WTODisputeSettlementMechanism1.docx

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WTODisputeSettlementMechanism1

WTODisputeSettlementMechanism

（1）

WTODisputeSettlementMechanism

------AnAnalysisoftheDSUinPositivism

by

Chengwei,Liu

Foreword

ThisbookisasystematicallyselectedpilationofReportsissuedbyvariouspanelsandthestandingAppellateBody,thenadoptedbytheDSBundertheWTOjurisdictionbytheendofMay20XX,incategoryofsubjectssuchascausesofaction,initiationofpanelproceedings,functionofpanels,rulesofevidenceandspecialrulesgoverninganti-dumpingdisputes,etc.,whichareinmostcasesruledas“preliminaryissues”or“proceduralobjections”.However,thisbookisnotintendedtobeexhaustive.ItdealsonlywithissuesindisputesettlementproceedingsundertheWTOjurisprudencethattheauthorconsidersthemoreimportant,wheresuchrulesaremainlyconcernedasArt.XXIIIoftheGATT1994;Arts.3,4,6,7,10,11,13,,23,26oftheDSU;Arts.,,oftheADAgreementandArts.31,32oftheViennaConventionandsoon.

Moreover,thisbookisintendedtobedescriptiveandpositiveratherthanprescriptiveandtheoretical.Mostoftheauthor’sanalysisbenefitsmuchfromthepreciseandlogicallyorganizedreportsbypanelsandtheAppellateBody,administeredbytheDSBundertheWTOjurisdiction.Itmustbemadeclearthatthesereportsdonotconstitutebinding“subsequentpractice”referredtoinArticle31oftheViennaConventionontheLawofTreaties,nordotheyoperateasstaredecisis,panelsandtheAppellateBodyarethereforenotboundbypastreports.Nevertheless,itdoesbethecasedemonstratedbytheDSBpracticethat,relevantreasoninginaparticularcasehasbeencitedorfollowedfrequentlybyanotherpanelorconfirmedbytheAppellateBodyinsubsequentcases.

AsruledbytheAppellateBodyinJapan-TaxesonAlcoholicBeverages（DS44）,“[a]doptedpanelreportsareanimportantpartoftheGATTacquis.Theyareoftenconsideredbysubsequentpanels.TheycreatelegitimateexpectationsamongWTOMembers,and,therefore,shouldbetakenintoaccountwheretheyarerelevanttoanydispute”.Furthermore,apanelcouldneverthelessfindusefulguidanceinthereasoningofanunadoptedpanelreportwhenitconsidersrelevant.Moreimportantly,asstatedintheletterwithwhichtheAppellateBodyconveyedintheFebruaryof1996itsWorkingProceduresforAppellateReviewtotheDSBforinformation,“…itisalsoimportanttoensureconsistencyandcoherenceinourdecision-making,whichistotheadvantageofeveryWTOMemberandtheoverallmultilateraltradingsystemweallshare”.

Thereisnodoubtthat,inlinewiththepragmaticevolutionoftheGATTdisputesettlementsystem,theprogressiveclarificationofanumberofissuesthatarenotpreciselyregulatedintheDSUandthefurtherdevelopmentoftheWTOdisputesettlementprocedures,willgraduallyevolveafterhavingbeentestedandprogressivelyclarifiedandimprovedin

concretedisputesettlementcases.

Consideringallofthis,theauthorpletethisbookwithserious-mindedexploringexaminationandgreatdiligence,bearinginmindthatitisthereforepracticalandofgreatsignificanceforWTOMemberstobeinformedofthevaluablerulingsinthosereportsissuedbypanelsandtheAppellateBodyinparticularcases.

ListofAbbreviations

ATCAgreementonTextileandClothing

BISDBasicInstrumentsandSelectedDocuments（publishedbyGATT）

DSUUnderstandingonRulesandProceduresGoverning

theSettlementofDisputes

DSBDisputeSettlementBody

ECTheEuropeanCommunities

GATSGeneralAgreementonTradeinServices

GATTGeneralAgreementonTariffsandTrade

IMFInternationalMonetaryFund

PGEPermanentGroupofExperts（intheSCMAgreement）

SCMSubsidiesandCountervailingMeasures

SGAgreementonSafeguards

SPSSanitaryandPhytosanitaryMeasures

TBTTechnicalBarrierstoTrade

TMBTextilesMonitoringBody

TRIMSTrade-relatedInvestmentMeasures

TRIPSTrade-relatedAspectsofIntellectualPropertyRights

TSBTextilesSurveillanceBody

WIPOWorldIntellectualPropertyOrganization

WTOWorldTradeOrganization

TableofContents

ChapterITrendtowards“Judicialization”:

ARule-orientedDisputeSettlementSystem

ChapterIICausesofActionbeforetheDSB:

Art.XXIIIoftheGATT1994

SectionOneRighttoPursueaProceedingundertheWTO

ITheConceptofNullificationorImpairment

IITheStandingIssuebeforetheDSB

IIILackofPossibleCompensation

IVSummaryandConclusions

SectionTwoCausesofActionbeforetheDSBinGeneral

IThePresumptioninViolationComplaints

（i）Introduction

（ii）PracticeundertheGATTJurisprudence

（iii）RulingsundertheWTOJurisprudence

（iv）ASummary

IIAnOverviewofNon-ViolationComplaints

（i）RelatedTexts

（ii）RelationshipbetweenArts.XXIII:

1（a）andXXIII:

1（b）

（iii）UnderlyingPurposeofArt.XXIII:

1（b）

（iv）Non-violationClaimsintheContextofPrinciplesofCustomaryInternationalLaw

（v）AppropriateAttitudesastoNon-ViolationRemedy

IIIPresupposedSituationComplaints

SectionThreeEstablishmentofNon-violationComplaints

IIntroduction

IIApplicationofaMeasure:

ScopeofMeasuresCoveredbyArt.XXIII:

1（b）

（i）MeasuresshortofLegallyBindingObligations

（ii）MeasuresFallingunderOtherProvisionsoftheGATT1994

（iii）MeasuresConcerningtheProtectionofHumanHealth

（iv）MeasuresContinuinglyApplied

IIIExistenceofaBenefit:

ProtectionofLegitimateExpectations

（i）ProtectionofLegitimateExpectations（PLE）

（ii）Non-foreseeabilityofMeasuresatIssue

（iii）BenefitsintheNegotiations

（iv）BenefitsunderSuccessiveRounds

IVNullificationorImpairmentofBenefit:

Causality

VSummaryandConclusions

ChapterIIIInitiationofPanelProcedures

SectionOneRoleo

fConsultations:

Art.4

ITheImportanceofConsultations

IIIssuesConcerningthe“adequacy”ofConsultations

SectionTwoEstablishmentofPanels:

Art.

IIntroduction

IIIndicationofConsultationsProcess

IIIIdentificationof“thespecificmeasuresatissue”

IVProvisionof“abriefsummaryofthelegalbasisoftheplaint”

VConcludingRemarks

SectionThreeTermsofReferenceofPanels:

Art.7

IIntroduction

IIEffectofConsultationsonTermsofReferenceofPanels

IIIThe“matterreferredtotheDSB”

SectionFourTheMandateofCompliancePanels:

Art.

IIntroduction

IIClarificationof“measurestakentoply”

IIIPerspectiveofReviewunder

IVExaminationoftheNewMeasureinItsTotalityandinItsApplication

SectionFiveThirdPartyRights:

Art.10

IIntroduction

IIGenericThirdPartyRights:

InterpretationofArt.

IIIExtendedThirdPartyRights:

ExerciseofPanels’Discretion

IVSummaryandConclusions

ChapterIVFunctionofPanels:

Art.11oftheDSU

IIntroduction

IIApplicationofArt.11asaGeneralStandardofReview

IIIReviewin“neitherdenovonortotaldefence”

IVAllegationagainstPanels’StandardofReview

VExerciseofJudicialEconomy

ChapterVGuidelinesforInterpretationoftheWTOCoveredAgreements

IIntroduction

IIApplicationofArts.31,32oftheViennaConvention

IIIWTORulesonConflicts:

EffectiveInterpretation

IVTheStatusofLegitimateExpectationsinInterpretation

ChapterVIGeneralRulesofEvidenceundertheWTOJurisprudence

IBurdenofProofundertheWTOJurisprudence

（i）GeneralRulesWellEstablishedinViolationComplaints

（ii）BurdenofProofincaseofInvokinganException

（iii）SpecialRulesConcerningNon-ViolationClaims

（iv）SummaryandConclusions

IIAdmissibilityofCertainEvidences

（i）EvidenceObtainedfromPriorConsultations

（a）ProceduralConcern:

ConfidentialityofConsultations

（b）SubstantialConcern:

NecessityorRelevanceofEvidence

（ii）ArgumentsbeforeDomesticInvestigativeAuthorities

（iii）ArgumentsSubmittedaftertheFirstSubstantiveMeeting

（a）Thereisasignificantdifferencebetweentheclaimsandtheargumentssupportingthoseclaims.

（b）Thereisnoprovisionestablishingprecisedeadlinesforthepresentationofevidence.

IIIPanel’sRighttoSeekInformation

（i）AGrantofDiscretionaryAuthority

（ii）TheAdmissibilityofNon-requestedInformation

（iii）SummaryandConclusions

IVAdverseInferencesfromParty’sRefusaltoProvideInformationRequested

（i）TheAuthorityofaPaneltoRequestInformationfromaPartytotheDispute

（ii）TheDutyofaMembertoComplywiththeRequestofaPaneltoProvideInformation

（iii）TheDrawingofAdverseInferencesfromtheRefusalofaPartytoProvideInformationRequestedbythePanel

VConcludingRemarks

ChapterVII

SpecialRulesforAnti-dumpingDisputes

SectionOneRecourseofAnti-dumpingDisputestotheDSB

IIntroduction

IISufficiencyofPanelRequestundertheADAgreement

（i）Art.oftheDSUandArticleoftheADAgreement

（ii）Art.oftheDSUandArticle（i）oftheADAgreement

（iii）ASummaryGuiding

IIIGeneralLegalBasisforClaimsagainstLegislationasSuch

IVSpecialRulesforClaimsagainstAnti-dumpingLegislationasSuch

（i）Introduction

（ii）GeneralLegalBasisunderArt.17oftheADAgreement

（iii）UnderstandingofArt.oftheADAgreement

（iv）ExtensiveBasisinContext

（v）ASummary

SectionTwoAdhocStandardofReviewforAnti-dumpingDisputes

IIntroduction

IISpecialStandardofReviewundertheADAgreement:

inGeneral

（i）AdhocApproachestoDomesticDetermination:

Art.

（ii）RelationshipbetweenArt.11oftheDSUandArt.oftheADAgreement

（iii）ASummaryGuiding

IIIScopeofReviewofFact-findings:

Art.（ii）oftheADAgreement

（i）OverviewoftheGATTPractice

（ii）ConcernedRulingsinReportsIssuedbyWTOPanels

（iii）TentativeRemarks:

GuidancefromtheAppellateBody

ChapterVIIIStrengtheningoftheMultilateralSystem

ChapterI

Trendtowards“Judicialization”:

ARule