liquet and the Completeness of International and WTO Law
112
4.2.1 General International Law
112
4.2.1.1 Gaps, Non Liquet, Completeness, and Judicial Power
112
4.2.1.2 Problems with the Traditional Discourse
116
4.2.2 WTO Law
117
4.2.2.1 Judicial Law-Making in the WTO
117
4.2.2.2 Illustration 1: The Applicable Law and the Principle of Institutional Balance
120
4.2.2.3 Illustration 2: The Zeroing Saga
121
4.3 An Alternative Perspective: Silence in WTO Treaty Language
124
4.3.1 Silence in Treaty Language
124
4.3.2 Interpretation of Some Silences in the WTO Covered Agreements
126
4.3.2.1 Introduction
126
4.3.2.2 Silence Outside the Scope of the Applicable Law
128
4.3.2.3 Genuine Silences
129
Procedural and Substantive Silences
135
Procedural Silences
135
Substantive Silences
139
Causes and Motivations
141
Defective Treaty-Drafting
141
Deliberate Silences in Treaty-Drafting
143
Techniques for Interpreting Silences
146
The Use of Customary International Law and General Principles
146
The Use of Practice
147
The Use of Cross-Referencing
148
The Use of the Principle of Effectiveness
152
The Use of the Object and Purpose
153
4.4 Conclusion
155
5. Inherent Powers and Treaty Interpretation
157
5.1 Introduction
157
5.2 The International Judicial Function and the WTO Appellate Body
159
5.3 The Role of the Judicial Function in the WTO
162
5.4 Powers and the Judicial Process
164
5.5 Inherent Powers of the WTO Appellate Body
168
5.5.1 Inherent Powers and Jurisdiction
169
5.5.2 Inherent Powers and Admissibility
177
5.5.3 Inherent Powers and Interpreting Other Procedural Rules
189
5.5.3.1 Amicus Curiae Briefs
191
5.5.3.2 Open Hearings
192
5.5.3.3 Legal Certainty and Jurisprudence Constante
195
5.5.3.4 Due Process and Preliminary Rulings
203
5.5.3.5 Burden of Proof
207
5.6 Inherent Powers and Interpreting Substantive Rules
208
5.7 Conclusion
209
II. The Interpretative Practice of the WTO Appellate Body
6. The Contextual Interpretation of the WTO Covered Agreements
213
6.1 Introduction
213
6.2 Meaning and Function of Context in Article 31 VCLT
214
6.2.1 Incomplete Description of Context in Article 31 VCT
214
6.2.2 The History of Context in Article 31 VCLT
216
6.3 Meaning and Function of Context in the Appellate Body's Jurisprudence
221
6.3.1 Literal Interpretation as the Starting Point
221
6.3.2 Contextualized Ordinary Meaning
222
6.3.2.1 Ordinary Meaning: Text and Grammar
223
6.3.2.2 Contextualized Plain and Dictionary Meaning
225
The Limited Value of Dictionaries
226
Choosing between Dictionaries and Dictionary Definitions
229
Complementary Dictionary Meanings
230
Affirming Dictionary Meanings
230
Dictionary Preferences
231
Contextualizing Dictionary Definitions through their Use
232
6.3.3 The Technique of Cross-Referencing
235
6.3.3.1 Function of Cross-Referencing
235
Cross-Referencing to Establish Ordinary Meaning
237
Cross-Referencing to Confirm Ordinary Meaning
239
Necessity of Cross-Referencing
240
6.3.3.2 Types of Cross-Referencing
242
Identical Treaty Language
242
Similar Treaty Language
245
Different Treaty Language
249
6.3.3.3 A Special Case: Cross-Referencing between Schedules
251
6.3.4 Context Relating to the Conclusion of the Treaty
253
6.3.4.1 Agreements and Instruments in Connection with the Conclusion of the Treaty
253
6.3.4.2 Is the Harmonized System Context?
254
6.3.4.3 Are Explanatory Notes and Scheduling Guidelines Context?
256
6.3.5 Teleology of the Treaty
257
6.3.6 Other Extrinsic Elements
264
6.3.6.1 Trade Negotiations and WTO Committees
264
6.3.6.2 Economic Conditions of Disputants
265
6.3.6.3 Ad Articles
266
6.3.6.4 Scientific Knowledge
267
6.3.6.5 Academic Literature
268
6.3.6.6 Business and Trade Practices
268
6.4 Factual Context
269
6.5 Conclusion
272
7. The Effective Interpretation of the WTO Covered Agreements
275
7.1 Effectiveness as a Principle of Treaty Interpretation
275
7.1.1 The VCLT and the Principle of Effective Interpretation
275
7.1.2 Some Applications of the Principle of Effectiveness
278
7.2 Effective Interpretation in WTO Dispute Settlement
282
7.3 Interaction between Effectiveness and Contextualism: Harmonious Interpretation
285
7.4 Effective Interpretation of the Contextualized Ordinary Meaning
287
7.5 Effective Interpretation of the Unity of the Treaty Language
292
7.6 Giving Effect to Values in Treaty Interpretation
294
7.7 Conclusion
303
8. Other Issues in WTO Treaty Interpretation
305
8.1 Introduction
305
8.2 Supplementary Means of Interpretation (Article 32 VCLT)
306
8.2.1 General International Law
306
8.2.2 WTO Law
310
8.2.2.1 Residual Character of Article 32 VCLT
310
8.2.2.2 Preparatory Work as a Problem and as a Solution
315
8.2.2.3 Other Supplementary Means of Interpretation
321
8.2.2.4 Article 32 VCLT and the Interpretation of Schedules
324
8.3 Other Authentic Versions of the Treaty (Article 33 VCLT)
327
8.3.1 General International Law
327
8.3.1.1 History of Article 33 VCLT
327
8.3.1.2 Meaning of Article 33 VCLT
329
8.3.2 WTO Law
332
8.4 Use of Subsequent Practice (Article 31(3)(b) VCLT)
338
8.4.1 Definition in WTO and International Law
338
8.4.2 Practice of the WTO and Other International Organizations
340
8.4.3 Finding Subsequent Practice
343
8.4.3.1 What Qualifies as Practice?
343
8.4.3.2 Agreement Among Parties Who Have Not Engaged in the Practice
345
8.4.3.3 Consistency of Practice
346
8.5 Use of Subsequent Agreements (Article 31(3)(a) VCLT)
346
8.6 Special Meanings (Article 31(4) VCLT)
350
8.6.1 General International Law
350
8.6.2 WTO Law
351
8.7 Conclusion
353
9. WTO Treaty Interpretation against the Background of Other International Law
355
9.1 Harmonization of WTO Law and International Law
355
9.2 The Role of International Law in Treaty Interpretation
357
9.2.1 The Principle of Harmonious Interpretation
357
9.2.2 History of Article 31(3)(c) VCLT
359
9.2.3 Interpretation of Article 31(3)(c) VCLT
360
9.2.4 Limited Value of Article 31(3)(c) VCLT
365
9.2.5 Article 31(3)(c) VCLT and Jurisdiction
366
9.3 Article 31(3)(c) VCLT in WTO Dispute Settlement
367
9.3.1 Application of Article 31(3)(c) VCLT
368
9.3.2 Implied Interpretation of Article 31(3)(c) VCLT
373
9.4 Conclusion
374
III. Conclusions
Conclusions
379
Appendix Articles 31, 32, and 33 VCLT 385
Bibliography 387
Index 413
Dr. Isabelle Van Damme is the Turpin-Lipstein Fellow and a College Lecturer in Law at Clare College, Cambridge. Isabelle studied law at the University of Cambridge (Ph.D.), Georgetown University Law Center (LL.M.) and the University of Gent (Cand. Iur., Lic. Iur).

She has been a Visiting Fellow at the Graduate Institute, Center for Trade and Economic Integration, Geneva; a Global Law Fellow at Columbia Law School, New York; and a Visiting Researcher at Georgetown University Law Center and the Institute of International Economic Law, Washington, DC. She was previously a legal intern at the WTO Appellate Body and a Legal Liaison Officer at the Secretariat of the International Law Commission. Dr. Van Damme teaches Public International Law, WTO Law, International Intellectual Property Law and European Union Law. Her research interests include WTO Law, Public International Law, European Union Law and International Institutional Law.
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