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第四节 一般例外02（第1页）

第四节一般例外02

（三）措施是否构成对国际贸易的变相限制

在“美国精炼汽油和传统汽油标准案”中，上诉机构认为，“对国际贸易的变相限制”需要与“武断或不正当的歧视”结合起来理解：‘Arbitrarydisation’，‘unjustifiabledisation’and‘disguisedrestriiionaltrademay，agly，bereadside-by-side;theyimpartmeaniher。Itiscleartousthat‘disguisedrestricludesdisguiseddisatioioisequallyclearthatcealedoruriinatioioexhaustthemeaningof‘disguisedrestri。’Wesiderthat‘disguisedrestri’，whateverelseitayproperlybereadasembragrestriountingtoarbitraryorunjustifiabledisatioioakeheguiseofameasureformallywithiermsofaioicleⅩⅩ。Putidifferehekindsofsideratioindegwhethertheappliofaparticularmeasureamountsto‘arbitraryorunjustifiabledisayalsobetakenintoadeterminingthepresenceofa‘disguisedrestriiiohefuhemeistobefoundinthepurposeaofavoidingabuseitimateuseoftheexstosubstantiverulesavailableinArticleⅩⅩ。[12]

综上所述，根据WTO专家组和上诉机构的解释，第20条在实践中的适用应该分两步走：第一步确定具体措施是否符合本条（a）到（j）项的要求，如果符合，则进行第二个步骤——确定具体措施是否符合第20条前言的附加条件。由此可见，成员方想要通过援引第20条来免除所采取的措施与WTO协议不符的责任是十分困难的，这一点在WTO争端解决机制实践中也有着充分地反映。

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Thebasicfactsofthecasehavebeenihepretext。HerearetheselectedawardsoftheAppellateBody:

150。Weeierofouranalysiswithaionoftheofthewordsofthechapeau。Thepreguageofthechapeaurequiresthatameasurenotbeappliedinamannerwhichwouldstituteameansof“arbitraryorunjustifiabledisatiorieswherethesamesprevail”uisedrestriiioherearethreestandardsedinthechapeau:first，arbitrarydisatiorieswherethesamesprevail;sejustifiabledisatiorieswherethesamesprevail;andthird，adisguisedrestriiionaltrade。Inorderforameasuretobeappliedinamannerwhichwouldstitute“arbitraryorunjustifiabledisatiorieswherethesamesprevail”，threeeleme。First，theapplieasuremustresultindisatioedies-Gasoliureandqualityofthisdisatiofromthedisatiomentofproductswhichwasalreadyfoundtobeihoiveobligatio1994，suchasArticlesⅠ，ⅢorⅪ。Sed，thedisustbearbitraryorunjustifiableincharacter。Wewillexamiofarbitrarinessorunjustifiabilityiailbelow。Third，thisdisustoccurbetweehesamesprevail。Ies-GasoliedtheassumptioithatappealthatsuchdisationcouldootoweeialsobetweeiheimpMembered。Thus，thestandardsembodiedinthelahechapeauarenotofromtherequirementsofArticleⅩⅩ（g）;theyarealsodifferentfromthestaerminiion609isviolativeofthesubstaicleⅪ:1oftheGATT1994。

…

156。TurhechapeauofArticleⅩⅩ，wesiderthatitembodiesthereoofWTOMembersoftheomaintainabalasandobligatioherightofaMembertoiheroftheexsofArticleⅩⅩ，speparagraphs（a）to（j），ontheonehand，aiverightsoftheotherMembersu1994，oherhand。Exerberhttoiion，suchasArticleⅩⅩ（g），ifabusedormisused，will，tothatextent，erodehtthesubstasin，forexample，Artiembers。Similarly，becausetheGATT1994itselfmakesavailabletheexsofArtireofthelegitimatehepolidihereembodied，therighttoihoseexsisnottoberenderedillusory。Thesameaybeexpressedfromaslightlydifferentangleofvision，thus，abalabestrutherightofaMembertoiioidthedutyofthatsameMembertorespectthetreatyrightsoftheotherMembers。TopermitooabuseormisuseitsrighttoiioivelytoallowthatMembertodegradeitsowyobligatioodevaluethetreatyrightsofotherMembers。IftheabuseormisuseissuffitlygraveorexteheMember，i，reducesitstreatyobligationtoamerelyfacultativeoneanddissolvesitsjuridicalcharad，insodoiherthetreatyrightsofotherMembers。Thechapeauwasiheheadofthelistof“Geions”iopreventsuchfar-reasequences。

157。Ihelahechapeaumakesclearthateachoftheexsinparagraphs（a）to（j）ofArticleⅩⅩisalimitedandalexthesubstaionsediherprovisio1994，thatistosay，theultimateavailabilityoftheexissubjepliaheihtherequirementsofthechapeau。Thisiionofthechapeauisedbyitsinghistory。ThelaiallyproposedbytheUesin1946forthechapeauofwhatwouldlaterbeeArticleⅩⅩwasunqualifiedandunal。SeveralproposalsweremadeduriSessiooryitteeoftheUioradeain1946suggestingmodifis。IheUnitedKingdomproposedthat“iopreveheexsofArticle32[whichwouldsubsequeicleⅩⅩ]”，thechapeauofthisprovisionshouldbequalified。Thisproposalted，subjecttolaterreviewofitsprecisew。Thus，theinghistoryofArtisthattheparagraphsofArticleⅩⅩsetforthlimitedandalextheobligatioiveprovisio。Aoqualifyfinallyforexustalsosatisfytherequirementsofthechapeau。ThisisafuofthebalasandobligationsstruckbytheiheGATT1947。

158。ThechapeauofArticleⅩⅩis，infaeexpressionoftheprincipleofgoodfaith。Thisprioneralprincipleoflawandageneralpriernationallaw，trolstheexercisehtsbystates。Oionofthisgeneralpriheappliwidelyknowrineofabusdedroit，prohibitstheabusiveexerciseofastate&#htsahatwheiht“impihefieldcoveredby[a]treatyobligation，itmustbeexerafide，thatistosay，reasonably。”AnabusiveexercisebyaMemberofitshtthusresultsihetreatyrightsoftheotherMembersand，aswell，aviolatioyobligationoftheMembersoag。Havingsaidthis，ourtaskhereistoihelahechapeau，seekingadditioiveguidance，asappropriate，fromthegeneralpriernationallaw。

159。Thetaskandapplyingthechapeauis，hehedelieoflodmarkingoutalineofequilibriumbetweeofaMembertoiioidtherightsoftheotherMembersundervaryingsubstantiveprovisioicleⅪ）oftheGATT1994，sothathepetingrightswillcelouttheotheraortandnullifyorimpairthebalasandobligationsstructedbytheMembersthemselvesinthatAgreemeionofthelineofequilibrium，asexpressedinthechapeau，isnotfixedandung;thelihekindandtheshapeofthemeasuresatstakevaryasmakingupspecificcasesdiffer。

160。Withthesegeneralsiderationsinmind，weaddressnowtheissueofwhethertheapplioftheUesmeasure，althoughthemeasureitselffallswithiermsofArticleⅩⅩ（g），itutes“ameansofarbitraryorunjustifiabledisatiorieswherethesamesprevail”uisedrestriiionaltrade”。Weaddress，inotherwords，whethertheapplieasurestitutesanabuseormisuseoftheprovisionaljustifiadeavailablebyArticleⅩⅩ（g）。Wenote，preliminarily，thattheapplieasuremaybecharacterizedasamountingtoanabuseormisuseofaionofArtiotoailedprovisionsofthemeasureprescribethearbitraryorunjustifiableactivity，butalsowhereameasure，otherwisefairandjustouallyappliedinanarbitraryorunjustifiablemaandardsofthechapeau，inourview，projectbothsubstantiveandproceduralrequirements。

161。WesizefirstwhetherSe609hasbeenappliediuting“unjustifiabledisatiorieswherethesamesprevail”。Perhapsthemostspicuousflawinthismeasure'sapplirelatestoitsiualcoerciveeffethespecificpoliadebyfovers，MembersoftheWTO。Se609，initsappli，is，i，anebargowhichrequiresallotherexpMembers，iftheywishtoexercisetheirGATTrights，toadoptessentiallythesamepolicy（togetherrovedeprogram）asthatappliedto，andenforitedStatesdomesticshrimptrawlers。AsehegressoftheUes，thestatutoryprovisioion609（b）（2）（A）and（B）donot，inthemselves，requirethatotherWTOMembersadoptessentiallythesamepolideicesastheUes。Viewedaloeappearstreeofdisorflexibilityiandardsfparabilitymightbeapplied，ihertries。However，aythatmayhavebeenintendedbygresswhehestatutoryprovisioivelyelimiheimplementationofthatphthe1996GuidelinespromulgatedbytheDepartmentofStateandthroughtheprainistratorsinmakiioions。

162。Agtothe1996Guideliion“shallbemade”uion609（b）（2）（A）and（B）ifaingtry&#ramincludesarequirementthatallercialshrimptrawlvesselsinwatersinwhichthereisalikelihoodseaturtlesuse，atalltimes，TEDsparableiivehoseusediedStates。UheseGuideliionstotherequiremeEDsmustbeparabletothoseoftheUesprogram。Furthermore，theharvestingusthaveinplacea“crediblee”。Thelahe1996Guidelinesismandatory:certifi“shallbemade”ifthesesarefulfilled。However，weuhattheserulesarealsoappliedinanexclusivemais，the1996Guideliheonlywaythataharvestingtry&#ulatrambedeemed“parable”totheUes’program，aheydefiheonlywaythataharvestingnatioifieduion609（b）（2）（A）and（B）。Althoughthe1996Guideli，inmakingaparabilitydeterminatioofState“shallalsotakeintoaeasurestheharvestingnatiooprotectseaturtles”，ihepeteoffilylooktoseewhetherthereisaregulatramrequiriEDsoroeswithiheextremelylimitedexsavailabletoUesshrimptrawlvessels。

163。Theactualapplieasure，throughtheimplementationofthe1996Guideliheregulatoryprainistrators，requiresotherWTOMemberstoadulatramthatisnotmerelyparable，butratheressentiallythesame，asthatappliedtotheUesshrimptrawlvessels。Thus，theeffectoftheappliofSe609istoestablisharigidaandardbywhiitedStatesofficialsdetermitrieswillbecertified，thusgrantihertriestherighttoexportshrimptotheUes。Otherspecificpolidmeasuresthataingayhaveadoptedfortheprotedservatiolesareoapractice，bytheadministrattheparabilitydetermination。

164。WeuhattheUesalsoappliesauniformstandardthroughoutitsterritardlessofthepartiditioiainpartsofthetry。TheUesrequirestheuseofapprovedTEDsatalltimesbydomestiercialshrimptrawlvesselsinwaterswherethereisahattheymayihseaturtles，regardlessoftheaceofseaturtlesiers，thespeciesofthoseseaturtles，orotherdifferencesordisparitiesthatmayexistisoftheUes。Itmaybequiteacceptablefover，inadoptingaiicpolicy，toadoptasiandardapplicabletoallitssthroughoutthattry。However，itisable，iioions，foroouseanebargotorequireotherMemberstoadoptessentiallythesamepreheram，toachieveapolicygoal，asthatihatMember'sterritory，withouttakingintosideratioionswhichmayotheterritoriesofthoseotherMembers。

165。Furthermore，whenthisdisputewasbeforethePanelaheUesdidimportsofshrimpharvestedbyercialshrimptrawlvesselsusingTEDsparableiivehoserequirediedStatesifthiersoftriesifieduion609。InotherwhtusihodsidentiployediedStateshavebeeheUesmarketsolelybecausetheyhavebeenwatersoftriesthathaveifiedbytheUes。Theresultingsituationisdifficulttorecilewiththedeclaredpolicyobjectiveandgseaturtles。Thissuggeststousthatthismeasure，initsapplioreedwitheffefluenberstoadoptessentiallythesamepreheimeasthatappliedbytheUestoitsdomesticshrimptrawlers，eventhoughmanyofthoseMembersmaybedifferentlysituated。Webelievethatdisatiooriesinwhichthesamesprevailaredifferealsolieasureatissuedoesnotallowforanyinquiryintotheappropriateheregulatramforthesprevailingiingtries。

166。AoftheappliofSe609thatbearsheavilyinanyappraisalofjustifiableorunjustifiabledisationisthefailureoftheUestoeheappellees，aswellasotherMembersexpshrimptotheUes，inserious，across-the-botiationswiththeobjectiveofgbilateralormultilateralagreementsfortheprotedservatioles，beftheimportprohibitionagainsttheshrimpexportsofthoseotherMembers。TherelevantfadingofthePanelreads:

…However，wehavetheUesadertookionsooleservationteiqueswhichwouldhaveiheplaiheimpositiobaheCITjudgement。FromtherepliesofthepartiestoourquestiononthissubjeparticularthatoftheUes，weuhattheUesdidnotproposetheionofaoanyoftheplainantsuheofioer-Ameritioionaioles，iember1996，i。e。wellafterthedeadliiobanof1May1996。Eveseemsthattheeffortsmademerelysistedofanexehereforecludethat，ihepossibilityofferedbyitslegislatioedStatesdidoioimposedtheimportban。AswesiderthatthemeasuressoughtbytheUeswereofthetypethatwouldnormallyrequireiioiofioexamiieseoionsingoodfaithaheUes，abse，wouldhavebeeoadoptunilateralmeasures。（emphasisadded）

167。Aproposthisfailuretohavepriortreaiofeepolicy，whichproducesdispatriesexpshrimptotheUeswithwhiternatiosarereachedorevenseriouslyattempted，anumberofpointsmustbemade。First，thegressoftheUesexpresslyreizedtheimportanceiiosfortheprotedservatiolespeagthislaw。Se609（a）directstheSecretaryofStateto:

（1）iionsassoonaspossibleforthedevelopmentofbilateralormultilateralagreementswithothernatioionaionofsuchspeciesofseaturtles;

（2）iionsassoonaspossiblewithallfoverswhigagedin，orersonsorpaniesengagedin，ercialfishiionswhich，asdetermiaryofayaffectadverselysuchspeciesofseaturtles，forthepurposeintobilateralandmultilateraltreatieswithsutriestoprotectsuchspeciesofseaturtles;

…

Apartfromtheioer-Ameritioionaioles（the“Inter-Amerition”）whi1996，therecordbeforethePaindiyserious，substaocarryouttheseexpressdiresofgress。

168。Sed，theprotedservationofhighlymigratoryspeciesofseaturtles，thatis，theverypolicyobjeeasure，demaedaiveeffortsoofthemanytrieswhosewatersaretraversedinthecourseofretseaturtlemigrations。Theneedfor，andtheappropriatenessof，sucheffortshavebeenreizediselfaswellasinasignifiumberofotheriionalisaions。Asstatedearlier，theDeTradeandE，whichprovidedfortheestablishmeEastermsofreferehtheRioDeonEaandAgenda21。Ofparticularrelevanciple12oftheRioDeonEa，art:

Uiohealgesoutsidethejurisdiptryshouldbeavoided。Ealmeasuresaddressingtransblobalealproblemsshould，asfaraspossible，bebasedoionalsus。（emphasisadded）

169。Third，theUesdideanderegioiofortheprotedservatioles:TheInter-Amerition。Thisenedfnatureon1December1996andhasbeensignedbyfivetries，inadditioedStates，andfourofthesetriesaretlycertifieduion609。ThishasifiedbyanyofitssigheInter-Ameritioeachpartyshalltake“appropriateandnecessarymeasures”fortheproteservationandrecoveryofseaturtlepopulatioatswithinsuchparty'slaoryandinmaritimeareaswithrespecttowhichitexercisesshtsorjurisdieasuresiably，theredu，tothegreatestextentpracticable，oftheiure，retention，harmormortalityofseaturtlesinthecourseoffishingactivities，throughtheapprulationofsuchactivities，aswellasthedevelopment，improvementanduseear，devicesorteiques，ingtheuseofturtleexcluderdevices（TEDs）pursuanttotheprovisionsofAnnexⅢ[ofthe]。

ArticleⅩⅤoftheInter-Ameritionalsoprovides，inpart:

ArticleⅩⅤ

TradeMeasures

1。Ihis，thePartiesshallaacewiththeprovisionsoftheAgreemeablishiradeanization（tedatMarrakeshin1994，ingitsannexes。