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TheWTODisputeSettlementSystemroposalsforReform(Ⅱ)
Author:WuGe
III.ProposalsonDisputeSettlementProcedure
1.Consultation
Consultationisthoughtasaformofnegotiationinsettlingdisputes.ProposalsastoconsultationsubmittedbytheWTOMembersfocusondiscussingthefunctionoftheconsultationasmutuallysatisfactorysolutionandfact-findingbetweenpartiestothedispute.Butthereisweaknesswhichisreferredtoaffectthefunctionofconsultationduringthenegotiation.
UndertheDSU,theWTOMemberspreferanegotiated“solutionmutuallyacceptabletothepartiestoadisputeandconsistentwiththecoveredagreement”.Themutuallyacceptablesolutionmaybeobtainedfromconsultationsor“furtheraction”includingpanelproceedingandAppellateBodyproceeding.Duringtheconsultationprocedure,theeffectivenessoftheseconsultationsdependssolelyontheparties’willingness“toengageintheseproceduresingoodfaithinanefforttoresolvethedispute”asrequiredbythegeneralprovisionssectionoftheDSU.WTOMembersexpresslyaffirmedtheirresolvetostrengthenandimprovetheeffectivenessoftheconsultationproceduresintheDSU.ButtheDSUdoesnotprovideenoughprovisionstoguaranteetheeffectiveness.ItiseasyforanyMembertoabusetheflexibilityinherentinthedisputesettlementmechanismtoavoidordelayrealconsultationorfurtheraction.UndertheDSU,therearenoexpressobligationsonthecomplainantinthisaspect.Itisenoughforthecomplainingpartyonlytosubmitarequestforconsultationsandpossiblyholdaninitialmeeting.Theonlyremainingrequirementtorequesttheestablishmentofapanelistowaittheresponseofthedefendantpartyandtheexpiryoftheregulatedperiodaftersubmittingtherequestforconsultations.Suchregulationseasilyreducetheconsultationphasetoamereformality,whichisreallyahurdleinthewayofpanelproceedingwhenapartywantstoenterthepanelproceedingquickly.
TheconsultationssectioninArticle4oftheDSUjustsetsforththetermsandsimpleproceduresofconsultations.TheobligationsontheMembersinthesectionarevagueandrelyheavilyongoodfaith.Anypartytothedisputemayeasilyusetheconsultationphaseasamereformalitytoavoidatreatyobligation,suchas“goodfaith”principleandbesteffortsobligation.Soconsiderablediscretionislefttotheparties.Theadjustmentproposedinanumberofsubmissionstriestomakeuptheweaknesstomakeitpossibletoreviewtheconsultationsbythepanel.Increasingtheobligationsandthuslimitingtheflexibilityinconsultationstagearemainmethodsmentionedinlotsofproposals.
Holdingatleasttwomeetingsandrequirementofwrittenevidencearecommonrecommendationsinproposals.Article4.4oftheDSUrequiresthattherequestisinwritingandgivesreasonsincludingidentificationofthelegalbasisofthecomplaint.Anindicationofthelegalbasiswouldnolongersuffice.Thecomplainant’scaseshouldbestatedadequatelyandunambiguously.TheEuropeanCommunitiesgoevenfurtherbyproposingthatanylegalclaimintherequestfortheestablishmentofapanelshouldbeincludedintheconsultations,orroseduringtheconsultations,confirmedinwriting,andfollowedbynewconsultationsunlessthedefendingpartyagreesotherwise.Theseproposalssetthetrendfortheformalizationoftheprocedurewherebytheeffortsofthepartieshavetobeevidencedinwriting.
Additionalproposalssuggestthatsomewrittendocuments,suchaswrittenquestionsandanswers,andtheintroductionofagreedwrittenrecordsoftheconsultations,shouldbeused.Thesedocumentsshouldgiveasubsequentpanelthepossibilityofinvestigatinginapreliminaryphasewhethertherehasbeenanattempttoobtainasatisfactorilyacceptableresolutionofthedisputeingoodfaith.Thefollowingsanctionsareproposedifaparty’swrittensubmissionsarefoundlacking:extraconsultationsforclaimsthathavenotbeenthesubjectofpreviousconsultations;ifapartyrefusestoreplytoawrittenquestion,theotherpartycouldbegivendirectaccesstoapanel;ifananswerisfoundtobeinadequate,thepanelcanrequestfurtherinformation.Allthesemeasuresareaimedatstrengtheningtheroleoftheconsultationsandforcingthepartiestogothroughtheconsultativephase.ButonepointneedstobepointedoutthatmostoftheWTOMembersstillremaintheopinionthattheconsultationprocessshouldkeepasinformalaspossibleeventheyagreethattheconsultativeprocessshouldbemoreregulated.
Inrelationtofact-finding,someproposalsregardeditasthesecondfunctionofDSUconsultationbesidesthefirstfunction,mutuallysatisfactorysolution.Undertheprincipleofgoodfaith,consultationswillresultinaclarificationofthelegalclaimsinvolvedinadisputeandthefactsrelatingtothoseclaims.Theclaimsthataremadeandthefactsthatareestablishedduringconsultationsareveryimportantinshapingthesubstanceandthescopeofthecaseduringthesubsequentpanelproceeding.Strengtheningtheroleoffact-findingintheconsultationphasemightcontributetoincreasetheeffectivenessoftheconsultationphase.
2.Panels
2.1Appointment
Thepresentmethodofcompositionofpanels,characterizedbyacase-by-caseselection,hascausedsomecriticisms.UndertheDSU,theSecretariatcanmakesuggestions,butitisthepartiesthathavetoagreeontheidentityofthepanellists.Theactualprocedureappearsveryclumsybecausetheparties’viewsdivergegreatlyastowhatmakesagoodpanellist.PartiesalwaysmakeinquiriestheSecretariataboutthepersonality,thequality,thenationality,andtheviewsofthecandidatesbeforetheymakeadecision.Inpractice,WTOMembersdistinguishtwotypesofpanellistsonthebaseoftheirbackground.Thefirsttypeofpanellistsaregovernmentofficials,whilethesecondtypearepractitionersoracademics.WTOMemberspreferoneortheotherindifferentsituation.Similarly,nationalityissueisanotherbighurdlefacedbythepartiestodecideapanellist.AccordingtoArticle8.3ofDSU,nationalsofpartiesorthirdpartiesshallnotserveonapanelconcernedwiththatdispute.Inaddition,DSUhasadoptedaveryextensiveinterpretationofthenationalityconcept.Wherecustomsunionsorcommonmarketsarepartiestoadispute,nationalsofallmembercountriesofthecustomsunionorcommonmarketsareexcludedfrombecomingpanellists.Thisextensivenationalityconceptcausesabigbarrierinselectingthemostqualifiedpanellistsbecauseitoftenleavesratherfewpossibilitiesforthepartiestoselectpanellistsfromaverylimitedlist,especiallyinmultipartycomplaints.Asaoftenresult,ifthepartiescannotagreeontheidentityofallthepanellistswithinthetimeframe,thentheDirector-Generalwillnominatethemembersofthepanel.Butthenominationstillmustbedoneaftertheconsultationwiththepartiestothedispute.Allthistakestimeandpreventsthepartiesfrompayingmoreattentiononthepreparationoftheircase.
TheEuropeanCommunity,whichalwaysmeetstheaforementionedissues,hasproposedastandingPanelBodytoresolvethepanelcompositionquestion.Initsproposal,afixedrosterofpanellistsandarotationmechanismaresuggestedtoexcludethepartiesfromdecidingthecompositionofapanel.Theideawouldpromotetoavoidthecurrentclumsytime-consumingprocessinthecompositionofapanelonacase-by-casebasis.AstandingpanelwouldenhanceconsistencyintheinterpretationoftherathercomplexWTOrules.Itwouldpermitcoordinationbetweenthevariousdivisionsofthestandingpanel,alongthelinesofthefunctionoftheAppellateBody.SomeotherWTOMembersbesidestheEuropeanCommunityintheirproposalsarealsoagreedwiththeidea.Buttherearealsoargumentsagainstastandingpanel.TheargumentsarethatastandingpanelcannotprovideabroadrepresentationoftheWTOmembership.Inaddition,thestandingpanellistscannotprovideenoughconfidenceandtrusttothepartiestothedispute.Thearguments,however,aretooweaktoopposetheestablishmentofastandingpanel.ThewellexistenceofthestandingAppellateBodyhasprovedthattheargumentsagainstthestandingpanelarehardlyconvincing.Especially,therotationmechanismofstandingpanellistscanmakeuptheweaknessoftherepresentationoftheWTOmembership.
ThemodelusedtoselectthefirstmembersoftheAppellateBodycanbereusedtoselectthemembersofthestandingpanel.OnthebaseofsomebroadcriteriaagreeduponbytheWTOmembership,ahigh-levelrepresentativeselectioncommitteeshouldreviewtheapplicationssubmittedbytheMembers,interviewcandidates,andmakerecommendations.
BeforethestandingPanelsuggestedisestablished,therearetwowayssuggestedtoavoidtheclumsytime-consumingselectionprocedureofpanellists.TheadhocchamberprocedureoftheInternationalCourtofJusticeisalwaysonealternativeinpractice.Thisprocedureallowsforacompositionofchambersthattakesintoaccounttheviewsoftheparties.Theirviewslargelydeterminethecompositionofthechamber.Theotheralternativeisthatpreferablecandidatesofpanellistsshouldbeselectedtoprovideabroadscopeofcandidatestotheparties.EventhoughtheexpertsonWTOlawandpolicyarerare,thiswayisratherpracticalatpresentwhentheDSBfacesanincreasingnumberofdisputes.
2.1Proceduraladjustments
ThelinkageofdisputedfactsandlegalclaimsthatsomeWTOMembersproposedwillformthebasisofthepanel’sdeliberations.Whenacomplainingpartyrequeststheestablishmentofapanel,therequestshallbemadeinwritingandshall“identifythespecificmeasuresatissue,andprovideabriefsummaryofthelegalbasisofthecomplaintssufficienttopresenttheproblemclearly.”TheAppellateBodyinsistsontheprincipleofminimumstandardinterpretation,soitissufficientforthecomplainingpartiestolisttheprovisionsofthespecificagreementsthatwereallegedlyviolated,withoutsettingoutdetailedargumentsastowhichspecificaspectsofthemeasuresatissuerelatetowhichspecificprovisionsofthoseagreements.ButtheDSUdoesnotimposeastricttimelimitonwhenevidencemustbesubmittedtoapanelandtheWorkingProceduresofAppendix3oftheDSUdonotprovidecompulsorydeadlineswithwhichapanelmustcomply.Sopartiesstillcanproduceandsubmitadditionalevidenceafterthefirsthearing.Newdisputedfactsandlegalclaimsmaybeaddedfromtheadditionalevidence.Inaddition,thelatersubmissionofadditionalevidencecanobviouslydeprivetheotherpartyofanopportunitytomakeaneffectiverebuttalifitisonlygivenashortperiodtorespondtothenewevidence,especiallycausedelaysofthedueprocess.
Tosafeguardaparty’sdueprocessrights,thepanelsshouldresolvetheproblemintheinitialmeetingtorequirethatallfactualevidenceshallbesubmittedbynolaterthanthedateofthefirstoralhearing,exceptwithrespecttorebuttalevidenceoranswerstoquestionsfrompanelorotherparties.BesidessomeWTOMembers’proposalsonsuchmatters,theAppellateBodyalsorepeatedlyrequeststhepanelbeabletodealwithsuchmattersasitsjurisdictionandfact-findingphaseinEC-Bananacase.
3.TheAppellateBody
TheestablishmentoftheAppellateBodytohearappealsprovidesadditional“legalcertaintyandpredictability”tothedisputesettlementsystem.Anappealis“limitedtoissuesoflawcoveredinthepanelreportandlegalinterpretationsdevelopedbythepanel.”Onlypartiestodispute,notthirdparties,mayappealapanelreport.TheAppellateBodyhastheauthorityto“uphold,modifyorreversethelegalfindingsandconclusionsofthepanel.”TheAppellateBodycomprisessevenpersonswhoarerecognizedexpertiseinlaw,internationaltradeandthesubjectofthecoveredagreementsandhavebroadrepresentationsofmembershipintheWTO.SotheAppellateBodyhasenoughabilitytoovercomeandresolveanyquestionsinrelationtoitsownprocedures.TheabilityiswitnessedintheAppellateBodyreportsinwhichlotsofinterestingissueshavebeendiscussed.Theinterestingissuesinclude:thestatusofpriorpanelreports;therightofamembertobringaclaimundertheGATT1994;thespecificityofarequestforestablishmentofapanel;thetermsofreferenceofpanels;judicialeconomy;burdenofproof;thescopeofapplicationoftheGATT1994andtheGATS;nullificationorimpairment;thescopeofappeal;andrepresentationofgovernmentsbyprivatelawyersinAppellateBodyproceeding.ButtherearestillotherproposalsfromtheWTOMembersforreformtostrengthentheAppellateBody.
TheEuropeanCommunityhasproposedtoincreasethenumberoftheAppellateBodyMemberstodealwiththerisingworkload.AndalsotheEuropeanCommunitysuggestedthatthetransparencyintheselectionofAppellateBodyDivisionsshouldbeincreased.Further,theEuropeanCommunityproposesthattheplenaryshouldbeinvolvedincases,whichtheAppellateBodyconsiderssufficientlyimportant.AndthedecisionoftheplenarycouldbemadebythePresidentoftheAppellateBodyorbyaDivision.ThePresidentortheDivisioncouldconsidertheimportanceofthecasepropriomotuorattherequestofaparty.
SeveralotherproposalssuggestthattheAppellateBodyshouldbeconferredtheremandauthority.WhenanewdecisiononthefactsisrequiredbecausetheAppellateBodydecisionisbasedonadifferentinterpretationofthelaw,oronthebasisofadifferentlegalreasoningthanthatofthepanel,oronproceduralmistakes,theAppellateBodymaysendthecasebacktotheoriginalpanelratherthandecidingonthebasisofthefactsdescribedinthepanelreport,factsthatmaynotbeadequatelydescribedinthelightofthenewlegalreasoning.Inaddition,therearealsootherproposalstosuggestthatthetimelimitonappealprocedureshouldbeincreasedfromthecurrent2-3monthstoalongerperiod.AMemberhassuggestedintheDSUReviewthatthetimeframebeincreasedto3-6months.
IV.ProposalsonInstitutionalWeakness
1.Transparency
Article18.2oftheDSUstatesthatsubmissionsofthepartiestopanelsorAppellateBodyproceedingsareconfidential,butthattheycanmaketheirsubmissionspublic.Further,inpracticethepanelandAppellateBodyreports(andallotherWTOdocumentsrelatingtospecificdisputes)arepublishedontheWTOwebsiteimmediatelyafterdistributiontothemembergovernments.Thesemeasurestrytomakeabalancebetweentheconfidenceandthetransparencyofthedisputesettlement.However,therestillhavebeencomplaints,particularlybynon-governmentalorganizations(NGOs),thattheproceedingsofthedisputesettlementsystemlacktransparency.NGOswishtogetmoreinformationsoonersotheycanparticipateeffectivelyinthedefenceofthecoursesforwhichtheystand.Inaddition,theywanttoheightenpublicawarenesstoincreasethelegitimacyofthesystem.ImportantWTOMembers,suchastheUnitedStatesandtheEuropeanCommunities,supportsuchideas.Toaccomplishthesegoals,theysuggestedthatsecrecyrestrictionsinparties’submissionsshouldberemovedassoonaspossible,oratleastfromthenon-confidentialpartsthereof.Moreover,theysuggestedthatastrictdeadlineforthepublicsummaryofconfidentialsubmissionsshouldbeapplied.Atthesametime,theysuggestedtheconversiontoopenhearinginordertoincreasethepublic’strustinthesystemandtakeawayanyunfoundedsuspiciousofinvolvementinacover-uporaconspiracythatanon-transparentprocessfosters.However,manyotherWTOMembershaveseriousreservationsaboutgreatertransparencyandopenhearing.TheyfearthatthechangeswouldharmtheintergovernmentalcharacteroftheWTO,andwoulddiminishthecontrolofthepartiesoverthedisputesettlementprocess.Intheirpointofview,theystillregardthedisputesettlementasanarbitralsystem,despitethefactthatthedisputesettlementhasbecomehighlyjudicial.
2.DevelopingCountriesandDisputeSettlementSystem
DevelopingcountriesintheGATThavegraduallyreceivedspecialrulesandmoreandmorefavourabletreatmentsincetheTokyoRound.UndertheDSU,thesespecialtreatmentfordevelopingcountriesexistsinanumberofrespects:·thepossibilityofaspeedierprocess(Art.3.12);
·specialconsiderationinconsultations(Arts.4.10,12.10)andinthepanelprocess(Arts.8.10,12.10,12.11);
·particularconsiderationtomattersaffectingtheinterestsofdevelopingcountriesinthesurveillancestage(Arts.21.2,21.7,21.8);
·specialprovisionsforleast-developedcountries(Art.24);
·legalassistancefromtheSecretariat(Art.27.2).
However,toeffectivelyparticipateinthedisputesettlementsystem,developingcountriesarestilleagertogetmoreassistanceinbothsubstantiveWTOlawandintheproceduralaspectsofthedisputesettlementmechanism.Firstly,technicalassistantbytheWTOSecretariatisbelievedmorelimitedinscope.TheminimumrequestseemstobeanincreaseoftheconsultantstaffsprovidedforinArticle27.2oftheDSU.Secondly,itissuggestedthataPermanentDefenseCounselshouldbeestablishedtoassistdevelopingcountrieswhenevercasesarebroughtagainstthem.ManycountrieshavesuggestedthatWTObudgetsurplusesshouldbeusedtocreateareservefundtofinancethisCounsel.Thirdly,agroupofdevelopedanddevelopingcountrieshaveannouncedinSeattletheestablishmentofanAdvisoryCentreforWTOLaw,toassistdevelopingcountriesintheirparticipationinWTOdisputesettlementbyorganizingseminars,arranginginternshipsforofficialsfromdevelopingcountryMembers,andadvisingdevelopingcountriesonthemeritsofparticularproceedings.Finally,developingcountriesfacetheproblemofenforcingthefindingsoftheadoptedreportsbecausetheyhavenotsufficienteconomicpower.Thethreatofretaliationfromthedevelopingcountriestotheaccusedcountries,especiallydevelopedcountries,isnotusuallyeffective.Underthesituation,monetaryremediesaresuggestedaswelljointandcollectiveretaliation.
V.Conclusion
Inconclusion,theproposalsforreforminWTODisputeSettlementfocusingontheprocedureandinstitutionsystemmaybenumerous.Someoftheproposals,inrelationtoconsultation,panellistappointment,procedureadjustment,AppellateBody,transparencyanddevelopingcountriesmentionedinthispaper,mayormaynotrepresentthegeneralview.Moreover,itisquitepossiblethatnewissueswillappearinthenearfutureeitherfollowingthenewreportsadoptedfromtheWTOpanelsandtheAppellateBodyornewcountriesbeingmembersofWTO.SoitisnecessaryforustocontinuetokeepattentiononthenewdevelopmentoftheWTODisputeSettlement.
Footnotes
UnitedNations,HandbookonThePeacefulSettlementofDisputesBetweenStates,10(1992)(OLA/COD/2394).
DSU,Article3.7.
DSU,Article4.5.
DSU,Article3.10.
DSU,Article4.1.
DSU,Article4.3,4.7.AccordingtoArticle4.3ofDSU,iftheMemberdoesnotrespondwithin10daysafterthedateofreceiptoftherequest,ordoesnotenterintoconsultationswithinaperiodofnomorethan30days,oraperiodotherwisemutuallyagreed,afterthedateofreceiptoftherequest,thentheMemberthatrequestedtheholdingofconsultationsmayproceeddirectlytorequesttheestablishmentofapanel.UnderArticle4.7,iftheconsultationsfailtosettleadisputewithin60daysafterthedateofreceiptoftherequestforconsultations,thecomplainingpartymayrequesttheestablishmentofapanel.
DSU,Article4.
FinalActEmbodyingtheResultsofTheUruguayRoundofMultilateralTradeNegotiation353,33I.L.M.1125(1994).
EuropeanCommunities,DiscussionPaperontheReviewoftheDisputeSettlementUnderstanding(DSU).(onfilewithAmericanUniversityInternationalLawReview).
Ibid.(discussinghowsomeofthesesanctionsarereportedlyalsoproposedbyotherWTOMembers).
Supranote29.
ReportoftheAppellateBodyonIndia-patentProtectionforPharmaceuticalandAgriculturalChemicalProducts,Dec.19,1997,WTODoc.WT/DS50/AB/R.para.94.
DSU,Article8.7.
JacquesH.J.Bourgeois,SomeReflectionsontheWTODisputeSettlementSystemfromAPractitioner’sPerspective,4(1),JInt’lEconoL(2001)146.DSU,Article8.1.
Unlessthepartiestothedisputeagreeotherwise.DSU,Article8.3.DSU,supranote6.
DebraSteger,OverviewofWTODisputeSettlement.Addressatthe1998ConferenceoftheWorldTradeLawAssociation(leavingmainlypanellistsfromNewZealandandSwitzerland);BernhardJansen,SelctedProblemAreasintheCourseofaDisputeSettlementProcedure,FreeWorldTradeandtheEuropeanUnion,59at60(vol28,PublicationsbytheAcademyofEuropeanLawinTier,Bundesanzeiger,2000),(addingpanellistsfromAustraliaandLatinAmericancountries).
DSU,Article8.7.
JacquesH.J.Bourgeois,SomeReflectionsontheWTODisputeSettlementSystemfromAPractitioner’sPerspective,4(1),JInt’lEconoL(2001)147.Ibid,148.
AllanRosas,ECandtheWTODisputeSettlement:SomeReflectionsonPracticeandDoctrine,Presentationatthe37thLeiden-LondonMeeting(June27,1998).
RudolfOstrihansky,ChambersoftheInternationalCourtofJustice,37Int’l&Comp.L.Q.(1988)30,43.
Supranote39,p146.
DSU,Article6.2.
Supranote20.
Ibid.Inthearticle,theauthorgiveanexamplethatKoreanproposesthatpartiesshouldberequiredtosubmittheirevidencebynolaterthanthetimeofsecondwrittensubmission.
WTOAppellateBodyReportonEC-RegimefortheImportation,SaleandDistributionofBananas,Sept.9,1997,WT/DS27AB/R,para.142.
DebreP.StegerandSusanM.Hainsworth,WorldTradeOrganizationDisputeSettlement:TheFirstThreeYears,1(2)JInt’lEconoL(1998),208.
DSU,Article17.6.
DSU,Article17.4.
DSU,Article17.13.
DSU,Article17.3.
Supranote50.
ECDiscussionPaper.Supranote30.
DavidPalmeter,TheWTOappellateBodyNeedsRemandAuthority,32,J.WorldTrade,Feb.1998,p41-44.
Supranote20,p473.
DSU,Article18.2.
JohnH.Jackson,DueProcessintheWTODisputeSettlementBody,Addressatthe2ndAnnualConferenceoftheWordTradeLawAssociationiberalisationandProtectionismintheWorldTradingSystem(May15,1998).
DebraSteger,OverviewofWTODisputeSettlement,Addressatthe2ndAnnualConferenceoftheWorldTradeLawAssociationiberalisationandProtectionintheWorldTradingSystem(May15,1998).
KofiOtengKufour,FromtheGATTtotheWTO–TheDevelopingCountriesandtheReformoftheProceduresfortheSettlementofInternationalTradeDisputes,31J.WorldTrade,Oct.1997,at177.
Supranote27,at1231.
PeterLichtenbaum,DisputeSettlementandInstitutionalIssues,ReactionstoSeattle,3(1)JInt’lEconoL(2000),p174.
BhagirathLalDas,TheWTOAgreementseficiencies,ImbalancesandRequiredChanges,1998,p9-12.
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Editor:ZhenCHEN【出处】
此文已被北大法律信息网采用【写作年份】2002【学科类别】国际法->国际经济法 |
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