WTO Dispute Settlement Mechanism

------An Analysis of the DSU in Positivism



by
Chengwei, Liu




Foreword
This book is a systematically selected compilation of Reports issued by various panels and the standing Appellate Body, then adopted by the DSB under the WTO jurisdiction by the end of May 2002, in category of subjects such as causes of action, initiation of panel proceedings, function of panels, rules of evidence and special rules governing anti-dumping disputes, etc., which are in most cases ruled as “preliminary issues” or “procedural objections”. However, this book is not intended to be exhaustive. It deals only with issues in dispute settlement proceedings under the WTO jurisprudence that the author considers the more important, where such rules are mainly concerned as Art. XXIII of the GATT 1994; Arts. 3, 4, 6, 7, 10, 11, 13, 21.5, 23, 26 of the DSU; Arts. 17.4, 17.5, 17.6 of the AD Agreement and Arts. 31, 32 of the Vienna Convention and so on.
Moreover, this book is intended to be descriptive and positive rather than prescriptive and theoretical. Most of the author’s analysis benefits much from the precise and logically organized reports by panels and the Appellate Body, administered by the DSB under the WTO jurisdiction. It must be made clear that these reports do not constitute binding “subsequent practice” referred to in Article 31 of the Vienna Convention on the Law of Treaties, nor do they operate as stare decisis, panels and the Appellate Body are therefore not bound by past reports. Nevertheless, it does be the case demonstrated by the DSB practice that, relevant reasoning in a particular case has been cited or followed frequently by another panel or confirmed by the Appellate Body in subsequent cases.
As ruled by the Appellate Body in Japan-Taxes on Alcoholic Beverages (DS44), “[a]dopted panel reports are an important part of the GATT acquis. They are often considered by subsequent panels. They create legitimate expectations among WTO Members, and, therefore, should be taken into account where they are relevant to any dispute”. Furthermore, a panel could nevertheless find useful guidance in the reasoning of an unadopted panel report when it considers relevant. More importantly, as stated in the letter with which the Appellate Body conveyed in the February of 1996 its Working Procedures for Appellate Review to the DSB for information, “… it is also important to ensure consistency and coherence in our decision-making, which is to the advantage of every WTO Member and the overall multilateral trading system we all share”.
There is no doubt that, in line with the pragmatic evolution of the GATT dispute settlement system, the progressive clarification of a number of issues that are not precisely regulated in the DSU and the further development of the WTO dispute settlement procedures, will gradually evolve after having been tested and progressively clarified and improved in concrete dispute settlement cases.
Considering all of this, the author complete this book with serious-minded exploring examination and great diligence, bearing in mind that it is therefore practical and of great significance for WTO Members to be informed of the valuable rulings in those reports issued by panels and the Appellate Body in particular cases.

List of Abbreviations

ATC Agreement on Textile and Clothing
BISD Basic Instruments and Selected Documents (published by GATT)
DSU Understanding on Rules and Procedures Governing
the Settlement of Disputes
DSB Dispute Settlement Body
EC The European Communities
GATS General Agreement on Trade in Services
GATT General Agreement on Tariffs and Trade
IMF International Monetary Fund
PGE Permanent Group of Experts (in the SCM Agreement)
SCM Subsidies and Countervailing Measures
SG Agreement on Safeguards
SPS Sanitary and Phytosanitary Measures
TBT Technical Barriers to Trade
TMB Textiles Monitoring Body
TRIMS Trade-related Investment Measures
TRIPS Trade-related Aspects of Intellectual Property Rights
TSB Textiles Surveillance Body
WIPO World Intellectual Property Organization
WTO World Trade Organization
Table of Contents

Chapter I Trend towards “Judicialization”:
A Rule-oriented Dispute Settlement System
Chapter II Causes of Action before the DSB:
Art. XXIII of the GATT 1994
Section One Right to Pursue a Proceeding under the WTO
I The Concept of Nullification or Impairment
II The Standing Issue before the DSB
青海省人大常委会


青海省严禁赌博的规定
青海省人大常委会


（1991年4月22日青海省第七届人民代表大会常务委员会第二十次会议通过）


第一条 为了维护社会治安秩序，惩治赌博违法犯罪行为，促进社会主义精神文明建设，根据《中华人民共和国刑法》、《中华人民共和国治安管理处罚条例》和《国务院关于劳动教养问题的决定》等法律、法规的规定，结合我省实际，制定本规定。
第二条 凡以营利为目的，以财物作赌注比输赢的行为均属赌博。赌博和为赌博提供条件的行为，都是违法或犯罪行为，必须严厉禁止。
第三条 查禁赌博活动，应坚持主管机关与各单位相结合、教育与处罚相结合的原则，区别情况，依法处理。
第四条 查禁赌博活动由公安机关负责。各机关、团体、企事业单位和城镇、乡村基层组织，应对本单位人员加强遵纪守法教育，把禁止赌博列入规章制度或乡规民约，发现赌博活动应主动制止、举报，并积极协助公安机关查处。
第五条 任何公民发现赌博活动，都有权予以制止，并向公安机关检举揭发。
第六条 对检举、揭发赌博活动或协助公安机关查禁赌博有功的单位和个人，公安机关或有关部门应当予以表彰、奖励。
第七条 有下列行为之一的，处七日以下拘留或警告，可以单处或并处一千元以下罚款：
（一）多次参加赌博，但赌注、赌资、输赢额较小的；
（二）偶尔为赌博提供场所、赌资、赌具或其他条件的；
（三）招引他人赌博，情节较轻的。
第八条 有下列行为之一的，处七日以上十日以下拘留，可以单处或并处一千元以上二千元以下罚款：
（一）参加赌博赌注、赌资、输赢额较小，但多次赌博经批评教育或处罚再犯的；
（二）多次为赌博提供场所、赌资、赌具或其他条件的；
（三）招引他人赌博，情节较重的。
第九条 有下列行为之一的，处十日以上十五日以下拘留，可以单处或并处二千元以上三千元以下罚款；或者依照规定实行劳动教养：
（一）参加赌博赌注、赌资、输赢额较大的，或经常参加赌博，输赢额累计较大的；
（二）提供赌博场所、赌资、赌具，从中牟利的；
（三）教唆、诱骗、胁迫他人赌博的。
第十条 有下列情形之一的，应依照本规定第七条、第八条、第九条的规定从重处罚：
（一）在工作单位和公共场所进行赌博的；
（二）用公款进行赌博的；
（三）携带凶器参加赌博的；
（四）国家工作人员参与赌博活动的；
（五）参与赌博，屡教不改的；
（六）流窜赌博的；
（七）刑满释放、解除劳教人员参与赌博活动的；
（八）对制止、检举、揭发赌博的人进行打击报复的。
第十一条 有下列情形之一的，依法追究刑事责任：
（一）以营利为目的，聚众赌博或者以赌博为业的；
（二）教唆、诱骗、胁迫不满十八岁的人参加赌博后果严重的。
第十二条 有下列情形之一的，可以从轻、减轻或者免予处罚：
（一）主动到公安机关或本单位保卫部门登记悔过或投案自首并保证改正的；
（二）被胁迫参加赌博，情节轻微的；
（三）检举揭发赌博活动或协助查禁赌博，有立功表现的；
（四）偶尔参与赌博，情节较轻，保证不再重犯的。
对免予处罚的，由本人所在单位、基层组织或者公安机关给予批评教育。
第十三条 机关、团体、企事业单位的负责人对本单位的赌博活动放任不管或隐瞒不报，情节较轻的，由公安机关给予个人治安警告或五百元以内的罚款；情节严重的，公安机关处理后，转其主管部门给予政纪处分。
第十四条 对制止、检举赌博行为的人打击报复的，阻碍公安保卫人员执行查禁赌博公务的，冒充公安、司法人员以查禁赌博为名劫掠赌资的，分别按《中华人民共和国治安管理处罚条例》第十七条、第十九条、第二十三条的规定予以处罚。构成犯罪的，依法追究刑事责任。
第十五条 机关、团体、企事业单位工作人员因参加赌博受到治安行政处罚的，所在单位或主管部门应给予行政处分。

城镇、农村基层组织负责人因参加赌博受到治安行政处罚的，应给予相应的处分。
第十六条 赌资、赌具以及赌博所得财物，一律没收，赌债一律废除。
第十七条 公安机关或公安人员没收赌博财物或罚款时，应当给被没收人或被罚款人开具收据。没收的财物和罚款按规定上交地方财政。
第十八条 公安保卫人员在查禁赌博工作中，利用职务之便徇私枉法、敲诈勒索或侵吞没收的赌博财物和罚款的，应从严给予行政处分，并没收其非法所得；构成犯罪的，依法追究刑事责任。
第十九条 本规定处罚的裁决和执行程序依照《中华人民共和国治安管理处罚条例》第四章的有关规定执行。
第二十条 当事人对公安机关的处罚不服的，可按有关法律、法规规定的程序和时限，向上一级公安机关申请复议，不服上一级公安机关复议裁决的，可以向人民法院提起诉讼。
第二十一条 本规定应用中的具体问题，由青海省公安厅负责解释。
第二十二条 本规定自1991年5月1日起施行。



1991年4月22日