SUBJECT INDEX

A

Index:  A  B  C  D  E  F  G  H  I  J  K  L  M  N  O  P  Q  R  S  T  U  V  W  X, Y, Z

The texts reproduced here do not have the legal standing of the original documents which are entrusted and kept at the WTO Secretariat in Geneva.

AB procedure

see also additional procedures (WP 16(1)); Working Procedures (Appellate Review) (DSU 17.9); Working Procedures (Appellate Review) (DSU 17.9), Rules

appellant’s submission, requirements (WP 21(2)) W.2.7A

translation, status W.2.7A.2

appellee’s submission (WP 22), conditional request to complete analysis W.2.7B

circulation of AB reports: see AB reports, timing of circulation (DSU 17.5/WP 26), modification

collegiality (WP 4) B.4.8

dates and deadlines

extension of deadline for submissions of participants/third participants (WP 16(2)) W.2.10.1

modification (WP 16(2)) W.2.6.2

oral hearing W.2.11.1

decision-making (WP 3)

concurring opinion (DSU 17.11/WP 3(2)) W.2.3

separate opinion (WP 3(2)/DSU 17.11) W.2.3A

documents (WP 18)

correction of clerical errors in submissions W.2.6A.2

filing time-limits/importance of compliance with (WP 18(1)) W.2.6A.1

service on participants, third parties and third participants (WP 18(2)) B.4.8

“fairness and orderly procedure” requirement (WP 16(1)) W.2.6A.1.2 W.2.6A.1.3

multiple appeals (WP 23): see multiple appeals (WP 23)

notice of appeal (WP 20(2)): see notice of appeal, requirements (WP 20(2))

replacement of AB Member on division (WP 13) W.2.5 W.2.6.1.8

third participants (DSU 17.4/WP 24): see third participants (AB proceedings (DSU 17.4/WP 24))

transition (WP 15) W.2.5A

withdrawal of appeal (WP 30(1)) W.2.13.2

conditional appeal W.2.13.2.2

re-filing of notice of appeal W.2.13.1

conditioned on right to re-file notice of appeal in accordance with (WP 20) W.2.13.1

good faith W.2.13.1.4–6

timing W.2.0

unconditional nature of right W.2.13.1.3–5
 

AB reports

see also decision-making/exclusive authority of Ministerial Conference and General Council to adopt WTO/MTA interpretations (WTO IX:2); panel reports

adoption by DSB (DSU 17.14) R.4.3.1

as critical date for determining prompt compliance (DSU 21.3(c)) ARB.5.2.1–2

dependence on reasoning and detailed findings of AB B.4.7

as final resolution of dispute P.4A.5

parties’ obligation to accept R.4.3.18 S.7.2A.8 W.2.3.3 W.2.3.4

prompt settlement of disputes (DSU 3.3) and P.4A.5

legal effect/status

limitation of binding effect to particular dispute between the parties C.3.1.3 C.4.36 E.3.1.12 I.3.9A.3 R.4.3.17 S.8.1 S.8.5 W.4.1A.1

panel’s reliance on S.8

as part of the GATT/WTO acquis B.4.7 B.4.8 I.3.3.12 S.8.1

as precedent C.3.1.3–4 C.4.36 E.3.1.12 R.4.3.17 S.7.2.20 S.8.4 S.8.5 W.4.1A.1

separate reports for each appealed panel report/complainant in consolidated proceedings W.2.6.1.14 W.2.6.1.17

timing of circulation (DSU 17.5/WP 26), modification W.2.10.2

agreement of parties, relevance W.2.10.2.8

death of member of division hearing appeal W.2.10.2.2

exceptional complexity W.2.10.2.1 W.2.10.2.5–8 W.2.10.2.11 W.2.10.2.12 W.2.10.2.13 W.2.10.2.14

exceptional workload W.2.10.2.3–4 W.2.10.2.7 W.2.10.2.10 W.2.10.2.11 W.2.10.2.13 W.2.10.2.14

reasons for, obligation to provide W.2.10.2.9
 

AB/panel recommendations for bringing inconsistent measure into conformity (DSU 19.1) I.0 R.4.1.25

in absence of violation of WTO obligations I.0.4

concluding explanations distinguished I.0.8

determination of status as “measure at issue” distinguished R.2.3.24

expired measures I.0.1 I.0.5 I.0.14 P.5.3.1.3 R.2.3.24 T.6.3.15–16 T.6.3.17

SCM 7.8 and I.0.1 S.2.19C.1

limitation to measures within panel’s terms of reference I.0.11–13 T.6.3.28

Member’s right to choose means of compliance I.0.5 ARB.3.2.1
 

AB/panel’s right to make suggestions for implementation of recommendations (DSU 19.1)

as clarification of report P.4A.19 ARB.3.2.1

concluding explanations distinguished I.0.8

discretionary nature of right I.0.2 I.0.3 I.0.6–10 P.1.1.8 S.7.1.12

legal status/binding effect of suggestions I.0.5 I.0.9

panel’s SCM 4.7 obligations distinguished I.0.3

prompt and satisfactory settlement of disputes (DSU 3.3) and P.4A.19
 

abandonment of action: see AB procedure, withdrawal of appeal (WP 30(1)); notice of appeal, requirements (WP 20(2)), amendment
 

abuse of discretion (panel), failure to make objective assessment (DSU 11) C.3.1.3 E.3.1.2 S.8.5
 

abuse of rights/abus de droit, definition P.3.1.1
 

accession protocol (China) A.0

causality test/methodology for determining (Art. 16.4) A.3.12–21

analysis of competition in OEM market A.3.20

analysis of conditions of competition A.3.17–18

causality standards in other WTO agreements (“genuine and substantial relationship”) distinguished A.3.13

correlation analysis between trends in imports and injury factors A.3.17–18 A.3.21–2

non-attribution analysis A.3.19 A.3.23

objective criteria A.3.11 A.3.15

panel’s discretion/ad hoc basis A.3.15 A.3.18–19 A.3.19

General Exceptions (GATT XX), applicability A.0.1.11 A.0.2.4–10

as integral part of WTO Agreement A.1.1 A.1.8 A.1.9 A.0.2.5

interpretation [in accordance with VCLT] A.1.1 A.1.8 A.1.9

context (VCLT 31(2))

article as a whole A.3.13

“other WTO agreements” A.2.3

grammar, respect for A.3.2

ordinary meaning

“rapidly increasing” A.3.2 A.3.8–9

“significant” A.3.10

preparatory work (VCLT 32) (Accession Working Party Report) I.3.12.5

same or closely related phrases in different agreements, SG 2.1/accession protocol (China), Art. 16.4 A.3.4

market disruption requirements (Art. 16.4)

“are being imported” A.3.4

“either absolutely or relatively” A.3.3–6 A.3.8–9

“increasing rapidly” A.2.3 A.3.2–9

material injury or threat of A.3.2

“serious injury” (SG 2.1) distinguished A.3.13

“recent past” test A.3.6–7

“a significant cause” A.2.3 A.3.2 A.3.10

see also causality test/methodology for determining (Art. 16.4) above

“so as to be” A.3.11

“in such increased quantities” A.3.4 A.3.8

NME status of China A.1.6–7

object and purpose A.3.5 A.3.14 I.3.6.3

products subject to export duty (Annex 6) including Note

elimination of export charges unless specifically provided for in Annex 6 or in conformity with GATT VIII (Art. 11.3) A.1.10

“maximum levels which will not be exceeded” A.1.10

right to increase applied tariffs

consultation “with a view to finding a mutually acceptable solution” A.1.10

“under exceptional circumstances” A.1.10

unlisted products A.1.10

right to trade (Art. 5), “without prejudice to China’s right to regulate trade [consistently] with the WTO Agreement” (Art. 5.1) A.0.2.1 A.0.2.5 A.0.2.9

special rules/derogations for determining price comparability under GATT VI/AD (Art. 15(a)) A.1.3–7

burden of proof A.1.3 A.1.7

individual margins of dumping (AD 6.10), relevance A.1.6

limitation to domestic prices and costs/normal value A.1.5–7

termination of Art. 15(a) (Art. 15(d)) A.1.4

taxes and charges on imports and exports (Art. 11)

“administered in conformity with GATT” (Art. 11.2) A.0.2.6

“applied in conformity with [GATT VIII]” (Art. 11.3), relevance A.0.2.5 A.0.2.8

“shall ensure that customs fees or charges … shall be in conformity with GATT” (Art. 11.1) A.0.2.6

trading rights commitments

enforceability A.1.1

“goods” and “services”, distinguishability A.1.2 A.2.1 T.8A.1.1

transitional product-specific safeguard mechanism (Art. 16) A.3

see also market disruption requirements (Art. 16.4) above

general provisions (Art. 16.1) A.3.1

provisions in other WTO agreements distinguished A.2.3
 

acquis (GATT/WTO) (WTO XVI:1) A.3.55.3 A.3.62.2 A.3.62.5 C.3.1.3 I.3.12 J.2.1.9 L.1.1 M.1.1–2 S.8.1 S.8.5 W.4.2

AB/panel reports as part of B.4.7 B.4.8 I.3.3.10 S.8.1
 

act of State: see State responsibility
 

actionable subsidies (SCM Part III)

see also adverse effects (SCM 5.1); withdrawal of subsidy/removal of adverse effects (SCM 7.8)

non-actionable subsidy (SCM Part IV) distinguished S.2.2.2

prohibited subsidy (SCM Part II) distinguished S.2.19A.4
 

additional procedures (WP 16(1))

see also amicus curiae briefs; Additional Procedure (EC – Asbestos); business confidential information (BCI); special or additional rules and procedures for dispute settlement (DSU 1.2 and Appendix 2)

ad hoc nature of decision/evolving nature of AB approach to B.4.8

additional procedures adopted by panel

adoption for AB proceedings, absence of request by parties W.2.6.1.15

adoption for AB proceedings, refusal of request by parties B.4.22

additional protection measures pending decision on request for B.4.6 B.4.13 B.4.15 W.2.9A.1

“appropriate procedure” (requirements/criteria) B.4.7–8

AB’s obligation to ensure proper adjudication of dispute (DSU 17) B.4.7 B.4.8

practical and unimpeded access to information B.4.8

collegiality of AB (WP 4) B.4.8

compliance with time-limits B.4.5 W.2.6.1.11

consistency with DSU, other covered agreements B.4.7 B.4.16

due process considerations B.4.7

importance of proper consideration during panel proceedings B.4.8 B.4.16

“preservation of rights and obligations of Members” (DSU 3.2) B.4.7 B.4.8

proportionality between risks of disclosure and requested measures B.4.7 B.4.16

third party rights B.4.7 B.4.8

burden of proof B.4.7 B.4.16

competence to determine need for

AB/panel responsibility B.4.8 B.4.16

arrangements agreed by parties B.4.8 B.4.16

primacy of DSU 17.1 B.4.7

consolidation of proceedings W.2.6.1.6 W.2.6.1.13 W.2.11.2.2

joint oral hearing W.2.11.2

separate AB reports for each appealed panel proceedings/complainant W.2.6.1.14 W.2.6.1.17 W.2.6.1.18

third party participation in W.2.6.1.12

desirability of similar treatment in similar situations B.4.17

failure of notice of appeal to conform with requirements W.2.6.1.9–10

“in the interests of fair and orderly procedure” W.2.6A.1.2 W.2.6A.1.3

material considered by AB B.4.8

modification of Working Procedures time-limits for submissions B.4.5 B.4.19 W.2.6.1.16

need for B.4.1–3 B.4.5–22

open oral hearing (WP 27) W.2.11.3.1 W.2.11.3.15–16

parties’ proposals (Brazil – Aircraft; Canada – Aircraft) W.2.6.1.2–5

AB’s decision not to agree to W.2.6.1.5

supporting material W.2.6.1.4

third participant declarations of non-disclosure W.2.6.1.3

third participant designation of approved persons W.2.6.1.3

parties’ proposals (EC and certain member States – Large Civil Aircraft) B.4.8

postponement of decision on pending full presentation of issues B.4.8 B.4.16

parties’ proposals (US – Large Civil Aircraft (2nd complaint)) B.4.13 B.4.14 B.4.17

third participants’ support for B.4.14

re-hearing following death of member of division hearing appeal W.2.6.1.8

third parties/third participants, arrangements to protect interests

access to HSBI B.4.8

arrangements for access to confidential information B.4.8

number of approved representatives B.4.8 B.4.17

participation in consolidated proceedings W.2.6.1.12

transmission of complete record of panel proceedings to AB (WP 25(1)) B.4.13
 

administrative instruments, right to challenge A.3.55.3 A.3.62.2 M.1.9 P.5.3.1.1
 

administrative review of countervailing measures: see sunset review (SCM 21.3)
 

administrative, selling and general costs: see determination of dumping (AD 2), calculation of administrative, selling and general costs and profits (AD 2.2.2)
 

admission of evidence: see evidence (admissibility and evaluation in panel proceedings) (DSU 12.1 and Appendix 3)
 

adverse effects (SCM 5.1)

see also actionable subsidies (SCM Part III); price suppression as effect of subsidy (SCM 6.3(c)); serious prejudice (SCM 6); withdrawal of subsidy/removal of adverse effects (SCM 7.8)

temporal scope/continuing measure vs. grant of subsidy P.3.4.8 S.2.19D T.5.1.5 T.5.1.7
 

adverse inferences: see inferences from party’s refusal to provide information under DSU 13; serious prejudice (SCM Annex V information procedures), non-cooperation/adverse inferences
 

AG Agreement

see also Aggregate Measurement of Support (AMS) (AG 1(a)/Annex 3); domestic support commitments (AG 6); domestic support measures, exemption from GATT XVI and SCM Part III measures (AG 13) (“due restraint” (peace clause)); payments on export of agricultural product financed by virtue of governmental action (AG 9.1(c))

export competition commitments (AG 8), compliance with both AG and Schedule of Commitments, need for A.1.14B.1–2 T.1.4

GATT 1994 (AG 21.1) A.1.37 A.1.38.2 A.1.38.15 C.4.27

dispute settlement A.1.37.2

market access concessions and commitments (AG 4.1) A.1.8.2–3 A.1.37.2

see also market access concessions and commitments (AG 4.1)

primacy of AG A.1.37.1 A.1.37.4 A.1.38.2 T.1.4.1

specific provisions in AG dealing with same matter, need for A.1.38.2–9

interpretation

conformity with other articles A.1.14.3

context (VCLT 31(2))

article as a whole (Annex 2(6)) A.1.34D.2.6

SCM Agreement A.1.20.7 A.1.38.12 S.2.12.7

surrounding language A.1.14.3

treaty as a whole including annexes A.1.34C.5.1

effectiveness principle (ut res magis valeat quam pereat/effet utile) A.1.10.2 A.1.14.3 A.1.14.4

object and purpose

consistency with object and purpose of Article 10 A.1.33A.4

preamble as evidence of A.1.5A.2 A.1.34C.2.5–6

preparatory work (VCLT 32), Modalities Paper A.1.37.2 A.1.37A

same or closely related phrases in different agreements A.1.4.2 A.1.32A.2

same or closely related phrases in same agreement A.1.5A.1 A.1.34D.3.1–2

text/plain language A.1.14B.1 A.1.17.3

wording and grammar, respect for A.1.9.1

market access (AG 4): see market access concessions and commitments (AG 4.1)

object and purpose

agricultural reform A.1.8.1

prevention of circumvention of export subsidy commitments (AG 10) A.1.33A.5

substantial progressive reductions in agricultural support and protection A.1.5A.3–4

Schedules of Commitments (AG 3) [and AG Annex 3], incorporation into AG 3 and 6 R.2.2.11

conformity with AG, need for A.1.14B.1–2 T.1.4.1

as integral part of the GATT 1994 (AG 3.1) A.1.4A.1 A.1.37.4

primacy of AG (AG 21) A.1.6.3–4 T.1.4.1

SCM Agreement

see also subsidies, prohibited (SCM Part II), “contingent upon export performance” (SCM 3.1(a)); subsidies, prohibited (SCM Part II), “except as provided in the Agreement on Agriculture” (SCM 3.1(a))

AG 6 and SCM 3.1(b) distinguished A.1.14A.2–3 A.1.38.6 I.3.7.10 S.2.14A.1–3

primacy of AG (SCM 3.1) A.1.38.11–13

AG 13(c)(ii) A.1.38.1

special safeguards (AG 5): see special safeguards (AG 5)

specific action against dumping (AD 18.1): see specific action against dumping (AD 18.1)
 

Aggregate Measurement of Support (AMS) (AG 1(a)/Annex 3)A.1.1

Base Total AMS/commitment levels (AG 1(a)/Annex 3), absolute nature A.1.1.1

“constituent data and methodology”, absence for beef A.1.2.2

import substitution subsidies (AG Annex 3(7)/SCM 3.1(b)) A.1.34E.3–5 A.1.38.8 S.2.1.8 S.2.14A

market price support (AG Annex 3(8)), “production eligible” A.1.35.1

“provisions of Annex 3”/“constituent data and methodology” (AG 1(a)(ii)), priority A.1.2.2
 

Agreement on Agriculture: see AG Agreement
 

Agreement on Implementation of Article VI of the GATT 1994: see Anti-Dumping Agreement (AD)/GATT 1994 VI relationship
 

Agreement on Safeguards: see determination of serious injury or threat thereof (SG 4) (requirements); investigation of conditions for safeguard measures, requirements (SG 3.1/SG 4.2(c)); safeguard measures (SG/GATT XIX)
 

amicus curiae briefs A.2

see also standing/right to bring claim (DSU 3.7); third party rights

Additional Procedure (EC – Asbestos) A.2.3 W.2.2.1 W.2.6.1.7

adoption under AB/WP 16(1) A.2.3.1–2 W.2.6.1.7

failure to comply with Additional Procedure as ground for rejection A.2.3.5

time-limits A.2.3.4

request for views A.2.3.1 W.2.6.1.7

text A.2.3.3

NGO/association/private individual briefs A.2.1

arguments not addressed or adopted by participants/third participants A.2.1.13

discretionary power of panel to accept/reject A.2.1.2–16

conditions, panel’s right to attach A.2.1.4

consultation with participants A.2.1.4 A.2.1.16–21

as integral part of party’s submission A.2.1.1 A.2.1.11

party’s responsibility for A.2.1.1 A.2.1.11

WHO offer of technical assistance S.3.1.12

WTO Member briefs A.2.2

discretionary power of AB to accept/reject A.2.2.1–7

interference with “fair, prompt and effective resolution of trade disputes” A.2.2.6

rights as third party (DSU 10.2 and 17.4), relevance A.2.2.4
 

AMS: see Aggregate Measurement of Support (AMS) (AG 1(a)/Annex 3)
 

anti-circumvention action: see export subsidy commitments, prevention of circumvention (AG 10.1)
 

Anti-Dumping Agreement (AD)/GATT 1994 VI relationship A.3.64

see also conformity of domestic laws, regulations and administrative procedures with AD provisions, obligation to ensure (AD 18.4); consultation and dispute settlement (AD 17); determination of dumping (AD 2); determination of injury (AD 3/SCM 15); dumping/margin of dumping, definition/constituent elements (AD 2.1/GATT VI:1); duration and review of AD duties and price undertakings/CV measures (AD 11/SCM 21); evidentiary rules (AD 6/SCM 12); imposition and collection of AD duties (AD); investigation of dumping (AD 5)/subsidy (SCM 11); judicial review (AD 13); provisional measures (AD 7); public notice and explanation of determinations (AD 12/SCM 22); specific action against dumping (AD 18.1) or subsidy (SCM 32.1); standard/scope of review (AB) (AD 17.6)

AD Agreement as agreement on implementation of the GATT VI A.3.64.2

AD Agreement and GATT 1994 as integral part of WTO Agreement A.3.64.1

applicability of the GATT VI as implying applicability of AD Agreement A.3.64.2

as inseparable package of rights A.3.38A.1 A.3.66.3

scope of the GATT VI as clarified by AD 18.1 (specific action against dumping) A.3.65.3–5

Tokyo Round Anti-Dumping Code, status I.3.3.11 I.3.10.11 I.3.10.33 I.3.12.2 S.2.27.13 S.2.41.2 T.5.1.9
 

appeal: see conditional appeal; multiple appeals (WP 23); notice of appeal, requirements (WP 20(2))
 

appellate review (DSU 17): see AB reports; competence (AB) (DSU 17.6); notice of appeal, requirements (WP 20(2)); Working Procedures (Appellate Review) (DSU 17.9)
 

applicable law

see also interpretation of covered agreements, applicable law; municipal law; panel procedures (DSU 12.1 and Appendix 3), applicable law

determination of dumping and calculation of dumping margins A.3.65.8

determination of serious injury or threat (SG 4) M.5.6 S.1.4.1 S.1.20.1–2

laws, regulations and administrative procedures (AD 18.4), determination of status as A.3.62.3 L.1

trademarks P.2.1.1 P.2.2.2
 

appropriate level of protection: see SPS measures, appropriate level of protection (SPS 5.5–5.6)
 

appropriateness: see proportionality
 

arguments: see claims and arguments; legal basis of claim (AD 17); legal basis of claim (DSU 6.2); notice of appeal, requirements (WP 20(2)); standard of review (panels) (DSU 11), “objective assessment of matter before it”, obligation to consider all arguments/address in report; standing/right to bring claim (DSU 3.7); third party rights
 

Article 21.5 proceedings: see review of implementation of DSB recommendations and rulings (DSU 21.5)
 

assumptions: see order of analysis, assumptions, panel’s right to use
 

Abbreviations used on this page