关于争端解决规则与程序的谅解

马拉喀什建立世界贸易组织协定——附件2：关于争端解决规则与程序的

谅解

各成员特此协议如下：

第1条 范围和适用

1．本谅解的规则和程序应适用于按照本谅解附录1所列各项协定（本谅解中称“适用协定”）的磋商和争端解决规定所提出的争端。本谅解的规则和程序还应适用于各成员间有关它们在《建立世界贸易组织协定》（本谅解中称“《ＷＴＯ协定》”）规定和本谅解规定下的权利和义务的磋商和争端解决，此类磋商和争端解决可单独进行，也可与任何其他适用协定结合进行。

2．本谅解的规则和程序的适用应遵守本谅解附录2所确定的适用协定所含特殊或附加规则和程序。在本谅解的规则和程序与附录2所列特殊或附加规则和程序存在差异时，应以附录2中的特殊或附加规则和程序为准。在涉及一个以上适用协定项下的规则和程序的争端中，如审议中的此类协定的特殊或附加规则和程序之间产生抵触，且如果争端各方在专家组设立20天内不能就规则和程序达成协议，则第2条第1款中规定的争端解决机构（本谅解中称“ＤＳＢ”）主席，在与争端各方磋商后，应在两成员中任一成员提出请求后10天内，确定应遵循的规则和程序。主席应按照以下原则，即在可能的情况下使用特殊或附加规则和程序，并应在避免抵触所必需的限度内使用本谅解所列规则和程序。

第2条 管理

1．特此设立争端解决机构，负责管理这些规则和程序及适用协定的磋商和争端解决规定，除非适用协定另有规定。因此，ＤＳＢ有权设立专家组、通过专家组和上诉机构报告、监督裁决和建议的执行以及授权中止适用协定项下的减让和其他义务。对于属诸边贸易协定的一适用协定项下产生的争端，此处所用的“成员”一词仅指那些属有关诸边贸易协定参加方的成员。如ＤＳＢ管理一诸边贸易协定的争端解决规定，则只有属该协定参加方的成员方可参与ＤＳＢ就该争端所作出的决定或所采取的行动。

2．ＤＳＢ应通知ＷＴＯ有关理事会和委员会任何与各自适用协定规定有关的争端的进展情况。 3．ＤＳＢ应视需要召开会议，以便在本谅解规定的时限内行使职能。

4．如本谅解的规则和程序规定由ＤＳＢ作出决定，则ＤＳＢ应经协商一致作出决定。（注1） 注1：如在作出决定的ＤＳＢ会议上，没有成员正式反对拟议的决定，则ＤＳＢ即被视为经协商一致就提请其审议的事项作出决定。

第3条 总则

1．各成员确认遵守迄今为止根据ＧＡＴＴ1947第22条和第23条实施的管理争端的原则，及在此进一步详述和修改的规则和程序。

2．ＷＴＯ争端解决体制在为多边贸易体制提供可靠性和可预测性方面是一个重要因素。各成员认识到该体制适于保护各成员在适用协定项下的权利和义务，及依照解释国际公法的惯例澄清这些协定的现有规定。ＤＳＢ的建议和裁决不能增加或减少适用协定所规定的权利和义务。

3．在一成员认为其根据适用协定直接或间接获得的利益正在因另一成员采取的措施而减损的情况下，迅速解决此类情况对ＷＴＯ的有效运转及保持各成员权利和义务的适当平衡是必要的。

4．ＤＳＢ所提建议或所作裁决应旨在依照本谅解和适用协定项下的权利和义务，实现问题的满意解决。 5．对于根据适用协定的磋商和争端解决规定正式提出的事项的所有解决办法，包括仲裁裁决，均与这些协定相一致，且不得使任何成员根据这些协定获得的利益丧失或减损，也不得妨碍这些适用协定任何目

标的实现。

6．对于根据适用协定的磋商和争端解决规定正式提出事项的双方同意的解决办法应通知ＤＳＢ及有关理事会和委员会，在这些机构中任何成员可提出与此有关的任何问题。

7．在提出一案件前，一成员应就根据这些程序采取的措施是否有效作出判断。争端解决机制的目的在于保证使争端得到积极解决。争端各方均可接受且与适用协定相一致的解决办法无疑是首选办法。如不能达成双方同意的解决办法，则争端解决机制的首要目标通常是保证撤销被认为与任何适用协定的规定不一致的有关措施。提供补偿的办法只能在立即撤销措施不可行时方可采取，且应作为在撤销与适用协定不一致的措施前采取的临时措施。本谅解为援引争端解决程序的成员规定的最后手段是可以在歧视性的基础上针对另一成员中止实施适用协定项下的减让或其他义务，但需经ＤＳＢ授权采取此类措施。

8．如发生违反在适用协定项下所承担义务的情况，则该行为被视为初步构成利益丧失或减损案件。这通常意味着一种推定，即违反规则对适用协定的其他成员方造成不利影响，在此种情况下，应由被起诉的成员自行决定是否反驳此指控。

9．本谅解的规定不损害各成员通过《ＷＴＯ协定》或一属诸边贸易协定的适用协定项下的决策方法，寻求对一适用协定规定的权威性解释的权利。

10．各方理解，请求调解和使用争端解决程序不应用作或被视为引起争议的行为，如争端发生，所有成员将真诚参与这些程序以努力解决争端。各方还理解，有关不同事项的起诉和反诉不应联系在一起。 11．本谅解只适用于《ＷＴＯ协定》生效之日或之后根据适用协定的磋商规定提出的新的磋商请求。对于在《ＷＴＯ协定》生效之日前根据ＧＡＴＴ1947或适用协定的任何其他先前协定提出的磋商请求，在《ＷＴＯ协定》生效之日前有效的有关争端解决规则和程序应继续适用。（注2） 注2：本款还适用于专家组报告未获通过或未全面执行的争端。

12．尽管有第11款的规定，但是如依据任何适用协定的起诉是由一发展中国家成员针对一发达国家成员提出的，则起诉方有权援引《1966年4月5日决定》（ＢＩＳＤ14册18页）的相应规定，作为本谅解第4条、第5条、第6条和第12条所含规定的替代，除非如专家组认为该决定第7款规定的时限不足以提供报告，则在起诉方同意下，该时限可以延长。如第4条、第5条、第6条和第12条的规则和程序与该决定的相应规则和程序存在差异，则应以后者为准。

第4条 磋商

1．各成员确认决心加强和提高各成员使用的磋商程序的有效性。

2．每一成员承诺对另一成员提出的有关在前者领土内采取的、影响任何适用协定运用的措施的交涉给予积极考虑，并提供充分的磋商机会。（注3）

注3：如任何其他适用协定有关一成员领土内的地区或地方政府或主管机关所采取措施的规定包含与本款规定有差异的规定，则以此类其他适用协定的规定为准。

3．如磋商请求是按照一适用协定提出的，则请求所针对的成员应在收到请求之日起10天内对该请求作出答复，并应在收到请求之日起不超过30天的期限内真诚地进行磋商，以达成双方满意的解决办法，除非双方另有议定。如该成员未在收到请求之日起10天内作出答复，或未在收到请求之日起不超过30天的期限内或双方同意的其他时间内进行磋商，则请求进行磋商的成员可直接开始请求设立专家组。 4．所有此类磋商请求应由请求磋商的成员通知ＤＳＢ及有关理事会和委员会。任何磋商请求应以书面形式提交，并应说明提出请求的理由，包括确认所争论的措施，并指出起诉的法律根据。

5．在依照一适用协定的规定进行磋商的过程中，在根据本谅解采取进一步行动之前，各成员应努力尝试对该事项作出令人满意的调整。

6．磋商应保密，并不得损害任何一方在任何进一步诉讼中的权利。

7．如在收到磋商请求之日起60天内，磋商未能解决争端，则起诉方可请求设立专家组。如磋商各方共同认为磋商已不能解决争端，则起诉方可在60天期限内请求设立专家组。

8．在紧急案件中，包括涉及易腐货物的案件，各成员应在收到请求之日起不超过10天的期限内进行

磋商。如在收到请求之日起20天的期限内，磋商未能解决争端，则起诉方可请求设立专家组。

9．在紧急案件中，包括有关易腐货物的案件，争端各方、专家组及上诉机构应尽一切努力尽最大可能加快诉讼程序。

10．在磋商中，各成员应特别注意发展中国家成员的特殊问题和利益。

11．只要进行磋商的成员以外的一成员认为按照ＧＡＴＴ1994第22条第1款和ＧＡＴＳ第22条第1款或其他适用协定的相应规定（注4）所进行的磋商涉及其实质贸易利益，则该成员即可在根据上述条款进行磋商的请求散发之日起10天内，将其参加磋商的愿望通知进行磋商的成员和ＤＳＢ。该成员应被允许参加入磋商，只要磋商请求所针对的成员同意实质利益的主张是有理由的。在这种情况下，它们应如此通知ＤＳＢ。如参加磋商的请求未予接受，则申请成员有权根据ＧＡＴＴ1994第22条第1款或第23条第1款、ＧＡＴＳ第22条第1款或第23条第1款或其他适用协定的相应规定提出磋商请求。 注4：适用协定中相应的磋商规定如下：

《农业协定》第19条；《实施卫生与植物卫生措施协定》第11条第1款；《纺织品与服装协定》第8条第4款；《技术性贸易壁垒协定》第14条第1款；《与贸易有关的投资措施协定》第8条；《关于实施1994年关税与贸易总协定第6条的协定》第17条第2款；《关于实施1994年关税与贸易总协定第7条的协定》第19条第2款；《装运前检验协定》第7条；《原产地规则协定》第7条；《进口许可程序协定》第6条；《补贴与反补贴措施协定》第30条；《保障措施协定》第14条；《与贸易有关的知识产权协定》第64条第1款；以及每一诸边贸易协定主管机构确定并通知ＤＳＢ的诸边贸易协定中任何相应的磋商规定。

第5条 斡旋、调解和调停

1．斡旋、调解和调停是在争端各方同意下自愿采取的程序。

2．涉及斡旋、调解和调停的诉讼程序，特别是争端各方在这些诉讼程序中所采取的立场应保密，并不得损害双方中任何一方根据这些程序进行任何进一步诉讼程序的权利。

3．争端任何一方可随时请求进行斡旋、调解或调停。此程序可随时开始，随时终止。一旦斡旋、调解或调停程序终止，起诉方即可开始请求设立专家组。

4．如斡旋、调解或调停在收到磋商请求之日起60天内开始，则起诉方在请求设立专家组之前，应给予自收到磋商请求之日起60天的时间。如争端各方共同认为斡旋、调解或调停过程未能解决争端，则起诉方可在60天期限内请求设立专家组。

5．如争端各方同意，斡旋、调解或调停程序可在专家组程序进行的同时继续进行。 6．总干事可依其职权提供斡旋、调解或调停，以期协助各成员解决争端。

第6条 专家组的设立

1．如起诉方提出请求，则专家组应最迟在此项请求首次作为一项议题列入ＤＳＢ议程的会议之后的ＤＳＢ会议上设立，除非在此次会上ＤＳＢ经协商一致决定不设立专家组。（注5）

注5：如起诉方提出请求，ＤＳＢ应在提出请求后15天内为此召开会议，只要提前至少10天发出会议通知。

2．设立专家组的请求应以书面形式提出。请求应指出是否已进行磋商、确认争论中的措施并提供一份足以明确陈述问题的起诉的法律根据概要。在申请方请求设立的专家组不具有标准职权范围的情况下，书面请求中应包括特殊职权范围的拟议案文。

第7条 专家组的职权范围

1．专家组应具有下列职权范围，除非争端各方在专家组设立后20天内另有议定：

“按照（争端各方引用的适用协定名称）的有关规定，审查（争端方名称）在??文件中提交ＤＳＢ的事项，并提出调查结果以协助ＤＳＢ提出建议或作出该协定规定的裁决。” 2．专家组应处理争端各方引用的任何适用协定的有关规定。

3．在设立专家组时，ＤＳＢ可授权其主席在遵守第1款规定的前提下，与争端各方磋商，制定专家组的职权范围。由此制定的职权范围应散发全体成员。如议定的不是标准的职权范围，则任何成员均可在ＤＳＢ中提出与此有关的任何问题。

第8条 专家组的组成

1．专家组应由资深政府和／或非政府个人组成，包括曾在专家组任职或曾向专家组陈述案件的人员、曾任一成员代表或一ＧＡＴＴ1947缔约方代表或任何适用协定或其先前协定的理事会或委员会的代表的人员、秘书处人员、曾讲授或出版国际贸易法或政策著作的人员，以及曾任一成员高级贸易政策官员的人员。 2．专家组成员的选择应以保证各成员的独立性、完全不同的背景和丰富的经验为目的进行。 3．政府（注6）为争端方或为第10条第2款规定的第三方成员的公民不得在与该争端有关的专家组中任职，除非争端各方另有议定。

注6：如关税同盟或共同市场为争端方，则本规定适用于关税同盟或共同市场的所有成员国的公民。 4．为协助选择专家组成员，秘书处应保存一份具备第1款所述资格的政府和非政府个人的指示性名单，可从中酌情选出专家组成员。该名单应包括1984年11月30日制定的非政府专家组成员名册（ＢＩＳＤ 31册9页），及在任何适用协定项下制定的名册和指示性名单，并保留这些名册和指示性名单中在《ＷＴＯ协定》生效之时的人员的姓名。成员可定期提出可供列入指示性名单的政府和非政府个人的姓名，并提供他们在国际贸易和适用协定的部门或主题方面知识的有关信息，待ＤＳＢ批准后，这些姓名应增加至该名单。对于名单中的每一个人，名单应注明其在适用协定的部门或主题方面的具体阅历或专门知识。 5．专家组应由3名成员组成，除非在专家组设立后10天内，争端各方同意专家组由5名成员组成。专家组的组成情况应迅速通知各成员。

6．秘书处应向争端各方建议专家组成员的提名。争端各方不得反对提名，除非由于无法控制的原因。 7．如在专家组设立之日起20天内，未就专家组的成员达成协议，则总干事应在双方中任何一方请求下，经与ＤＳＢ主席和有关委员会或理事会主席磋商，在与争端各方磋商后，决定专家组的组成，所任命的专家组成员为总干事认为依照争端中所争论的适用协定的任何有关特殊或附加规则和程序最适当的成员。ＤＳＢ主席应在收到此种请求之日起10天内，通知各成员专家组如此组成。 8．各成员应承诺，通常允许其官员担任专家组成员。

9．专家组成员应以其个人身份任职，既作为政府代表，也作为任何组织的代表。各成员因此不得就专家组审议的事项向他们作出指示或试图影响他们个人。

10．当争端发生在发展中国家成员与发达国家成员之间时，如发展中国家成员提出请求，专家组应至少有1名成员来自发展中国家成员。

11．专家组成员的费用，包括旅费和生活津贴，应依照总理事会在预算、财务与行政委员会所提建议基础上通过的标准，从ＷＴＯ预算中支付。

第9条 多个起诉方的程序

1．如一个以上成员就同一事项请求设立专家组，则可设立单一专家组审查这些起诉，同时考虑所有有关成员的权利。只要可行，即应设立单一专家组审查此类起诉。

2．单一专家组应组织其审查并将其调查结果提交ＤＳＢ，应保证争端各方在由若干专家组分开审查起诉时本可享受的权利决不受到减损。如争端任何一方提出请求，专家组应就有关争端提交单独的报告。每一起诉方提交的书面陈述应可使其他起诉方获得，且每一起诉方有权在任何其他起诉方向专家组陈述意见时在场。

3．如设立一个以上专家组以审查与同一事项有关的起诉，则应在最大限度内由相同人员在每一单独专家组中任职，此类争端中的专家组程序的时间表应进行协调。

第10条 第三方

1．争端各方的利益和争端中所争论的一适用协定项下的其他成员的利益应在专家组程序中得到充分考虑。

2．任何对专家组审议的事项有实质利益且已将其利益通知ＤＳＢ的成员（本谅解中称“第三方”）应由专家组给予听取其意见并向专家组提出书面陈述的机会。这些书面陈述也应提交争端各方，并应反映在专家组报告中。

3．第三方应收到争端各方提交专家组首次会议的陈述。

4．如第三方认为已成为专家组程序主题的措施造成其根据任何适用协定项下获得的利益丧失或减损，则该成员可援用本谅解项下的正常争端解决程序。只要可能，此种争端即应提交原专家组。

第11条 专家组的职能

专家组的职能是协助ＤＳＢ履行本谅解和适用协定项下的职责。因此，专家组应对其审议的事项作出客观评估，包括对该案件事实及有关适用协定的适用性和与有关适用协定的一致性的客观评估，并作出可协助ＤＳＢ提出建议或提出适用协定所规定的裁决的其他调查结果。专家组应定期与争端各方磋商，并给予它们充分的机会以形成双方满意的解决办法。

第12条 专家组程序

1．专家组应遵循附录3中的工作程序，除非专家组在与争端各方磋商后另有决定。

2．专家组程序应提供充分的灵活性，以保证高质量的专家组报告，同时不应不适当地延误专家组程序。 3．在与争端各方磋商后，专家组成员应尽快且只要可能，在专家组组成及职权范围议定后一周内，决定专家组程序的时间表，同时考虑第4条第9款的规定（如有关）。

4．在确定专家组程序的时间表时，专家组应为争端各方提供充分的时间准备陈述。 5．专家组应设定各方提供书面陈述的明确最后期限，各方应遵守此最后期限。

6．每一方应将其书面陈述交存秘书处，以便立即转交专家组和其他争端方。起诉方应在应诉方提交的第一份陈述之前提交其第一份陈述，除非专家组在决定第3款提及的时间表时，经与争端各方磋商后，决定各方应同时提交第一份陈述。当对交存第一份陈述有顺序安排时，专家组应确定接受应诉方陈述的确定期限。任何随后的书面陈述应同时提交。

7．如争端各方未能形成双方满意的解决办法，专家组应以书面报告形式向ＤＳＢ提交调查结果。在此种情况下，专家组报告应列出对事实的调查结果、有关规定的适用性及其所作任何调查结果和建议所包含的基本理由。如争端各方之间已找到问题的解决办法，则专家组报告应只限于对案件的简要描述，并报告已达成解决办法。

8．为使该程序更加有效，专家组进行审查的期限，即自专家组组成和职权范围议定之日起至最终报告提交争端各方之日止，一般不应超过6个月。在紧急案件中，包括涉及易腐货物的案件，专家组应力求在3个月内将其报告提交争端各方。

9．如专家组认为不能在6个月内或在紧急案件中不能在3个月内提交其报告，则应书面通知ＤＳＢ迟延的原因和提交报告的估计期限。自专家组设立至报告散发各成员的期限无论如何不应超过9个月。 10．在涉及发展中国家成员所采取措施的磋商过程中，各方可同意延长第4条第7款和第8款所确定的期限。如有关期限已过，进行磋商的各方不能同意磋商已经完成，则ＤＳＢ主席应在与各方磋商后，决定是否延长有关期限，如决定延长，则决定延长多久。此外，在审查针对发展中国家成员的起诉时，专家组应给予该发展中国家成员充分的时间以准备和提交论据。第20条第1款和第21条第4款的规定不受按照本款所采取任何行动的影响。

11．如一个或多个争端方为发展中国家成员，则专家组报告应明确说明以何种形式考虑对发展中国家成员在争端解决程序过程中提出的适用协定中有关发展中国家成员的差别和更优惠待遇规定。

12．专家组可随时应起诉方请求中止工作，期限不超过12个月。如发生此种中止，本条第8款和第9款、第20条第1款以及第21条第4款所列时限应按中止工作的时间顺延。如专家组的工作已中止12个月

1. Panels shall have the following terms of reference unless the parties to the dispute agree otherwise within 20 days from the establishment of the panel:

\in the light of the relevant provisions in (name of the covered agreement(s) cited by the parties to the dispute), the matter referred to the DSB by (name of party) in document ... and to make such findings as will assist the DSB in making the recommendations or in giving the rulings provided for in that/those agreement(s).\

2. Panels shall address the relevant provisions in any covered agreement or agreements cited by the parties to the dispute.

3. In establishing a panel, the DSB may authorize its Chairman to draw up the terms of reference of the panel in consultation with the parties to the dispute, subject to the provisions of paragraph 1. The terms of reference thus drawn up shall be circulated to all Members. If other than standard terms of reference are agreed upon, any Member may raise any point relating thereto in the DSB. Article 8 Composition of Panels

1. Panels shall be composed of well-qualified governmental and/or non-governmental individuals, including persons who have served on or presented a case to a panel, served as a representative of a Member or of a contracting party to GATT 1947 or as a representative to the Council or Committee of any covered agreement or its predecessor

agreement, or in the Secretariat, taught or published on international trade law or policy, or served as a senior trade policy official of a Member.

2. Panel members should be selected with a view to ensuring the independence of the members, a sufficiently diverse background and a wide spectrum of experience.

3. Citizens of Members whose governments(notes 6) are parties to the dispute or third parties as defined in paragraph 2 of Article 10 shall not serve on a panel concerned with that dispute, unless the parties to the dispute agree otherwise.

Notes 6: In the case where customs unions or common markets are parties to a dispute, this provision applies to citizens of all member countries of the customs unions or common markets.

4. To assist in the selection of panelists, the Secretariat shall maintain an indicative list of governmental and non-governmental

individuals possessing the qualifications outlined in paragraph 1, from which panelists may be drawn as appropriate. That list shall include the roster of non-governmental panelists established on 30 November

1984(BISD 31S/9), and other rosters and indicative lists established under any of the covered agreements, and shall retain the names of persons on those rosters and indicative lists at the time of entry into force of the WTO Agreement. Members may periodically suggest names of

governmental and non-governmental individuals for inclusion on the indicative list, providing relevant information on their knowledge of international trade and of the sectors or subject matter of the covered agreements, and those names shall be added to the list upon approval by the DSB. For each of the individuals on the list, the list shall

indicate specific areas of experience or expertise of the individuals in the sectors or subject matter of the covered agreements.

5. Panels shall be composed of three panelists unless the parties to the dispute agree, within 10 days from the establishment of the panel, to a panel composed of five panelists. Members shall be informed promptly of the composition of the panel.

6. The Secretariat shall propose nominations for the panel to the parties to the dispute. The parties to the dispute shall not oppose nominations except for compelling reasons.

7. If there is no agreement on the panelists within 20 days after the date of the establishment of a panel, at the request of either party, the Director-General, in consultation with the Chairman of the DSB and the Chairman of the relevant Council or Committee, shall

determine the composition of the panel by appointing the panelists whom the Director-General considers most appropriate in accordance with any relevant special or additional rules or procedures of the covered

agreement or covered agreements which are at issue in the dispute, after consulting with the parties to the dispute. The Chairman of the DSB shall inform the Members of the composition of the panel thus formed no later than 10 days after the date the Chairman receives such a request. 8. Members shall undertake, as a general rule, to permit their officials to serve as panelists.

9. Panelists shall serve in their individual capacities and not as government representatives, nor as representatives of any organization. Members shall therefore not give them instructions nor seek to influence them as individuals with regard to matters before a panel.

10. When a dispute is between a developing country Member and a developed country Member the panel shall, if the developing country Member so requests, include at least one panelist from a developing country Member. 11. Panelists' expenses, including travel and subsistence allowance, shall be met from the WTO budget in accordance with criteria to be adopted by the General Council, based on recommendations of the Committee on Budget, Finance and Administration. Article 9 Procedures for Multiple Complainants

1. Where more than one Member requests the establishment of a panel related to the same matter, a single panel may be established to examine these complaints taking into account the rights of all Members concerned. A single panel should be established to examine such

complaints whenever feasible.

2. The single panel shall organize its examination and present its findings to the DSB in such a manner that the rights which the parties to the dispute would have enjoyed had separate panels examined the complaints are in no way impaired. If one of the parties to the dispute so requests, the panel shall submit separate reports on the dispute concerned. The written submissions by each of the complainants shall be made available to the other complainants, and each complainant shall have the right to be present when any one of the other complainants presents its views to the panel.

3. If more than one panel is established to examine the complaints related to the same matter, to the greatest extent possible the same persons shall serve as panelists on each of the separate panels and the timetable for the panel process in such disputes shall be harmonized. Article 10 Third Parties

1. The interests of the parties to a dispute and those of other Members under a covered agreement at issue in the dispute shall be fully taken into account during the panel process.

2. Any Member having a substantial interest in a matter before a panel and having notified its interest to the DSB (referred to in this Understanding as a \by the panel and to make written submissions to the panel. These

submissions shall also be given to the parties to the dispute and shall be reflected in the panel report.

3. Third parties shall receive the submissions of the parties to the dispute to the first meeting of the panel.

4. If a third party considers that a measure already the subject of a panel proceeding nullifies or impairs benefits accruing to it under any covered agreement, that Member may have recourse to normal dispute settlement procedures under this Understanding. Such a dispute shall be referred to the original panel wherever possible. Article 11 Function of Panels

The function of panels is to assist the DSB in discharging its responsibilities under this Understanding and the covered agreements. Accordingly, a panel should make an objective assessment of the matter before it, including an objective assessment of the facts of the case and the applicability of and conformity with the relevant covered agreements, and make such other findings as will assist the DSB in making the recommendations or in giving the rulings provided for in the covered agreements. Panels should consult regularly with the parties to the dispute and give them adequate opportunity to develop a mutually satisfactory solution.

Article 12 Panel Procedures

1. Panels shall follow the Working Procedures in Appendix 3 unless

the panel decides otherwise after consulting the parties to the dispute. 2. Panel procedures should provide sufficient flexibility so as to ensure high quality panel reports, while not unduly delaying the panel process.

3. After consulting the parties to the dispute, the panelists shall, as soon as practicable and whenever possible within one week after the composition and terms of reference of the panel have been agreed upon, fix the timetable for the panel process, taking into account the provisions of paragraph 9 of Article 4, if relevant.

4. In determining the timetable for the panel process, the panel shall provide sufficient time for the parties to the dispute to prepare their submissions.

5. Panels should set precise deadlines for written submissions by the parties and the parties should respect those deadlines.

6. Each party to the dispute shall deposit its written submissions with the Secretariat for immediate transmission to the panel and to the other party or parties to the dispute. The complaining party shall submit its first submission in advance of the responding party's first submission unless the panel decides, in fixing the timetable referred to in paragraph 3 and after consultations with the parties to the dispute, that the parties should submit their first submissions simultaneously. When there are sequential arrangements for the deposit of first

submissions, the panel shall establish a firm time period for receipt of the responding party's submission. Any subsequent written submissions shall be submitted simultaneously.

7. Where the parties to the dispute have failed to develop a

mutually satisfactory solution, the panel shall submit its findings in the form of a written report to the DSB. In such cases, the report of a panel shall set out the findings of fact, the applicability of relevant provisions and the basic rationale behind any findings and

recommendations that it makes. Where a settlement of the matter among the parties to the dispute has been found, the report of the panel shall be confined to a brief description of the case and to reporting that a solution has been reached.

8. In order to make the procedures more efficient, the period in which the panel shall conduct its examination, from the date that the composition and terms of reference of the panel have been agreed upon until the date the final report is issued to the parties to the dispute, shall, as a general rule, not exceed six months. In cases of urgency, including those relating to perishable goods, the panel shall aim to issue its report to the parties to the dispute within three months. 9. When the panel considers that it cannot issue its report within six months, or within three months in cases of urgency, it shall inform the DSB in writing of the reasons for the delay together with an

estimate of the period within which it will issue its report. In no case should the period from the establishment of the panel to the circulation of the report to the Members exceed nine months.

10. In the context of consultations involving a measure taken by a developing country Member, the parties may agree to extend the periods established in paragraphs 7 and 8 of Article 4. If, after the relevant period has elapsed, the consulting parties cannot agree that the consultations have concluded, the Chairman of the DSB shall decide, after consultation with the parties, whether to extend the relevant period and, if so, for how long. In addition, in examining a complaint against a developing country Member, the panel shall accord sufficient time for the developing country Member to prepare and present its

argumentation. The provisions of paragraph 1 of Article 20 and paragraph 4 of Article 21 are not affected by any action pursuant to this paragraph.

11. Where one or more of the parties is a developing country Member, the panel's report shall explicitly indicate the form in which account has been taken of relevant provisions on differential and

more-favourable treatment for developing country Members that form part of the covered agreements which have been raised by the developing country Member in the course of the dispute settlement procedures. 12. The panel may suspend its work at any time at the request of the complaining party for a period not to exceed 12 months. In the event of such a suspension, the time-frames set out in paragraphs 8 and 9 of this Article, paragraph 1 of Article 20, and paragraph 4 of Article 21 shall be extended by the amount of time that the work was suspended. If the work of the panel has been suspended for more than 12 months, the authority for establishment of the panel shall lapse. Article 13 Right to Seek Information

1. Each panel shall have the right to seek information and technical advice from any individual or body which it deems appropriate. However, before a panel seeks such information or advice from any individual or body within the jurisdiction of a Member it shall inform the authorities of that Member. A Member should respond promptly and fully to any

request by a panel for such information as the panel considers necessary and appropriate. Confidential information which is provided shall not be revealed without formal authorization from the individual, body, or authorities of the Member providing the information.

2. Panels may seek information from any relevant source and may consult experts to obtain their opinion on certain aspects of the

matter. With respect to a factual issue concerning a scientific or other technical matter raised by a party to a dispute, a panel may request an advisory report in writing from an expert review group. Rules for the establishment of such a group and its procedures are set forth in

1994are applicable to a covered agreement, a panel or the Appellate Body may only make rulings and recommendations where a party to the dispute considers that any benefit accruing to it directly or indirectly under the relevant covered agreement is being nullified or impaired or the attainment of any objective of that Agreement is being impeded as a result of the application by a Member of any measure, whether or not it conflicts with the provisions of that Agreement. Where and to the extent that such party considers and a panel or the Appellate Body determines that a case concerns a measure that does not conflict with the

provisions of a covered agreement to which the provisions of paragraph 1(b) of Article XXIII of GATT 1994 are applicable, the procedures in this Understanding shall apply, subject to the following:

(a) the complaining party shall present a detailed justification in support of any complaint relating to a measure which does not conflict with the relevant covered agreement;

(b) where a measure has been found to nullify or impair benefits under, or impede the attainment of objectives, of the relevant covered agreement without violation thereof, there is no obligation to withdraw the measure. However, in such cases, the panel or the Appellate Body shall recommend that the Member concerned make a mutually satisfactory adjustment;

(c) notwithstanding the provisions of Article 21, the arbitration provided for in paragraph 3 of Article 21, upon request of either party, may include a determination of the level of benefits which have been nullified or impaired, and may also suggest ways and means of reaching a

mutually satisfactory adjustment: such suggestions shall not be binding upon the parties to the dispute;

(d) notwithstanding the provisions of paragraph 1 of Article 22, compensation may be part of a mutually satisfactory adjustment as final settlement of the dispute.

2. Complaints of the Type Described in Paragraph 1(c) of Article XXIII of GATT 1994

Where the provisions of paragraph 1(c) of Article XXIII of GATT 1994are applicable to a covered agreement, a panel may only make rulings and recommendations where a party considers that any benefit accruing to it directly or indirectly under the relevant covered agreement is being nullified or impaired or the attainment of any objective of that

Agreement is being impeded as a result of the existence of any situation other than those to which the provisions of paragraphs 1(a) and 1(b) of Article XXIII of GATT 1994 are applicable. Where and to the extent that such party considers and a panel determines that the matter is covered by this paragraph, the procedures of this Understanding shall apply only up to and including the point in the proceedings where the panel report

has been circulated to the Members. The dispute settlement rules and procedures contained in the Decision of 12 April 1989 (BISD 36S/61-67) shall apply to consideration for adoption, and surveillance and

implementation of recommendations and rulings. The following shall also apply:

(a) the complaining party shall present a detailed justification in support of any argument made with respect to issues covered under this paragraph;

(b) in cases involving matters covered by this paragraph, if a panel finds that cases also involve dispute settlement matters other than those covered by this paragraph, the panel shall circulate a report to the DSB addressing any such matters and a separate report on matters falling under this paragraph.

Article 27 Responsibilities of the Secretariat

1. The Secretariat shall have the responsibility of assisting

panels, especially on the legal, historical and procedural aspects of the matters dealt with, and of providing secretarial and technical support.

2. While the Secretariat assists Members in respect of dispute settlement at their request, there may also be a need to provide

additional legal advice and assistance in respect of dispute settlement to developing country Members. To this end, the Secretariat shall make available a qualified legal expert from the WTO technical cooperation services to any developing country Member which so requests. This expert shall assist the developing country Member in a manner ensuring the continued impartiality of the Secretariat.

3. The Secretariat shall conduct special training courses for

interested Members concerning these dispute settlement procedures and practices so as to enable Members'experts to be better informed in this regard.

APPENDIX 1 AGREEMENTS COVERED BY THE UNDERSTANDING

(A) Agreement Establishing the World Trade Organization (B) Multilateral Trade Agreements

Annex 1A: Multilateral Agreements on Trade in Goods Annex 1B: General Agreement on Trade in Services

Annex 1C: Agreement on Trade-Related Aspects of Intellectual Property Rights

Annex 2: Understanding on Rules and Procedures Governing the Settlement of Disputes

(C) Plurilateral Trade Agreements

Annex 4: Agreement on Trade in Civil Aircraft

Agreement on Government Procurement International Dairy Agreement

International Bovine Meat Agreement

The applicability of this Understanding to the Plurilateral Trade Agreements shall be subject to the adoption of a decision by the parties to each agreement setting out the terms for the application of the Understanding to the individual agreement, including any special or additional rules or procedures for inclusion in Appendix 2, as notified to the DSB.

APPENDIX 2 SPECIAL OR ADDITIONAL RULES AND PROCEDURES CONTAINED IN THECOVERED A

GREEMENTS

|-------------------------------------------------------------------------------------|

|Agreement Rules and Procedures |

|-------------------------------------------------------------------------------------|

|Agreement on the Application of Sanitary 11.2 |

|and Phytosanitary Measures |

| |

|Agreement on Textiles and Clothing 2.14, 2.21, 4.4, 5.2, 5.4, 5.6, 6.9, 6.10, |

| 6.11, 8.1 through 8.12 |

|Agreement on Technical Barriers to Trade 14.2 through 14.4, Annex 2 |

|Agreement on Implementation of 17.4 through 17.7 |

|Article VI of GATT 1994 |

|Agreement on Implementation of Article 19.3 through 19.5, Annex II.2(f), 3, 9, |

|VII of GATT 1994 21 |

|Agreement on Subsidies and 4.2 through 4.12, 6.6, 7.2 through 7.10, |

| Countervailing Measures 8.5, footnote 35, 24.4, 27.7, Annex V |

| |

|General Agreement on Trade in Services XXII:3, XXIII:3 |

|Annex on Financial Services 4 |

|Annex on Air Transport Services 4 |

|Decision on Certain Dispute Settlement 1 through 5 |

|Procedures for the GATS |

|-------------------------------------------------------------------------------------|

The list of rules and procedures in this Appendix includes

provisions where only a part of the provision may be relevant in this context.

Any special or additional rules or procedures in the Plurilateral Trade Agreements as determined by the competent bodies of each agreement and as notified to the DSB.

APPENDIX 3 WORKING PROCEDURES

1. In its proceedings the panel shall follow the relevant provisions of this Understanding. In addition, the following working procedures shall apply.

2. The panel shall meet in closed session. The parties to the

dispute, and interested parties, shall be present at the meetings only when invited by the panel to appear before it.

3. The deliberations of the panel and the documents submitted to it shall be kept confidential. Nothing in this Understanding shall preclude a party to a dispute from disclosing statements of its own positions to the public. Members shall treat as confidential information submitted by another Member to the panel which that Member has designated as

confidential. Where a party to a dispute submits a confidential version of its written submissions to the panel, it shall also, upon request of a Member, provide a non-confidential summary of the information

contained in its submissions that could be disclosed to the public. 4. Before the first substantive meeting of the panel with the

parties, the parties to the dispute shall transmit to the panel written submissions in which they present the facts of the case and their arguments.

5. At its first substantive meeting with the parties, the panel

shall ask the party which has brought the complaint to present its case. Subsequently, and still at the same meeting, the party against which the complaint has been brought shall be asked to present its point of view. 6. All third parties which have notified their interest in the dispute to the DSB shall be invited in writing to present their views during a session of the first substantive meeting of the panel set aside for that purpose. All such third parties may be present during the entirety of this session.

7. Formal rebuttals shall be made at a second substantive meeting of the panel. The party complained against shall have the right to take the floor first to be followed by the complaining party. The parties shall submit, prior to that meeting, written rebuttals to the panel.

8. The panel may at any time put questions to the parties and ask them for explanations either in the course of a meeting with the parties or in writing.

9. The parties to the dispute and any third party invited to present its views in accordance with Article 10 shall make available to the panel a written version of their oral statements.

10. In the interest of full transparency, the presentations,

rebuttals and statements referred to in paragraphs 5 to 9 shall be made in the presence of the parties. Moreover, each party's written

submissions, including any comments on the descriptive part of the report and responses to questions put by the panel, shall be made available to the other party or parties.

11. Any additional procedures specific to the panel. 12. Proposed timetable for panel work:

(a) Receipt of first written submissions of the parties: (1) complaining Party: -- 3-6 weeks (2) Party complained against: -- 2-3 weeks (b) Date, time and place of first

substantive meeting with the parties:

third party session: -- 1-2 weeks (c) Receipt of written rebuttals of the

parties: -- 2-3 weeks (d) Date, time and place of second

substantive meeting with the parties: -- 1-2 weeks (e) Issuance of descriptive part of the

report to the parties: -- 2-4 weeks (f) Receipt of comments by the parties

on the descriptive part of the report:-- 2 weeks (g) Issuance of the interim report, including the findings and

conclusions, to the parties: -- 2-4 weeks (h) Deadline for party to request

review of part(s) of report: -- 1 week (i) Period of review by panel, including possible additional meeting with

parties: -- 2 weeks (j) Issuance of final report to parties

to dispute: -- 2 weeks (k) Circulation of the final report to the

Members: -- 3 weeks

The above calendar may be changed in the light of unforeseen

developments. Additional meetings with the parties shall be scheduled if required.

APPENDIX 4 EXPERT REVIEW GROUPS

The following rules and procedures shall apply to expert review groups established in accordance with the provisions of paragraph 2 of Article 13.

1. Expert review groups are under the panel's authority. Their terms of reference and detailed working procedures shall be decided by the panel, and they shall report to the panel.

2. Participation in expert review groups shall be restricted to persons of professional standing and experience in the field in question.

3. Citizens of parties to the dispute shall not serve on an expert review group without the joint agreement of the parties to the dispute, except in exceptional circumstances when the panel considers that the need for specialized scientific expertise cannot be fulfilled otherwise. Government officials of parties to the dispute shall not serve on an expert review group. Members of expert review groups shall serve in their individual capacities and not as government representatives, nor as representatives of any organization. Governments or organizations shall therefore not give them instructions with regard to matters before an expert review group.

4. Expert review groups may consult and seek information and

technical advice from any source they deem appropriate. Before an expert review group seeks such information or advice from a source within the jurisdiction of a Member, it shall inform the government of that Member. Any Member shall respond promptly and fully to any request by an expert review group for such information as the expert review group considers necessary and appropriate.

5. The parties to a dispute shall have access to all relevant information provided to an expert review group, unless it is of a confidential nature. Confidential information provided to the expert

review group shall not be released without formal authorization from the government, organization or person providing the information. Where such information is requested from the expert review group but release of such information by the expert review group is not authorized, a nonconfidential summary of the information will be provided by the government, organization or person supplying the information. 6. The expert review group shall submit a draft report to the parties to the dispute with a view to obtaining their comments, and taking them into account, as appropriate, in the final report, which shall also be issued to the parties to the dispute when it is submitted to the panel. The final report of the expert review group shall be advisory only.

*** 国家信息中心【国家法规数据库】提供，仅供参考 ***

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