THE WTO DISPUTE SETTLEMENT SYSTEM 1995-2003PDF电子书下载

PART ⅠThe Doha Development Round Negotiations on Improvements and Clarifiications of the WTO Dispute Settlement Procedures 3

Chapter 1 E.U.PETERSMANN THE DOHA DEVELOPMENT ROUND NEGOTIATIONS ON IMPROVEMENTS AND CLARIFICATIONS OF THE DISPUTE SETTLEMENT UNDERSTANDING 2001-2003： AN OVERVIEW 3

Ⅰ. The Importance of International Organizations for Rule of Law and Peaceful Settlement of International Disputes 5

Ⅱ.Proposals for Improving the Working Procedures of WTO Dispute Settlement Panels 7

Ⅲ.Proposals for Moving from Ad hoc to Permanent Panelists 8

Ⅳ.Improvements and Reforms of the WTO Appellate Body 9

Ⅴ. Proposals for Reforms of Article 21 of the DSU 10

Ⅵ.Proposals for Reforms of Article 22of the DSU 11

Ⅶ.Arbitration within the WTO 12

Ⅷ.Special and Differential Treatment of Developing Countries under the WTO Dispute Settlement System 13

Ⅸ.Additional Negotiating Proposals on Improvements and Clarifications of the DSU 14

Ⅹ. Policy Conclusions 15

Chapter 2W.J.DAVEY PROPOSALS FOR IMPROVING THE WORKING PROCEDURES OF WTO DISPUTE SETTLEMENT PANELS 19

Ⅰ. Codification of Working Procedures 19

Ⅱ.Transparency 20

Ⅲ.Participation 22

Ⅳ.Gathering Information 23

Ⅴ. Preliminary Rulings 24

Ⅵ.Timeframes 24

Ⅶ.Settlements 25

Ⅷ.Consultations and Panel Establishment 26

Ⅸ.Dormant Cases 26

Ⅹ. Miscellaneous 27

Chapter 3 T.COTTIER PROPOSALS FOR MOVING FROM AD HOC PANELS TO PERMANENT WTO PANELISTS 31

Ⅰ. Introduction 31

Ⅱ.Ideas and Proposals Submitted 32

Ⅲ.Assessment 34

A.Practical and Operational Issues 34

B.Constitutional Issues 36

Ⅳ.Further Suggestions： A College of Permanent Panelists 38

Chapter 4 D.P.STEGER IMPROVEMENTS AND REFORMS OF THE WTO APPELLATE BODY 41

Ⅰ. Introduction 41

Ⅱ.Increase in the Number of Appellate Body Members？ 43

Ⅲ.“Judicialization” of the Appellate Body？ 45

Ⅳ.Length of Term 46

Ⅴ. Remand Authority 46

Ⅵ.Reform of the Panel Process 47

Ⅶ.Conclusion 48

Chapter 5 J.PAUWELYN PROPOSALS FOR REFORMS OF ARTICLE 21 OF THE DSU 51

Ⅰ. Surveillance of Implementation by the DSB 51

Ⅱ.Article 21.5 Compliance Procedures 53

A.Some Facts 53

B.Article 21.5 Procedures 53

C.The Parties in an Article 21.5 Procedure 55

D.The Disagreements or Measures That Can Be Examined in an Article 21.5 Procedure 56

Ⅲ.Article 21.3 Arbitrations on Reasonable Period of Time 59

Chapter 6 P.C.MAVROIDIS PROPOSALS FOR REFORM OF ARTICLE 22 OF THE DSU： RECONSIDERING THE “SEQUENCING” ISSUE AND SUSPENSION OF CONCESSIONS 61

Ⅰ. A Multilateral Finding of Inadequate Implementations is the Necessary Condition to Exercise the Right to Request Suspension of Concessions 61

A.What is Sequencing？ 61

B.The Primary Law 62

C.The Case-Law 62

D.In Favour of Sequencing 64

E.State Practice Evolves the Other Way 66

F.Why Legislation is Needed 66

G.Legislation Ante Portas： All （but Australia） in Favour of Sequencing 67

H.A “First Do no Harm” Approach 68

Ⅱ.Suspension of Concessions and the Re-negotiation of Remedies 69

A.Moving on to Issues that Might Divide 69

B.The “Daring” Proposals 70

C.The “Modest” Agenda 71

D.Taking Care of Business： Views from the Outside World 71

Chapter 7 V.HUGHES ARBITRATION WITHIN WTO 75

Ⅰ. Introduction 75

Ⅱ.History 75

A.The Havana Charter 75

B.The GATT 1947 76

C.The 1979 Tokyo Understanding 77

D.The Uruguay Round Negotiations 77

E.The 1989 Improvements 78

Ⅲ.Arbitration Under the DSU 80

A.Arbitration under Article 25 80

B.Arbitration under Article 21.3（c） 82

Ⅳ.Conclusion 85

Chapter 8 F.ROESSLER SPECIAL AND DIFFERENTIAL TREATMENT OF DEVELOPING COUNTRIES UNDER THE WTO DISPUTE SETTLEMENT SYSTEM 87

Chapter 9 E.-U.PETERSMANN ADDITIONAL NEGOTIATION PROPOSALS ON IMPROVEMENTS AND CLARIFICATIONS OF THE DSU 91

Ⅰ. What Is the Appropriate Scope of the Negotiations on Improvements and Clarifications of the DSU？ 91

Ⅱ.What Is the Appropriate Legal Form for Putting Agreed Improvements and Clarifications of the DSU into Effect？ 92

Ⅲ.Is There a Need for Shortening， Extending， or Rendering more Flexible the Duration of WTO Dispute Settlement Proceedings？ 93

Ⅳ.Is It Advisable to Strengthen the Rights of Developing Countries and of Third Parties in Consultations （Article 4 of the DSU）？ 94

Ⅴ. Is There a Need for Additional DSU Provisions Promoting the WTO Consistency， Notification and Examination of Mutually Agreed Solutions？ 95

Ⅵ.Does Article 5 on Good Offices， Conciliation and Mediation Need to Be Strengthened？ 95

Ⅶ.Is There a Need for Improvements and Clarilications of the Mandate and Procedures of the DSB？ 97

Ⅷ.Is There a Need for Improvements and Clarilications of Other DSU Provisions？ 98

Chapter 10 J.A.LACARTE and C.-D.EHLERMANN POLICY CONCLUSIONS （2002） 99

Chapter 11 C.D.EHLERMANN REFLECTIONS ON THE PROCESS OF CLARIFICATION AND IMPROVEMENT OF THE DSU 105

Ⅰ. Introduction 105

Ⅱ.Relationship Between （Quasi-） Judicial and Political Decision Making 106

Ⅲ.Developing and Least-Developed Countries 108

Ⅳ.Other Issues 108

A.Appellate Body 109

B.Panels 110

C.Amicus Curiae Briefs and Transparency 110

D.Third Party Rights 111

E.Confidential Business Information 111

F.Efficiency 111

G.Time Frames 111

H.Remedies 112

V.Conclusion 113

Chapter 12 E.KESSIE THE “EARLY HARVEST NEGOTIATIONS” IN 2003 115

Ⅰ.Introduction 115

Ⅱ.Past Attempts to Reform the DSU 117

A.Attempts Between 1998 and 2001 117

B.The Scope of the Doha Mandate 118

Ⅲ.Review of the Chairman’s Text of 28 May 2003 121

A.Evolution of the Work of the Special Session of the DSB 121

B.Review of the Chaiman’s Text 123

Ⅳ.Conclusion 139

A.System of Permanent Panellists 140

B.Remedies 142

C.Other Proposals 148

PART ⅡWTO Jurisprudence and Dispute Settlement Practice 153

Chapter 13P.C.MAVROIDIS DEVELOPMENT OF WTO DISPUTE SETTLEMENT PROCEDURES THROUGH CASE-LAW 153

Ⅰ. The DSU is an Incomplete Contract When it Comes to Setting Out the Procedures which WTO Adjudicating Bodies Will Have to Follow 153

Ⅱ.You， Members， Do Not Have the Exclusive Right to Submit？ 155

Ⅲ.Facing the Challenges of Practice 159

A.Parallelism Between Consultations and Panel Proceedings 159

B.A Lawful Request For Establishment of a Panel Is 160

C.Burden of Proof 160

D.Treatment of Confidential Evidence 172

Ⅳ.Brief Concluding Remarks 176

Chapter 14 F.WEISS INHERENT POWERS OF NATIONAL AND INTERNATIONAL COURTS 177

Ⅰ. Introduction 177

Ⅱ.A Brief Overview of Inherent Powers 178

Ⅲ.The Use of Inherent Powers by the Appellate Body 179

A.The Appellate Body’s Working Procedures 179

B.Relevant AB Practice 179

Ⅳ.Inherent Powers： Lessons from International Adjudicatory Bodies 182

A.The Concept of Inherent Powers 182

B.Revision of Awards 185

C.Interim Measures 186

D.Proprio Motu 187

Ⅴ.Conclusion： Inherent Powers of the AB？ 189

Chapter 15 W.J.DAVEY WTO DISPUTE SETTLEMENT PRACTICE RELATING TO GATT 1994 191

Ⅰ.GATT Article Ⅰ - The Most-Favoured-Nation Obligation 192

Ⅱ.GATT Article Ⅲ - The National Treatment Obligation 193

A.Discriminatory Taxation 193

B.Discriminatory Regulation of Like Products 197

Ⅲ.GATT Article ⅩⅠ - The Ban on Quantitative Restrictions 200

Ⅳ.GATT Article ⅩⅩ - The General Exceptions 201

A.Health Measures 201

B.Enforcement Measures 203

C.Conservation Measures 204

D.The Chapeau 206

Ⅴ.Other GATT Articles 208

A.Article Ⅱ 208

B.Article Ⅷ 210

C.Article Ⅹ 210

D.Article ⅩⅢ 212

E.Article ⅩⅧ：B 213

F.Article ⅩⅩⅢ：1 （b） 213

G.Article ⅩⅩⅣ 214

H.Article ⅩⅩⅧ 215

Ⅵ.Conclusion 215

Chapter16 F.ORTINO WTO JURISPRUDENCE ON DE JURE AND DE FACTO DISCRIMINATION 217

Ⅰ.Introduction 217

Ⅱ.The National Treatment Principle and the Prohibition of Formal or De Jure Discrimination 218

A.Article Ⅲ：2 GATT and Fiscal Measures 219

B.Article Ⅲ：4 GATT and Non-frscal Regulation 222

Ⅲ.The National Treatament Principle and the Prohibition of Material or De Facto Discrimination 231

A.Article Ⅲ：2 GATT and Fiscal Measures 232

B.Article Ⅲ：4 GATT and Non-fiscal Regulation 249

Ⅳ.Brief Conclusion 262

Chapter 17 L.BARTELS WTO DISPUTE SETTLEMENT PRACTICE ON ARTICLE ⅩⅩⅣ OF THE GATT 263

Ⅰ. Introduction 263

Ⅱ.Scope of ArticleⅩⅩⅣ 264

Ⅲ.Article ⅩⅩⅣ and Other WTO Rules 265

Ⅳ.The Article ⅩⅩⅣ ‘Defence’ 266

A.Scope of the Article ⅩⅩⅣ ‘Defence’ 267

B.Justiciability of Regional Trade Agreements 267

C.Timing of the Measure 268

D.Necessity of the Measure 269

Ⅴ. Burden of Proof 271

Ⅵ.Conclusions 272

Chapter 18 G.MARCEAU and J.P.TRACHTMAN GATT， TBT AND SPS： A MAP OF WTO LAW OF DOMESTIC REGULATION OF GOODS 275

Ⅰ. Introduction 275

Ⅱ.How the SPS and TBT Agreements Came to Exist 277

Ⅲ.Comparing the Disciplines of the SPS Agreement， the TBT Agreement and the GATT 280

A.Non-Discrimination： National Treatment and Most-Favoured-Nation 280

B.Necessity and Proportionality Tests 288

C.Appropriate Level/Scientific Basis 297

D.Harmonization； Conformity with International Standards 300

E.（Mutual） Recognition and Equivalence 307

F.Internal Consistency 308

G.Permission for Precautionary Action 312

H.Balancing 314

I.Product/Process Issues and the Territorial-Extraterritorial Divide 319

J.Conclusion 325

Ⅳ.Invoking the Disciplines of SPS， TBT and the GATT 326

A.Conditions of Application： Applicable Law 326

B.Cumulative Application and the Interpretative Principle of Effectiveness 328

C.General Application of the Agreements 333

D.Application to Specific Types of Overlap 339

Ⅴ. Conclusion 340

Chapter 19 E.OPUKU AWUKU WTO DISPUTE SETTLEMENT PRACTICE AND TRADE-RELATED ENVIRONMENTAL MEASURES 341

Ⅰ. GATT Dispute Settlement Practice On Trade-Related Environmental Measures 343

Ⅱ.WTO Dispute Settlement Practice On Trade-Related Environmental Measures 345

Ⅲ.Brief Conclusions 351

Chapter 20 P.A.CLARKE， J.BOURGEOIS and G.N.HORLICK WTO DISPUTE SETTLEMENT PRACTICE RELATING TO SUBSIDIES AND COUNTERVAILING MEASURES 353

Ⅰ. Introduction 353

Ⅱ.The Agreement on Subsidies and Countervailing Measures 353

A.Part Ⅰ - General Provisions 354

B.Part Ⅲ - Actionable Subsidies 365

C.Part Ⅴ - Countervailing Measures 369

D.Part Ⅵ - Institutions 373

E.Part Ⅶ - Notification and Surveillance 373

F.Part Ⅷ - Developing Country Members 374

G.Part Ⅹ - Dispute Settlement 374

H.Part ⅩⅠ - Final Provisions 375

Ⅲ.Conclusion 377

Chapter 21 W.ZDOUC WTO DISPUTE SETTLEMENT PRACTICE RELATING TO THE GENERAL AGREEMENT ON TRADE IN SERVICES 381

Ⅰ. Introduction 381

Ⅱ.The Most-Favoured-Nation Treatment Clauses of GATT and GATS 382

Ⅲ.The National Treatment Clauses of GATS and GATT 383

Ⅳ.Measures Affecting Trade in Services 386

A.The Notion of Measures within the Scope and Coverage of GATS 387

B.The Notion of Measures Affecting Trade in Services 389

Ⅴ. The “Likeness” Problem 394

A.The “Likeness” of Service Transactions 395

B.The “Likeness” of Service Suppliers 397

C.The “Likeness” of Services and Service Suppliers across Modes of Supply 401

Ⅵ.No Less Favourable Treatment 403

A.De Facto Discrimination under the GATS National Treatment Clause 406

B.Limits of De Facto Discrimination under the GATS National Treatment Clause 410

C.De Facto Discrimination under the GATS MFN Treatment Clause 413

Ⅶ.Conclusions on the MFN and National Treatment Principles Applied to Services 416

Chapter 22 F.M.ABBOTT WTO DISPUTE SETTLEMENT PRACTICE RELATING TO THE AGREEMENT ON TRADE-RELATED INTELLECTUAL PROPERTY RIGHTS 421

Ⅰ.Introduction 421

Ⅱ.Decided Cases 422

A.India - Patent Protection for Pharmaceutical and Agricultural Chemical Products （India - Mailbox） 422

B.Canada - Patent Protection of Pharmaceutical Products （Canada -Generic Pharmaceuticals） 424

C.United States - Section 211 Omnibus Appropriations Act of 1998（US - Havana Club） 432

D.United States - Section 110（5） of the US Copyright Act （US -Copyright Exemption） 439

E.Canada - Term of Patent Protection （Canada - Patent Term） 439

F.US Claims Regarding Brazil’s Compulsory Licensing Legislation 440

Ⅲ.Process Matters 441

A.WIPO Reports 441

B.Burden of Proof 442

Ⅳ.The Doha Declaration and Its Jurisprudential Implications 444

Ⅴ.Non-Violation Nullification or Impairment in TRIPS 449

Ⅵ.General Observations and Conclusion 453

Chapter 23M.MATSUSHITA APPELLATE BODY JURISPRUDENCE ON THE GATS AND TRIPS AGREEMENTS 455

Ⅰ.Introduction 455

Ⅱ.Appeal Cases under the GATS 455

A.Canada - Periodicals 456

B.EC -Bananas 457

C.Canada - Automotive Industry 459

D.Analysis 460

E.A Recent Telecom Dispute Between the United States and Mexico 463

Ⅲ.Appeal Cases under the TRIPS 465

A.Canada - Patent 465

B.India - Patent 466

C.United States - Section 211 Omnibus Appropriation Act of-1998 467

D.Analysis 470

Chapter 24 A.H.QURESHI PARTICIPATION OF DEVELOPING COUNTRIES IN THE WTO DISPUTE SETTLEMENT SYSTEM 475

Ⅰ.Introduction 475

Ⅱ.Brief Statistical Account 476

Ⅲ.The Criteria for Measuring Participation by Developing Countries 480

Ⅳ.The “Developing Condition” of a Member in the Dispute Settlement Practice 482

Ⅴ.Problems and Reform 493

A.Reforms 495

Chapter 25 C.D.EHLERMANN SIX YEARS ON THE BENCH OF THE “WORLD TRADE COURT” 499

Ⅰ.The Exceptional Character of the WTO Dispute Settlement System 500

Ⅱ.The Composition of the Appellate Body 501

Ⅲ.The Working Procedures 503

A.Procedure for Adoption 503

B.Divisions of Three Appellate Body Members and the Duration of the Appeal Procedure 504

C.Exchange of Views 505

D.Selection of Members Constituting a Division 506

E.Overall Evaluation 507

Ⅳ.Method of Interpretation 508

Ⅴ.The Early Clarification of Procedural Issues 511

A.Burden of Proof 511

B.Standard of Review 512

C.Distinction Between Issues of Law and Issues of Facts 513

D.Special Problem of the Determination of the Meaning of Municipal Law 515

E.Fact Finding by Panels and the Corresponding Duties of WTO Members 515

Ⅵ.The Panel Structure 519

Ⅶ.Issues of Substantive Law 520

A.General Considerations 520

B.Difficulties Arising from Structural Differences between WTO and EC Law 520

C.Cumulating of Substantive Obligations in WTO Law 521

D.More Stringent WTO Law than EC Law Obligations 522

Ⅷ.The Tensions between the Strong （Quasi-） Judicial and the Weak Political Structures 523

A.General Considerations 523

B.Unsatisfactory Functioning of Political Filters 524

C.Blockage of the Process of Interpretations and Amendments 525

D.Urgency of Improving Political Decision-Making 526

E.Dangers of Attributing Direct Effect of WTO Law 527

F.Responsibility of the Appellate Body： Principled or Case-specific Reasoning？ 528

Ⅸ.Conclusions 529

Chapter 26 N.PARK STATISTICAL ANALYSIS OF THE WTO DISPUTE SETTLEMENT SYSTEM （1995-2000） 531

Executive Summary 531

Abbreviations 533

Ⅰ. Overview of the State of WTO Dispute Settlement 534

A.State of Annual Complaints 534

B.State of Complaints by Country 536

C.Joint Complaints 536

D.State of Responses by Country 536

E.Trends in the Complaints and Responses 537

Ⅱ.Ways of Dispute Settlement 538

A.Settlement of Disputes by the Adoption of PR/ABR 538

B.Settlement of Disputes by other Ways Including Bilateral Settlement 539

Ⅲ.State of Use of the WTO Dispute Settlement System 540

A.Consultation Process 540

B.Panel Process 540

C.Appellate Process 541

Ⅳ.Participation as a Third Party 542

A.Participating in Consultations 542

B.Participating in Panel Procedures 543

C.Participating in Appeal Procedures 543

Ⅴ. Overview of the WTO Agreements Invoked in Disputes 544

A.The WTO Agreements Invoked in Disputes 544

B.Provisions of the GATT 1994 Invoked in Disputes 544

C.State of Disputes By the GATS 545

D.State of Disputes By the TRIPs 546

Ⅵ.Time Taken in the Process of Dispute Settlement 546

A.From the Request for Consultation to the Adoption of PR/ABR 546

B.From the Establishment of a Panel to the Circulation of the PR 547

C.From the Establishment of a Panel to the Adoption of PR/ABR 547

D.From the Establishment of a Panel to the Decision on the Reasonable Period of Time for Implementation 547

E. Total Amount of Time Taken for the Settlement of Disputes 549

Ⅶ. State of Implementation of the Rulings of the DSB 550

A. Disputes Concerning the Implementation of the Rulings of the DSB 550

B. Disputes Concerning the Level of Retaliation 552

C. Authorization for Retaliatory Measures 553

Annex Ⅰ： Chronological Lists of WTO Dispute Settlement Invocations and Reports 555

Annex Ⅱ： Report by the Chairman of the Special Sessions of the DSB to the TNC of 6 June 2003 579

Index 599