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SupplementaryReadingChapter TheWTODisputeSettlementasaModelInternationalTheWorldTradeOrganization(WTO)andDisputeSettlementProceduresLastUpdated:TheWorldTradeOrganization(WTO)wasestablishedin1995inthefinalround(UruguayRound)oftheGeneralAgreementonTariffsandTrade(GATT)negotiations.TheWTOisnotasimpleextensionofGATT,butacompleterecementofitwithadifferentcharacter.TheWTOembodiesthenegotiatedresultsoftheUruguayRoundandisthesuccessortoGATT.TheWTOisresponsibleforenforcingtheGATTagreements,whicharedesignedtoreducebarrierstoworldtrade.DuringthetradenegotiationsglobalrulesforinternationaltradewereimprovedandextendedtomosttradingnationsonanequivalentbasisandresponsibilityforenforcingtheseruleswasentrustedtothenewlycreatedWTO.Additionally,theWTOprovidesproceduresfornegotiatingadditionalreductionsoftradebarriersandforthepromptandeffectivesettlementofdisputesinallareascoveredbythenewworldtradeagreement.TheUruguayRoundestablisheddisputesettlementproceduresfortheWTO.ThiswascalledtheUnderstandingonRulesandProcedureserningtheSettlementofDisputes(DSU).THESTRUCTUREOFTHETheStructureoftheWTOisdominatedbyitshighestauthority,theMinisterialConference,composedofrepresentativesofallWTOmembers,whichisrequiredtomeetatleasteverytwoyearsandwhichcantakedecisiononallmattersunderanyofthemultilaltradeagreements.Theday-to-dayworkoftheWTOiscarriedoutbyanumberofsubsidiarybodies;primarilytheGeneralCouncil,whichisalsocomposedofallWTOmembers,whichisrequiredtoreporttotheMinisterialConference.AswellasconductingitsregularworkonbehalfoftheMinisterialConference,theGeneralCouncilconvenesintwoparticularforms-astheDisputeSettlementBody(DSB),tooverseethedisputesettlementprocedures,andastheTradeReviewBodytoconductregularreviewsofthetradepoliciesofindividualWTOmembers.TheGeneralCouncildelegatesresponsibilitytothreeothermajorbodies:theCouncilforTradeinGoods,theCouncilforTradeinServices,andtheCouncilforTradeRelatedAspectsofInlectualProperty.TheCouncilforTradeinGoodsoverseastheimplementationandfunctioningofalltheagreementscoveringtradeingoods,thoughmanysuchagreementshavetheirownspecificoverseeingbodies.TheothertwoCouncilsareresponsiblefortheirrespectiveWTOagreementsandmayestablishtheirownsubsidiarybodiesasnecessary.TheWTOGeneralCouncilconvenesastheDSBtodealwithdisputesarisingfromanyagreementcontainedintheFinalActoftheUruguayRound.TheDSBissolelyauthorizedtoestablishpanels,adoptpanelandappellatereports,maintainsurveillanceofimplementationorrulingsandmendations,andauthorizeretaliatorymeasureincasesofnonimplementationofTheWTOdisputesettlementmechanismgivesthepossibilityofappealtoeitherpartyinapanelproceeding.AppealsareheardbyastandingAppellateBodyestablishedbytheDSB.ThisAppellateBodyiscomposedofseven swhichbroadlyrepresenttheWTO'smembership.Theyservefouryearterms.arerequiredtobe sofrecognizedstandinginthefieldoflawandinternationaltrade,andcannotbeaffiliatedwithanyernment.TheWTOSecretariat,whichislocatedinGeneva,Switzerland,hasastaffofabout500andisheadedbyaDirectorGeneralandfourDeputyDirectorsGeneral.ItsresponsibilitiesincludetheservicingofWTOdelegatebodieswithrespecttonegotiationsandtheimplementationsofagreements.Ithasaparticularresponsibilitytoprovidetechnicalsupporttodevelocountries,andespeciallytheleastdevelopedcountries.WTOeconomistsandstatisticiansprovidetradeperformanceandysiswhileitslegalstaffassistintheresolutionoftradedisputesinvolvingtheinterpretationofWTOrulesandprecedents.MuchoftheSecretariat'sworkisconcernedwithaccessionnegotiationsfornewmembersandprovidingadvicetoernmentsconsideringmembership.THEDIFFERENCEBETWEENWTOANDTheprincipledifferencesbetweenWTOandGATTGATTwasasetofrules,amultilalagreement,withnoinstitutionalfoundation,onlyasmallassociatedsecretariatwhichhaditsoriginsinthefailedattempttoestablishtheInternationalTradeOrganizationsinthe1940s.TheWTOisapermanentinstitutionwithitsownsecretariat.GATTwasapplieda"provisionalbasis"eventhoughitlastedmorethanfortyyearsandernmentschosetotreatitasapermanentcommitment.TheWTOcommitmentsarefullandGATTrulesappliedtotradeinmerchandisegoods.Inadditiontogoods,theWTOcoverstradeinservicesandtraderelatedaspectsofinternationalproperty.GATTwasamultilalinstrument,bythe1980smanynewagreementshadbeenaddedofaplurilal,thereforeselective,nature.TheagreementswhichconstitutetheWTOarealmostallmultilalandinvolvecommitmentsfortheentiremembership.TheWTOdisputesettlementsystemisfaster,moreautomatic,andlesssusceptibletoblockages,thantheoldGATTsystem.TheimplementationofWTOdisputefindingswillbemoreeasilyassured.DISPUTESETTLEMENTTheWTO'sdisputesettlementprocessunderscorestheruleoflaw,anditmakesthetradingsystemmoresecureandpredictable.Theproceduresareclearlystructured,withflexibletimetablessetforcompletingacase.Firstrulingsaremadebyapanelandfinalrulingsareendorsed(rejected)bytheWTO'sfullmembership.Appealsthatarebasedonpointsoflawarepossible.Nosinglecountrycanblockthese.TheUnderstandingonRulesandProcedureserningtheSettlementofDisputes(DSU),bothcontinuesandmodifiespriorGATTdisputepractices.ThedisputesettlementsystemoftheWTOisacentralelementinprovidingsecurityandpredictabilitytothemultilaltradingsystemandWTOmemberscommitthemselvesnottotakeunilalactionagainstperceivedviolationsofthetraderulesbuttoseekrecourseinthemultilaldisputesettlementsystemandtoabidebyitsrulesandfindings.SettlingdisputesistheresponsibilityoftheDisputeSettlementBody(DSB)(theDSBistheWTOGeneralCouncilactinginadisputesettlementrole).TheDSBhasthesoleauthoritytoestablish"panels"ofexpertstoconsideracase,andtoacceptorrejectthepanels'findingsortheresultsofanappeal.TheDSBmonitorstheimplementationoftherulingsand mendations,andhasthepowertoauthorizeretaliationwhenacountrydoesnotcomplywitharuling.FIRSTSTAGE-CONSULTATION(UPTO60Beforetakinganyotheractionsthecountriesindisputehavetotalktoeachothertoseeiftheycansettletheirdifferencesbythemselves.Ifthatfails,thetwocountriescsoasktheWTODirectorGeneraltomediateortrytohelpinotherway.SECONDSTAGE-THEPANEL(UPTO45DAYSFORAPANELTOBEAPPOINTED,PLUS6MONTHSFORTHEPANELTOCONCLUDE):Ifconsultationsbetweenthecountriesfail,thecominingcountrycanaskforapaneltobeappointed.Thecountrythathasbeenaccusedofwrongngcanblockthecreationofapanelonce,butwhentheDSBmeetsforasecondtime,theappointmentcannolongerbeblocked(unlessthereisaconsensusagainstappointingthepanel).Panelsaremuchliketribunals.Unliketribunals,however,thepanelistsareusuallychoseninconsultationwiththecountriesindispute.Whenthetwosidesareunabletoagreeonthecompositionofpanelists,theWTODirectorGeneralthenhastheauthoritytoappointthem.Thishappensrarely.Panelsconsistofthree(sometimesfive)expertsfromdifferentcountrieswhoexaminetheevidenceanddecidewhoisrightandwhoiswrong.Thepanel'sreportispassedtotheDSB,whichcanonlyrejectthereportbyconsensus.Panelistsforeachcasecanbechosenfromapermanentlistofwellqualifiedcandidates,orfromelsewhere.Theyserveintheirindividualcapacities.Theycannotreceiveinstructionsfrom mendations.However,sincethepanel'sreportcanonlyberejectedbyconsensusinDSB,itsconclusionsaredifficulttooverturn.Thepanel'sfindingshavetobebasedontheagreementscited.Thepanel'sfinalreportshouldnormallybegiventothepartiestothedisputewithinsixmonths.Incasesofurgency,includingthoseconcerningperishablegoods,thedeadlineisshortenedtothreemonths.ThefollowingbreaksdownthemainstagesofthepanelsBeforethefirsthearing:eachsideinthedisputepresentsitscaseinwritingtotheFirsthearing:thecaseforthecominingcountryanddefense:thecominingcountry(orcountries),therespondingcountry,andthosethathaveannouncedtheyhaveaninterestinthedispute,maketheircaseatthepanel'sfirsthearing.Rebuttals:thecountriesinvolvedsubmitwrittenrebuttalsandpresentoralargumentsatthepanel'ssecondmeeting.Experts:ifonesideraisesscientificorothertechnicalmatters,thepanelmayconsultexpertsorappointanexpertreviewgrouptoprepareanadvisoryreport.Firstdraft:thepanelsubmitsthedescriptive(factualandargument)sectionsofitsreporttothetwosides,givingthemtwoweekstocomment.Thisreportdoesnotincludefindingsandconclusions.Interimreport:Thepanelthensubmitsaninterimreport,includingitsfindingsandconclusions,tothetwosides,givingthemoneweektoaskforareview.Review:Theperiodofreviewmustnotexceedtwoweeks.Duringthattime,thepanelmayholdadditionalmeetingswiththetwosides.FinalReportAfinalreportissubmittedtothetwosidesandthreeweekslater,itiscirculatedtoallWTOmembers.IfthepaneldecidesthatthedisputedtrademeasuredoesbreakaWTOagreementoranobligation,it mendsthatthemeasurebemadetoconformwithWTOrules.Thepanelmaysuggesthowthiscouldbedone.Thereport esaruling:Thereport estheDisputeSettlementBody'sruling mendationwithin60daysunlessaconsensusrejectsit.Bothsidescanappealthereport(sometimesbothpartiesdo).Eithersidehastheopportunitytoappealtherulingbythepanel.Insomecases,bothpartieshaveappealedthepanel'sruling.Appealsarebasedonlegalpointssuchaslegalinterpretation-theycannotbebasedonthereexaminationorexistingevidenceortheexaminationofnewevidence.Eachappealisheardbythreemembersofapermanentseven-memberAppellateBodysetupbytheDSBandbroadlyrepresentingtherangeofWTOmembership.MembersoftheAppellateBodyhavefour-yearterms.Theymustbeindividualswhopossessarecognizedstandinginthefieldoflawandinternationaltrade,andnotaffiliatedwithanyernment.Anappealcanuphold,modifyorreversethepanel'slegalfindingsandconclusions.Normallyappealsshouldnotlastmorethan60days,withthe umbeing90days.TheDSBmustacceptorrejectappealsreportwithin30days.Rejectionoftheappealsreportcanonlybedonebyconsensus.CONCLUDINGAfterthecasehasbeendecided,thelosingpartyor"defendant"needstobringitsintoconformitywiththeDSB'srulingor mendations.Thedisputesettlementagreementstatesthat"promptcompliancewith mendationsorrulingsoftheDSBisessentialinordertoensureeffectiveresolutionofdisputestothebenefitofallMembers".Ifthecountrythatisthetargetofthecomintloses,itmustthenfollowthe mendationsofthepanelreportortheappealsreport.ThecountrymuststateitsintentiontocomplyataDSBmeetingheldwithin30daysofthereportsadoption.Ifitisimpracticaltocomplyimmediay,thememberwillbegivena"reasonableperiodoftime"todoso.Ifitfailstoactwithinthisperiod,ithastoenterintonegotiationswiththecominingcountry(orcountries)inordertodeterminemutually-acceptablecompensation.Ifafter20days,nosatisfactorycompensationhasbeenagreedto,thecominingsidehastheoptionofaskingtheDSBforpermissiontoimposelimitedtradesanctions("suspendconcessionsorobligations")againsttheotherside.TheDSBshouldgrantthisauthorizationwithin30daysoftheexpiryofthe"reasonableperiodoftime"unlessthereisaconsensusagainsttherequest.Inprinciple,thesanctionsshouldbeimposedinthesamesectorasthedispute.Ifforsomereasonthisisnotpracticalorifitcannotbeeffective,thesanctionscanbedirectedtoadifferentsectorofthesameagreement.Ifthisisalsonoteffectiveorpracticableandifthecircumstancesareseriousenough,theactioncanbetakenunderanotheragreement.ThegoalistominimizethechancesofactionsspillinerintounrelatedsectorswhileatthesametimeallowingtheactionstobeeffectiveInconclusion,theDSBmonitorshowadoptedrulingsareimplemented.Anyoutstandingcaseremainsonitsagendauntiltheissueisresolved.QuestionsforWhatisCanyoudescribethestructureoftheWhatisthefunctionoftheCouncilforTradeinArethereanydifferencesbetweenWTOandGATT?WhatareWhataretheWTO’sdisputsettlementprocedures?PleasespecifythedifferentHowarepanelistsWhohearsCananappealuphold,modifyorreversethepanel’slegalfindingsand第七章補(bǔ)充閱讀WTO爭(zhēng)端解決作為國(guó)際的模式世界貿(mào)易組織和爭(zhēng)議解決程序最后更新：2004年4月24世界貿(mào)易組織（WTO）于1995年GATT）最后一輪（烏拉圭回合）談判中成立。 的繼承者。世貿(mào)組織負(fù)責(zé)執(zhí)行旨在減少世界貿(mào)易壁壘的協(xié)議。在貿(mào)易談判效解決貿(mào)易協(xié)定涵蓋的所有政策領(lǐng)域的爭(zhēng)端的程序。烏拉圭回合為世貿(mào)組織建立了爭(zhēng)端解決世貿(mào)組織的結(jié)構(gòu)世貿(mào)組織的結(jié)構(gòu)由其最高權(quán)力機(jī)構(gòu)——部長(zhǎng)級(jí)會(huì)議主導(dǎo)，由所有世貿(mào)組織成員的。世貿(mào)組織的日常工作由多個(gè)附屬機(jī)構(gòu)執(zhí)行；主要是事會(huì)，也由世貿(mào)組織所有成員組成，向部長(zhǎng)級(jí)會(huì)議報(bào)告。除了代表部長(zhǎng)級(jí)會(huì)議開展日常工作外，事會(huì)還以兩種特殊形式召開會(huì)議——作為爭(zhēng)端解決機(jī)構(gòu)（DSB），負(fù)責(zé)監(jiān)督爭(zhēng)端解決程序；以及作為貿(mào)易政策機(jī)構(gòu)，進(jìn)行定期世事會(huì)將職責(zé)委托給其他三個(gè)主要機(jī)構(gòu)：貨物貿(mào)易理事會(huì)、服務(wù)貿(mào)易理事會(huì)和知識(shí)貿(mào)易相關(guān)世貿(mào)組織事會(huì)作為爭(zhēng)端解決機(jī)構(gòu)召開會(huì)議，處理烏拉圭回合《最后文件》所載任何協(xié)議引起的爭(zhēng)端。DSB僅有權(quán)設(shè)立專家組、通過專家組和上訴報(bào)告、維持對(duì)實(shí)施或裁決和建議的監(jiān)督，以及世貿(mào)組織爭(zhēng)端解決機(jī)制允許在專家組程序中向任何一方提出上訴。上訴由DSB設(shè)立的常設(shè)上訴機(jī)構(gòu)。該上訴機(jī)構(gòu)由七名成員組成，廣泛代表世貿(mào)組織成員。他們的為四年。必須是在法律和國(guó)際貿(mào)易領(lǐng)域具有公認(rèn)地位的，并且不能隸屬于任何。職責(zé)包括為世貿(mào)組織代表機(jī)構(gòu)提供談判和協(xié)議執(zhí)行方面的服務(wù)。它負(fù)有向發(fā)展家、特別是最不發(fā)達(dá)國(guó)家提供技術(shù)支持的特殊責(zé)任。世貿(mào)組織和統(tǒng)計(jì)學(xué)家提供貿(mào)易績(jī)效和政策分析，而其WTO和GATT之間的區(qū)別WTO和GATTGATT是一套規(guī)則，是一項(xiàng)多邊協(xié)議，沒有制度基礎(chǔ)，只有一個(gè)小型附屬處，其 于20世紀(jì)40年代建立國(guó)際貿(mào)易組織嘗試。世貿(mào)組織是一個(gè)常設(shè)機(jī)構(gòu)，有自己的 盡管持續(xù)了四十多年，但它仍然是“臨時(shí)基礎(chǔ)”，各國(guó)選擇將其視為永久承諾。世貿(mào)組織的承諾是全面和永久的。規(guī)則適用于商品貿(mào)易。除貨物貿(mào)易外，世貿(mào)組織還涵2080與舊的體系相比，世貿(mào)組織爭(zhēng)端解決體系更快、更自動(dòng)化、更不易受阻。世