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PART ⅠThe Doha Development Round Negotiations on Improvements and Clarifiications of the WTO Dispute Settlement Procedures3

Chapter 1 E.U.PETERSMANN THE DOHA DEVELOPMENT ROUND NEGOTIATIONS ON IMPROVEMENTS AND CLARIFICATIONS OF THE DISPUTE SETTLEMENT UNDERSTANDING 2001-2003： AN OVERVIEW3

Ⅰ. The Importance of International Organizations for Rule of Law and Peaceful Settlement of International Disputes5

Ⅱ.Proposals for Improving the Working Procedures of WTO Dispute Settlement Panels7

Ⅲ.Proposals for Moving from Ad hoc to Permanent Panelists8

Ⅳ.Improvements and Reforms of the WTO Appellate Body9

Ⅴ. Proposals for Reforms of Article 21 of the DSU10

Ⅵ.Proposals for Reforms of Article 22of the DSU11

Ⅶ.Arbitration within the WTO12

Ⅷ.Special and Differential Treatment of Developing Countries under the WTO Dispute Settlement System13

Ⅸ.Additional Negotiating Proposals on Improvements and Clarifications of the DSU14

Ⅹ. Policy Conclusions15

Chapter 2W.J.DAVEY PROPOSALS FOR IMPROVING THE WORKING PROCEDURES OF WTO DISPUTE SETTLEMENT PANELS19

Ⅰ. Codification of Working Procedures19

Ⅱ.Transparency20

Ⅲ.Participation22

Ⅳ.Gathering Information23

Ⅴ. Preliminary Rulings24

Ⅵ.Timeframes24

Ⅶ.Settlements25

Ⅷ.Consultations and Panel Establishment26

Ⅸ.Dormant Cases26

Ⅹ. Miscellaneous27

Chapter 3 T.COTTIER PROPOSALS FOR MOVING FROM AD HOC PANELS TO PERMANENT WTO PANELISTS31

Ⅰ. Introduction31

Ⅱ.Ideas and Proposals Submitted32

Ⅲ.Assessment34

A.Practical and Operational Issues34

B.Constitutional Issues36

Ⅳ.Further Suggestions： A College of Permanent Panelists38

Chapter 4 D.P.STEGER IMPROVEMENTS AND REFORMS OF THE WTO APPELLATE BODY41

Ⅰ. Introduction41

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

Ⅲ.“Judicialization” of the Appellate Body？45

Ⅳ.Length of Term46

Ⅴ. Remand Authority46

Ⅵ.Reform of the Panel Process47

Ⅶ.Conclusion48

Chapter 5 J.PAUWELYN PROPOSALS FOR REFORMS OF ARTICLE 21 OF THE DSU51

Ⅰ. Surveillance of Implementation by the DSB51

Ⅱ.Article 21.5 Compliance Procedures53

A.Some Facts53

B.Article 21.5 Procedures53

C.The Parties in an Article 21.5 Procedure55

D.The Disagreements or Measures That Can Be Examined in an Article 21.5 Procedure56

Ⅲ.Article 21.3 Arbitrations on Reasonable Period of Time59

Chapter 6 P.C.MAVROIDIS PROPOSALS FOR REFORM OF ARTICLE 22 OF THE DSU： RECONSIDERING THE “SEQUENCING” ISSUE AND SUSPENSION OF CONCESSIONS61

Ⅰ. A Multilateral Finding of Inadequate Implementations is the Necessary Condition to Exercise the Right to Request Suspension of Concessions61

A.What is Sequencing？61

B.The Primary Law62

C.The Case-Law62

D.In Favour of Sequencing64

E.State Practice Evolves the Other Way66

F.Why Legislation is Needed66

G.Legislation Ante Portas： All （but Australia） in Favour of Sequencing67

H.A “First Do no Harm” Approach68

Ⅱ.Suspension of Concessions and the Re-negotiation of Remedies69

A.Moving on to Issues that Might Divide69

B.The “Daring” Proposals70

C.The “Modest” Agenda71

D.Taking Care of Business： Views from the Outside World71

Chapter 7 V.HUGHES ARBITRATION WITHIN WTO75

Ⅰ. Introduction75

Ⅱ.History75

A.The Havana Charter75

B.The GATT 194776

C.The 1979 Tokyo Understanding77

D.The Uruguay Round Negotiations77

E.The 1989 Improvements78

Ⅲ.Arbitration Under the DSU80

A.Arbitration under Article 2580

B.Arbitration under Article 21.3（c）82

Ⅳ.Conclusion85

Chapter 8 F.ROESSLER SPECIAL AND DIFFERENTIAL TREATMENT OF DEVELOPING COUNTRIES UNDER THE WTO DISPUTE SETTLEMENT SYSTEM87

Chapter 9 E.-U.PETERSMANN ADDITIONAL NEGOTIATION PROPOSALS ON IMPROVEMENTS AND CLARIFICATIONS OF THE DSU91

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 DSU105

Ⅰ. Introduction105

Ⅱ.Relationship Between （Quasi-） Judicial and Political Decision Making106

Ⅲ.Developing and Least-Developed Countries108

Ⅳ.Other Issues108

A.Appellate Body109

B.Panels110

C.Amicus Curiae Briefs and Transparency110

D.Third Party Rights111

E.Confidential Business Information111

F.Efficiency111

G.Time Frames111

H.Remedies112

V.Conclusion113

Chapter 12 E.KESSIE THE “EARLY HARVEST NEGOTIATIONS” IN 2003115

Ⅰ.Introduction115

Ⅱ.Past Attempts to Reform the DSU117

A.Attempts Between 1998 and 2001117

B.The Scope of the Doha Mandate118

Ⅲ.Review of the Chairman’s Text of 28 May 2003121

A.Evolution of the Work of the Special Session of the DSB121

B.Review of the Chaiman’s Text123

Ⅳ.Conclusion139

A.System of Permanent Panellists140

B.Remedies142

C.Other Proposals148

PART ⅡWTO Jurisprudence and Dispute Settlement Practice153

Chapter 13P.C.MAVROIDIS DEVELOPMENT OF WTO DISPUTE SETTLEMENT PROCEDURES THROUGH CASE-LAW153

Ⅰ. The DSU is an Incomplete Contract When it Comes to Setting Out the Procedures which WTO Adjudicating Bodies Will Have to Follow153

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

Ⅲ.Facing the Challenges of Practice159

A.Parallelism Between Consultations and Panel Proceedings159

B.A Lawful Request For Establishment of a Panel Is160

C.Burden of Proof160

D.Treatment of Confidential Evidence172

Ⅳ.Brief Concluding Remarks176

Chapter 14 F.WEISS INHERENT POWERS OF NATIONAL AND INTERNATIONAL COURTS177

Ⅰ. Introduction177

Ⅱ.A Brief Overview of Inherent Powers178

Ⅲ.The Use of Inherent Powers by the Appellate Body179

A.The Appellate Body’s Working Procedures179

B.Relevant AB Practice179

Ⅳ.Inherent Powers： Lessons from International Adjudicatory Bodies182

A.The Concept of Inherent Powers182

B.Revision of Awards185

C.Interim Measures186

D.Proprio Motu187

Ⅴ.Conclusion： Inherent Powers of the AB？189

Chapter 15 W.J.DAVEY WTO DISPUTE SETTLEMENT PRACTICE RELATING TO GATT 1994191

Ⅰ.GATT Article Ⅰ - The Most-Favoured-Nation Obligation192

Ⅱ.GATT Article Ⅲ - The National Treatment Obligation193

A.Discriminatory Taxation193

B.Discriminatory Regulation of Like Products197

Ⅲ.GATT Article ⅩⅠ - The Ban on Quantitative Restrictions200

Ⅳ.GATT Article ⅩⅩ - The General Exceptions201

A.Health Measures201

B.Enforcement Measures203

C.Conservation Measures204

D.The Chapeau206

Ⅴ.Other GATT Articles208

A.Article Ⅱ208

B.Article Ⅷ210

C.Article Ⅹ210

D.Article ⅩⅢ212

E.Article ⅩⅧ：B213

F.Article ⅩⅩⅢ：1 （b）213

G.Article ⅩⅩⅣ214

H.Article ⅩⅩⅧ215

Ⅵ.Conclusion215

Chapter16 F.ORTINO WTO JURISPRUDENCE ON DE JURE AND DE FACTO DISCRIMINATION217

Ⅰ.Introduction217

Ⅱ.The National Treatment Principle and the Prohibition of Formal or De Jure Discrimination218

A.Article Ⅲ：2 GATT and Fiscal Measures219

B.Article Ⅲ：4 GATT and Non-frscal Regulation222

Ⅲ.The National Treatament Principle and the Prohibition of Material or De Facto Discrimination231

A.Article Ⅲ：2 GATT and Fiscal Measures232

B.Article Ⅲ：4 GATT and Non-fiscal Regulation249

Ⅳ.Brief Conclusion262

Chapter 17 L.BARTELS WTO DISPUTE SETTLEMENT PRACTICE ON ARTICLE ⅩⅩⅣ OF THE GATT263

Ⅰ. Introduction263

Ⅱ.Scope of ArticleⅩⅩⅣ264

Ⅲ.Article ⅩⅩⅣ and Other WTO Rules265

Ⅳ.The Article ⅩⅩⅣ ‘Defence’266

A.Scope of the Article ⅩⅩⅣ ‘Defence’267

B.Justiciability of Regional Trade Agreements267

C.Timing of the Measure268

D.Necessity of the Measure269

Ⅴ. Burden of Proof271

Ⅵ.Conclusions272

Chapter 18 G.MARCEAU and J.P.TRACHTMAN GATT， TBT AND SPS： A MAP OF WTO LAW OF DOMESTIC REGULATION OF GOODS275

Ⅰ. Introduction275

Ⅱ.How the SPS and TBT Agreements Came to Exist277

Ⅲ.Comparing the Disciplines of the SPS Agreement， the TBT Agreement and the GATT280

A.Non-Discrimination： National Treatment and Most-Favoured-Nation280

B.Necessity and Proportionality Tests288

C.Appropriate Level/Scientific Basis297

D.Harmonization； Conformity with International Standards300

E.（Mutual） Recognition and Equivalence307

F.Internal Consistency308

G.Permission for Precautionary Action312

H.Balancing314

I.Product/Process Issues and the Territorial-Extraterritorial Divide319

J.Conclusion325

Ⅳ.Invoking the Disciplines of SPS， TBT and the GATT326

A.Conditions of Application： Applicable Law326

B.Cumulative Application and the Interpretative Principle of Effectiveness328

C.General Application of the Agreements333

D.Application to Specific Types of Overlap339

Ⅴ. Conclusion340

Chapter 19 E.OPUKU AWUKU WTO DISPUTE SETTLEMENT PRACTICE AND TRADE-RELATED ENVIRONMENTAL MEASURES341

Ⅰ. GATT Dispute Settlement Practice On Trade-Related Environmental Measures343

Ⅱ.WTO Dispute Settlement Practice On Trade-Related Environmental Measures345

Ⅲ.Brief Conclusions351

Chapter 20 P.A.CLARKE， J.BOURGEOIS and G.N.HORLICK WTO DISPUTE SETTLEMENT PRACTICE RELATING TO SUBSIDIES AND COUNTERVAILING MEASURES353

Ⅰ. Introduction353

Ⅱ.The Agreement on Subsidies and Countervailing Measures353

A.Part Ⅰ - General Provisions354

B.Part Ⅲ - Actionable Subsidies365

C.Part Ⅴ - Countervailing Measures369

D.Part Ⅵ - Institutions373

E.Part Ⅶ - Notification and Surveillance373

F.Part Ⅷ - Developing Country Members374

G.Part Ⅹ - Dispute Settlement374

H.Part ⅩⅠ - Final Provisions375

Ⅲ.Conclusion377

Chapter 21 W.ZDOUC WTO DISPUTE SETTLEMENT PRACTICE RELATING TO THE GENERAL AGREEMENT ON TRADE IN SERVICES381

Ⅰ. Introduction381

Ⅱ.The Most-Favoured-Nation Treatment Clauses of GATT and GATS382

Ⅲ.The National Treatment Clauses of GATS and GATT383

Ⅳ.Measures Affecting Trade in Services386

A.The Notion of Measures within the Scope and Coverage of GATS387

B.The Notion of Measures Affecting Trade in Services389

Ⅴ. The “Likeness” Problem394

A.The “Likeness” of Service Transactions395

B.The “Likeness” of Service Suppliers397

C.The “Likeness” of Services and Service Suppliers across Modes of Supply401

Ⅵ.No Less Favourable Treatment403

A.De Facto Discrimination under the GATS National Treatment Clause406

B.Limits of De Facto Discrimination under the GATS National Treatment Clause410

C.De Facto Discrimination under the GATS MFN Treatment Clause413

Ⅶ.Conclusions on the MFN and National Treatment Principles Applied to Services416

Chapter 22 F.M.ABBOTT WTO DISPUTE SETTLEMENT PRACTICE RELATING TO THE AGREEMENT ON TRADE-RELATED INTELLECTUAL PROPERTY RIGHTS421

Ⅰ.Introduction421

Ⅱ.Decided Cases422

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 Legislation440

Ⅲ.Process Matters441

A.WIPO Reports441

B.Burden of Proof442

Ⅳ.The Doha Declaration and Its Jurisprudential Implications444

Ⅴ.Non-Violation Nullification or Impairment in TRIPS449

Ⅵ.General Observations and Conclusion453

Chapter 23M.MATSUSHITA APPELLATE BODY JURISPRUDENCE ON THE GATS AND TRIPS AGREEMENTS455

Ⅰ.Introduction455

Ⅱ.Appeal Cases under the GATS455

A.Canada - Periodicals456

B.EC -Bananas457

C.Canada - Automotive Industry459

D.Analysis460

E.A Recent Telecom Dispute Between the United States and Mexico463

Ⅲ.Appeal Cases under the TRIPS465

A.Canada - Patent465

B.India - Patent466

C.United States - Section 211 Omnibus Appropriation Act of-1998467

D.Analysis470

Chapter 24 A.H.QURESHI PARTICIPATION OF DEVELOPING COUNTRIES IN THE WTO DISPUTE SETTLEMENT SYSTEM475

Ⅰ.Introduction475

Ⅱ.Brief Statistical Account476

Ⅲ.The Criteria for Measuring Participation by Developing Countries480

Ⅳ.The “Developing Condition” of a Member in the Dispute Settlement Practice482

Ⅴ.Problems and Reform493

A.Reforms495

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 System500

Ⅱ.The Composition of the Appellate Body501

Ⅲ.The Working Procedures503

A.Procedure for Adoption503

B.Divisions of Three Appellate Body Members and the Duration of the Appeal Procedure504

C.Exchange of Views505

D.Selection of Members Constituting a Division506

E.Overall Evaluation507

Ⅳ.Method of Interpretation508

Ⅴ.The Early Clarification of Procedural Issues511

A.Burden of Proof511

B.Standard of Review512

C.Distinction Between Issues of Law and Issues of Facts513

D.Special Problem of the Determination of the Meaning of Municipal Law515

E.Fact Finding by Panels and the Corresponding Duties of WTO Members515

Ⅵ.The Panel Structure519

Ⅶ.Issues of Substantive Law520

A.General Considerations520

B.Difficulties Arising from Structural Differences between WTO and EC Law520

C.Cumulating of Substantive Obligations in WTO Law521

D.More Stringent WTO Law than EC Law Obligations522

Ⅷ.The Tensions between the Strong （Quasi-） Judicial and the Weak Political Structures523

A.General Considerations523

B.Unsatisfactory Functioning of Political Filters524

C.Blockage of the Process of Interpretations and Amendments525

D.Urgency of Improving Political Decision-Making526

E.Dangers of Attributing Direct Effect of WTO Law527

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

Ⅸ.Conclusions529

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

Executive Summary531

Abbreviations533

Ⅰ. Overview of the State of WTO Dispute Settlement534

A.State of Annual Complaints534

B.State of Complaints by Country536

C.Joint Complaints536

D.State of Responses by Country536

E.Trends in the Complaints and Responses537

Ⅱ.Ways of Dispute Settlement538

A.Settlement of Disputes by the Adoption of PR/ABR538

B.Settlement of Disputes by other Ways Including Bilateral Settlement539

Ⅲ.State of Use of the WTO Dispute Settlement System540

A.Consultation Process540

B.Panel Process540

C.Appellate Process541

Ⅳ.Participation as a Third Party542

A.Participating in Consultations542

B.Participating in Panel Procedures543

C.Participating in Appeal Procedures543

Ⅴ. Overview of the WTO Agreements Invoked in Disputes544

A.The WTO Agreements Invoked in Disputes544

B.Provisions of the GATT 1994 Invoked in Disputes544

C.State of Disputes By the GATS545

D.State of Disputes By the TRIPs546

Ⅵ.Time Taken in the Process of Dispute Settlement546

A.From the Request for Consultation to the Adoption of PR/ABR546

B.From the Establishment of a Panel to the Circulation of the PR547

C.From the Establishment of a Panel to the Adoption of PR/ABR547

D.From the Establishment of a Panel to the Decision on the Reasonable Period of Time for Implementation547

E. Total Amount of Time Taken for the Settlement of Disputes549

Ⅶ. State of Implementation of the Rulings of the DSB550

A. Disputes Concerning the Implementation of the Rulings of the DSB550

B. Disputes Concerning the Level of Retaliation552

C. Authorization for Retaliatory Measures553

Annex Ⅰ： Chronological Lists of WTO Dispute Settlement Invocations and Reports555

Annex Ⅱ： Report by the Chairman of the Special Sessions of the DSB to the TNC of 6 June 2003579

Index599