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Разрешение споров в рамках ВТО (англ.)

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Разрешение споров в рамках ВТО (англ.)

  1. 1. WTO Dispute Resolution Prof. Dr. Peter L.H. Van den Bossche Member of the WTO Appellate Body RTLC Workshop Astana, Kazakhstan, 3 September 2011 RTLC Workshop WTO Dispute Resolution
  2. 2. Workshop Programme <ul><li>Facts and figures on WTO dispute settlement </li></ul><ul><li>Principles of WTO dispute settlement </li></ul><ul><li>Institutions and process of WTO dispute settlement </li></ul><ul><li>Past performance of and future challenges for the WTO dispute settlement system </li></ul><ul><li>Questions and answers </li></ul>RTLC Workshop WTO Dispute Resolution
  3. 3. Facts and Figures <ul><li>Number of disputes </li></ul><ul><li>Nature of disputes </li></ul><ul><li>Complainants </li></ul><ul><li>Respondents </li></ul><ul><li>Agreements at issue </li></ul><ul><li>Output </li></ul><ul><li>Results </li></ul>RTLC Workshop WTO Dispute Resolution
  4. 4. Number of Disputes RTLC Workshop WTO Dispute Resolution
  5. 5. Nature of Disputes <ul><li>Disputes on technical trade issues of ‘little interest’ to the general public </li></ul><ul><ul><ul><li>EC – Computer Equipment </li></ul></ul></ul><ul><ul><ul><li>EC – Bed Linen and US – Stainless Steel </li></ul></ul></ul><ul><li>Disputes on politically sensitive issues generating much public attention </li></ul><ul><ul><ul><li>US – Shrimp and Brazil – Retreaded Tyres </li></ul></ul></ul><ul><ul><ul><li>EC – Hormones; EC – Asbestos and US/Canada – Continued Suspension </li></ul></ul></ul><ul><ul><ul><li>US – Gambling </li></ul></ul></ul><ul><ul><ul><li>EC – Bananas and EC – Tariff Preferences </li></ul></ul></ul><ul><ul><ul><li>EC – Airbus and US - Boeing </li></ul></ul></ul>RTLC Workshop WTO Dispute Resolution
  6. 6. Complainants (1) RTLC Workshop WTO Dispute Resolution
  7. 7. Complainants (2) RTLC Workshop WTO Dispute Resolution
  8. 8. Respondents RTLC Workshop WTO Dispute Resolution
  9. 9. Agreements at Issue RTLC Workshop WTO Dispute Resolution
  10. 10. Output <ul><li>Amicable resolution of disputes </li></ul><ul><ul><li>Mutually agreed solution reached or complaint withdrawn: 20.5% </li></ul></ul><ul><li>Reports </li></ul><ul><ul><li>Panel: 174 (-5) </li></ul></ul><ul><ul><li>Appellate Body: 101 (-1) </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  11. 11. Results <ul><li>Findings of WTO inconsistency </li></ul><ul><li>Compliance with rulings and recommendations </li></ul>RTLC Workshop WTO Dispute Resolution
  12. 12. Findings of Inconsistency RTLC Workshop WTO Dispute Resolution
  13. 13. Compliance RTLC Workshop WTO Dispute Resolution
  14. 14. Principles of WTO Dispute Settlement <ul><li>Core features </li></ul><ul><li>Object and purpose </li></ul><ul><li>Methods of dispute settlement </li></ul><ul><li>Jurisdiction and Access </li></ul><ul><li>Rules of interpretation </li></ul><ul><li>Remedies </li></ul><ul><li>Developing country Members </li></ul>RTLC Workshop WTO Dispute Resolution
  15. 15. Core Features <ul><li>Rules-based dispute settlement </li></ul><ul><ul><li>… as opposed to power-based settlement </li></ul></ul><ul><li>Multilateral dispute settlement </li></ul><ul><ul><li>… as opposed to unilateral dispute ‘settlement’ </li></ul></ul><ul><li>Judicial dispute settlement </li></ul><ul><ul><li>… as opposed to diplomatic dispute settlement </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  16. 16. Basic Legal Texts <ul><li>Dispute Settlement Understanding (DSU) </li></ul><ul><ul><li>http://www.wto.org/english/tratop_e/dispu_e/dsu_e.htm </li></ul></ul><ul><li>Art. XXII and XXIII GATT 1994 and … </li></ul><ul><ul><li>http://www.wto.org/english/res_e/booksp_e/analytic_index_e/gatt1994_01_e.htm#general </li></ul></ul><ul><li>Rules of Conduct </li></ul><ul><ul><li>WT/DSB/RC/1 </li></ul></ul><ul><ul><li>http://www.wto.org/english/tratop_e/dispu_e/rc_e.htm </li></ul></ul><ul><li>Working Procedures for Appellate Review </li></ul><ul><ul><li>WT/AB/WP/6 </li></ul></ul><ul><ul><li>http://www.wto.org/english/tratop_e/dispu_e/ab_e.htm </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  17. 17. Object and Purpose <ul><li>Secure positive solution to a dispute </li></ul><ul><li>Preference for mutually agreed solutions </li></ul><ul><li>Provide security & predictability to MTS </li></ul><ul><li>Preservation & clarification </li></ul><ul><li>Gap filling and rule-making? </li></ul><ul><li>Not add to or diminish rights and obligations </li></ul>RTLC Workshop WTO Dispute Resolution
  18. 18. Methods of Dispute Settlement <ul><li>Consultations </li></ul><ul><ul><li>Art. 4 DSU </li></ul></ul><ul><li>Good offices, conciliation and mediation </li></ul><ul><ul><li>Art. 5 DSU </li></ul></ul><ul><li>Adjudication </li></ul><ul><ul><li>Art. 6-22 DSU </li></ul></ul><ul><li>Arbitration </li></ul><ul><ul><li>Art. 25 and 21-22 DSU </li></ul></ul><ul><ul><li>Art. 21.3(c) and Art. 22.6 DSU </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  19. 19. Jurisdiction <ul><li>Scope of the jurisdiction </li></ul><ul><ul><li>Covered agreements </li></ul></ul><ul><ul><li>Non-WTO agreements? </li></ul></ul><ul><li>Nature of the jurisdiction </li></ul><ul><ul><li>Compulsory </li></ul></ul><ul><ul><li>Exclusive </li></ul></ul><ul><ul><li>Contentious </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  20. 20. Access <ul><li>Who has access? </li></ul><ul><ul><li>Members </li></ul></ul><ul><ul><li>Non-Members, IOs, NGOs, companies? </li></ul></ul><ul><ul><li>Indirect access? </li></ul></ul><ul><li>When do Members have access? </li></ul><ul><ul><li>Nullification or impairment of benefits </li></ul></ul><ul><ul><li>Violation complaints & non-violation complaints </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  21. 21. Rules of Interpretation <ul><li>Article 3.2 DSU </li></ul><ul><ul><li>Customary rules of interpretation of public international law </li></ul></ul><ul><li>Article 31 of the Vienna Convention </li></ul><ul><ul><li>Ordinary meaning of the terms … </li></ul></ul><ul><ul><li>… in their context … </li></ul></ul><ul><ul><li>… in light of the object and purpose of the treaty </li></ul></ul><ul><li>Article 32 of the Vienna Convention </li></ul><ul><ul><li>Supplementary means </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  22. 22. Remedies <ul><li>Final remedy </li></ul><ul><ul><li>Withdrawal of the measure </li></ul></ul><ul><ul><li>Immediately </li></ul></ul><ul><ul><li>Within a reasonable period of time (RPoT) </li></ul></ul><ul><li>Temporary remedies </li></ul><ul><ul><li>Compensation for damages after RPoT </li></ul></ul><ul><ul><li>Suspension of concessions/retaliation </li></ul></ul><ul><li>Other remedies? </li></ul><ul><ul><li>Compensation for damages caused before end of RPoT? </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  23. 23. Developing Country Members <ul><li>Special and differential treatment </li></ul><ul><ul><li>Art. 3.12, 4.10, 8.10, 12.10, 12.11 and 24 DSU </li></ul></ul><ul><li>Legal Assistance </li></ul><ul><ul><li>WTO Secretariat (Art. 27 DSU) </li></ul></ul><ul><ul><li>Advisory Centre on WTO Law ( http://www.acwl.ch/e/index.html) </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  24. 24. Institutions and Process <ul><li>Institutions </li></ul><ul><ul><li>Dispute Settlement Body </li></ul></ul><ul><ul><li>Panels </li></ul></ul><ul><ul><li>Appellate Body </li></ul></ul><ul><ul><li>WTO and Appellate Body Secretariats </li></ul></ul><ul><li>Process </li></ul><ul><ul><li>Consultations </li></ul></ul><ul><ul><li>Panel process </li></ul></ul><ul><ul><li>Appellate review </li></ul></ul><ul><ul><li>Implementation and enforcement </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  25. 25. Institutions and Process <ul><li>Three remarkable features </li></ul><ul><ul><li>Involvement of a political body </li></ul></ul><ul><ul><li>Confidentiality of the process </li></ul></ul><ul><ul><li>Timeframe for the process </li></ul></ul><ul><li>General rules of conduct </li></ul><ul><ul><li>Independence and impartiality </li></ul></ul><ul><ul><li>Avoidance of conflicts of interest </li></ul></ul><ul><ul><li>Obligation to respect confidentiality </li></ul></ul><ul><ul><li>Prohibition on ex parte communications </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  26. 26. Consultations <ul><li>Object and purpose </li></ul><ul><li>Consultation procedure </li></ul><ul><ul><li>Request for consultations </li></ul></ul><ul><ul><li>Consultation process </li></ul></ul><ul><li>‘ Ongoing’ consultations: 137 </li></ul><ul><li>Outcome of consultations </li></ul><ul><ul><li>Mutually agreed solution </li></ul></ul><ul><ul><li>Resort to panel </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  27. 27. Panel Process <ul><li>Establishment of a panel </li></ul><ul><li>Composition of a panel </li></ul><ul><li>Mandate of a panel </li></ul><ul><li>Features of the panel process </li></ul>RTLC Workshop WTO Dispute Resolution
  28. 28. Establishment of a Panel <ul><li>Request for the establishment of a panel </li></ul><ul><ul><li>Requirements </li></ul></ul><ul><ul><li>Importance </li></ul></ul><ul><li>Decision by the DSB </li></ul><ul><ul><li>First meeting  Consensus </li></ul></ul><ul><ul><li>Second meeting  Reverse consensus </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  29. 29. Composition of a Panel <ul><li>Panel composition process </li></ul><ul><ul><li>Proposal by the WTO Secretariat </li></ul></ul><ul><ul><li>Agreement among the parties </li></ul></ul><ul><ul><li>Appointment by the Director-General </li></ul></ul><ul><li>Number of panelists </li></ul><ul><li>Required qualifications for panelists </li></ul><ul><ul><li>Qualification and background </li></ul></ul><ul><ul><li>Nationality </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  30. 30. Mandate of a Panel <ul><li>Terms of reference </li></ul><ul><ul><li>Measures and claims set out in panel request </li></ul></ul><ul><ul><li>Judicial economy </li></ul></ul><ul><li>Standard of review </li></ul><ul><ul><li>Objective assessment of the matter </li></ul></ul><ul><ul><li>Art. 11 DSU </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  31. 31. Features of the Panel Process <ul><li>Working procedures </li></ul><ul><ul><li>Art. 12 DSU and Appendix 3 DSU </li></ul></ul><ul><ul><li>Ad hoc working procedures </li></ul></ul><ul><li>Access to panel process </li></ul><ul><ul><li>Third parties </li></ul></ul><ul><ul><li>Private legal counsel </li></ul></ul><ul><ul><li>Amicus curiae briefs </li></ul></ul><ul><li>Confidentiality </li></ul><ul><ul><li>Meetings of the the panel with the parties </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  32. 32. Features of the Panel Process <ul><ul><li>Submissions </li></ul></ul><ul><ul><li>BCI and HSBI </li></ul></ul><ul><li>Characteristics of a panel report </li></ul><ul><ul><li>Findings, conclusions and recommendations </li></ul></ul><ul><ul><li>Suggestions </li></ul></ul><ul><ul><li>Separate opinions </li></ul></ul><ul><li>Panel report is adopted or appealed </li></ul><ul><ul><li>Appeal before adoption </li></ul></ul><ul><ul><li>Adoption by the DSB by reverse consensus </li></ul></ul>
  33. 33. Panel Reports 1995-2011 RTLC Workshop WTO Dispute Resolution
  34. 34. Panel Reports Appealed RTLC Workshop WTO Dispute Resolution
  35. 35. Appeal Rate RTLC Workshop WTO Dispute Resolution
  36. 36. Appellate Review <ul><li>Appellate Body </li></ul><ul><li>Features of appellate review </li></ul>RTLC Workshop WTO Dispute Resolution
  37. 37. Appellate Body <ul><li>Establishment and composition </li></ul><ul><ul><li>Permanent appeals tribunal </li></ul></ul><ul><ul><li>Seven ‘Members’ </li></ul></ul><ul><ul><li>Divisions of the Appellate Body </li></ul></ul><ul><li>Appointment </li></ul><ul><ul><li>Consensus decision of DSB </li></ul></ul><ul><ul><li>4 years, once renewable </li></ul></ul><ul><li>Requirements </li></ul><ul><ul><li>Qualifications and nationality </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  38. 38. Current Composition <ul><li>Ms. Lilia Bautista (Philippines) </li></ul><ul><li>Ms. Jennifer Hillman (United States) (Chair) </li></ul><ul><li>Mr. Shotaro Oshima (Japan) </li></ul><ul><li>Mr. Ricardo Ramirez (Mexico) </li></ul><ul><li>Mr. David Unterhalter (South Africa) </li></ul><ul><li>Mr. Peter Van den Bossche (European Union) </li></ul><ul><li>Ms. Yuejiao Zhang (China) </li></ul>RTLC Workshop WTO Dispute Resolution
  39. 40. Features of Appellate Review <ul><li>Access to appellate review </li></ul><ul><li>Scope of appellate review </li></ul><ul><li>Mandate of the Appellate Body </li></ul><ul><li>Appellate review proceedings </li></ul>RTLC Workshop WTO Dispute Resolution
  40. 41. Access to Appellate Review <ul><li>Only parties can appeal </li></ul><ul><ul><li>Parties – Participants </li></ul></ul><ul><ul><li>Appellant – Other Appellant - Appellee </li></ul></ul><ul><li>Involvement of third parties </li></ul><ul><ul><li>Third Parties as Third Participants </li></ul></ul><ul><ul><li>Other Members as Third Participants? </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  41. 42. Scope of Appellate Review <ul><li>Issues of law and legal interpretation </li></ul><ul><li>Not issues of fact </li></ul><ul><li>Useful guidelines: </li></ul><ul><ul><li>… whether or not a certain event did occur in time and space … ( EC – Hormones ) </li></ul></ul><ul><ul><li>… consistency or inconsistency of a given fact or set of facts with the requirements of a given treaty provision … (EC – Hormones ) </li></ul></ul><ul><li>Art. 11 DSU claims of error </li></ul>RTLC Workshop WTO Dispute Resolution
  42. 43. Mandate of the Appellate Body <ul><li>Article 17.13 DSU </li></ul><ul><ul><li>Uphold Legal Findings and Conclusions </li></ul></ul><ul><ul><li>Modify Legal Findings and Conclusions </li></ul></ul><ul><ul><li>Reverse Legal Findings and Conclusions </li></ul></ul><ul><li>No remand authority </li></ul><ul><li>Completing the legal analysis </li></ul>RTLC Workshop WTO Dispute Resolution
  43. 44. Appellate Review Proceedings <ul><li>Working procedures </li></ul><ul><li>Confidentiality and overall time frame </li></ul><ul><li>Steps </li></ul><ul><ul><li>Initiations </li></ul></ul><ul><ul><li>Written submissions and oral hearing </li></ul></ul><ul><ul><li>Exchange of views, deliberations and decision </li></ul></ul><ul><li>Adoption of AB report (and panel report) </li></ul><ul><ul><li>By the DSB by reverse consensus </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  44. 45. Timetable for Appeals <ul><li>Actions Days </li></ul><ul><li>Notice of Appeal 0 </li></ul><ul><li>Appellant’s Submission 0 </li></ul><ul><li>Notice of Other Appeal 7 </li></ul><ul><li>Other Appellant’s Submission 7 </li></ul><ul><li>Appellee’s Submission 18 </li></ul><ul><li>Third Participant’s Submission 21 </li></ul><ul><li>Third Participant’s Notification 21 </li></ul><ul><li>Oral Hearing 30-45 </li></ul><ul><li>Circulation Report 60-90 </li></ul><ul><li>DSB Adoption 90-120 </li></ul>RTLC Workshop WTO Dispute Resolution
  45. 46. Appellate Body Reports RTLC Workshop WTO Dispute Resolution
  46. 47. Result of Appellate Review RTLC Workshop WTO Dispute Resolution
  47. 48. Implementation and Enforcement <ul><li>Implementation </li></ul><ul><li>Disputes on implementation </li></ul><ul><li>Compensation </li></ul><ul><li>Suspension of concessions </li></ul>RTLC Workshop WTO Dispute Resolution
  48. 49. Implementation <ul><li>Prompt implementation </li></ul><ul><li>Reasonable period of time for implementation </li></ul><ul><ul><li>Agreed between the parties (av. 9,2 months) </li></ul></ul><ul><ul><li>Article 21.3(c) arbitration (av. 11,5 months) </li></ul></ul><ul><li>Factors determining the reasonable period of time </li></ul><ul><li>Surveillance of implementation </li></ul><ul><ul><li>DSB surveillance and status reports </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  49. 50. Disputes on Implementation <ul><li>Recourse to Article 21.5 DSU </li></ul><ul><ul><li>When? </li></ul></ul><ul><ul><li>Why? </li></ul></ul><ul><ul><li>How? </li></ul></ul><ul><ul><li>In 41 disputes to date </li></ul></ul><ul><li>Scope of proceedings under Article 21.5 DSU </li></ul><ul><ul><li>Implementation measure </li></ul></ul><ul><ul><li>WTO consistency </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  50. 51. Compensation <ul><li>When and why? </li></ul><ul><li>What? </li></ul><ul><ul><li>Temporary remedy </li></ul></ul><ul><ul><li>Voluntary remedy </li></ul></ul><ul><ul><li>Non-discriminatory remedy </li></ul></ul><ul><li>Practice of compensation </li></ul>RTLC Workshop WTO Dispute Resolution
  51. 52. Suspension of Concessions <ul><li>When and why? </li></ul><ul><li>What? </li></ul><ul><ul><li>Extraordinary remedy </li></ul></ul><ul><ul><li>Temporary remedy </li></ul></ul><ul><ul><li>Discriminatory remedy </li></ul></ul><ul><li>Rules governing suspension </li></ul><ul><ul><li>Sector/cross-sector retaliation </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  52. 53. Suspension of Concessions <ul><ul><li>Equivalence </li></ul></ul><ul><li>Procedure for suspension </li></ul><ul><ul><li>Art. 22.6 arbitration on requested suspension </li></ul></ul><ul><ul><li>DSB authorisation of suspension by reverse consensus </li></ul></ul>
  53. 54. Practice of Suspension <ul><li>Numbers </li></ul><ul><ul><li>Requests for suspension pending in 6 ongoing disputes </li></ul></ul><ul><ul><li>Authorization for suspension granted in 4 ongoing disputes </li></ul></ul><ul><li>Examples of past and ongoing disputes in which suspension was authorized/applied </li></ul><ul><ul><li>EC – Bananas III; EC – Hormones; US – FSC </li></ul></ul><ul><ul><li>US – Byrd Amendment; US – Upland Cotton </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  54. 55. Conclusions <ul><li>Evaluation of past performance </li></ul><ul><ul><li>Frequent use by developed and developing country Members </li></ul></ul><ul><ul><li>Resolution of disputes </li></ul></ul><ul><ul><li>Contribution to the development of WTO law and the WTO dispute settlement system </li></ul></ul><ul><ul><li>Critical assessment (by some) of case law on trade remedies </li></ul></ul>RTLC Workshop WTO Dispute Resolution
  55. 56. Conclusions <ul><ul><li>Critical assessment (by others) of case law on systemic and procedural aspects of WTO dispute settlement </li></ul></ul><ul><li>Future challenges </li></ul><ul><ul><li>How to avoid ‘gap filling’? </li></ul></ul><ul><ul><li>How to avoid ‘overload’? </li></ul></ul><ul><ul><li>How to fix the WTO’s ‘institutional imbalance’? </li></ul></ul><ul><li>Ongoing DSU reform negotiations </li></ul>RTLC Workshop WTO Dispute Resolution

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