SUBJECT INDEX

S

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.

safeguard measures (SG/GATT XIX)

see also determination of serious injury or threat thereof (SG 4) (requirements); investigation of conditions for safeguard measures, requirements (SG 3.1/SG 4.2(c))

application of measures “to the extent necessary” (SG 5.1) S.1.34

causal link (SG 4.2(b)) S.1.36

extent of injury as test S.1.34.3

imports, limitation to S.1.35.4

justification, need for S.1.35

in case of quantitative restrictions (SG 5.1, second sentence) S.1.35.1 S.1.36.1

compliance with SG obligations as S.1.36.1

publication of analysis of case under investigation (SG 4(2)(c)) S.1.36.1

limitation to share of injury caused by increased imports S.1.35.3

right to apply measure distinguished S.1.35.2

“serious injury” (SG 5.1)/“serious injury” (SG 4.2(a)) distinguished S.1.35.2

characteristics

as balance between appropriate and legitimate right to protect domestic industry and obligation to maintain integrity of trade concessions R.1.1.1 S.1.38.2

exceptional nature of remedy S.1.1.1–2 S.1.35.3 S.1.45.1–2

as integral part of WTO Agreement (WTO II:2) G.2.1.3 S.1.44.3–4

relationship between SG Agreement and GATT XIX S.1.44

continuing applicability of the GATT XIX S.1.44.2–4

rules for application of the GATT XIX (SG 1) S.1.44.2

conditions (SG 2)

see also accession protocol (China), transitional product-specific safeguard mechanism (Art. 16)

causation (SG 2.1)

“imports”/“conditions” S.1.11.1

relevant factors (SG 4.2(a))/“under such conditions” (SG 2.1), equivalence S.1.12.1

exceptional conditions, need for S.1.45.2

existence of all requirements S.1.1.2

“is being imported” (SG 2.1), as sudden and recent increase A.3.4 A.3.7 S.1.6.1–2 S.1.8.1

“like or directly competitive product” (SG 2.1) S.1.3

specific product, need for S.1.3.1 S.1.49.1–3

parallelism between SG 2.1 and SG 2.2 S.1.13.1

prima facie failure to observe S.1.13.2.1

“product being imported” S.1.13.1.1–3

as pertinent issues of fact and law (SG 3.1) S.1.18.2 S.1.21.1–3 S.1.33.1

separate determinations S.1.10.1–4 S.1.15

“such increased quantities”

correlation analysis between trends in imports and injury factors S.1.7 S.1.29.1

decrease in import quantities at end of investigation period, relevance S.1.8.2–3 S.1.28.2

“rate and amount of the increase … in absolute and relative terms” (SG 4.2(a)) S.1.7.1–4 S.1.29.1

“relative to domestic production” S.1.9.1

“as a result of unforeseen developments” (GATT XIX:1(a)) S.1.6.1–3 S.1.21.2 S.1.50

burden of proof S.1.22.3

demonstration, need for S.1.50.3–5

as pertinent issue of fact and law S.1.50.1–5

“as a result of” S.1.48

“such product” S.1.49

sufficient to cause serious injury or threat S.1.6.1–2 S.1.30.1–2

causal link, need to demonstrate S.1.31.1 S.1.31.7

“material injury” (accession protocol (China), Art. 16.4) distinguished A.3.13

“serious injury” and “threat”, whether mutually exclusive alternatives S.1.10

territorial application S.1.5

customs unions and free trade areas (GATT XXIV) exception R.1.6

customs unions S.1.16

free trade areas S.1.17

determination of serious injury: see determination of serious injury or threat thereof (SG 4) (requirements)

developing countries (SG 9.1): see developing countries (exemption from safeguard measures (SG 9.1))

investigation of conditions for: see investigation of conditions for safeguard measures, requirements (SG 3.1/SG 4.2(c))

level of concessions (SG 8)

compensation for adverse effects (SG 8.1) S.1.38.2 S.1.42.4

“equivalent” S.1.38

adequate opportunity for prior consultations (SG 12.3) S.1.38.1 S.1.42.3

notification and consultation (SG 12)

adequate opportunity for prior consultations (SG 12.3) S.1.42

good faith S.1.42.4

level of concessions (SG 8.1) S.1.38.1

meaningful exchange, need for S.1.41.1 S.1.42.3

time for S.1.42.3

of all pertinent information (SG 12.2) S.1.41

all factors listed in SG 12.2 and 4.2(a), need for S.1.41.2

date of introduction of measure S.1.41.1

precise description of proposed measure S.1.41.1

amendments to measure subsequent to consultation, effect S.1.42.2

“immediately” (SG 12.1, chapeau) S.1.40 S.1.41.3

taking of decision as critical factor (SG 12.3) S.1.40.3

timing (SG 12.1)/content (SG 12.2) distinguished S.1.41.3

publication obligations (SG 4.2(c)) S.1.33

interpretation by reference to SG 3 (investigation) C.2.4 S.1.33.1

unforeseen developments, need to include S.1.33.1 S.1.46.1

standard/scope of review: see standard/scope of review (safeguard measures (SG/GATT XIX))
 

sampling (AD 6.10): see individual margins of dumping “as a rule” (AD 6.10), derogations from the rule/alternatives, impracticality of examination of all producers/exporters as justification
 

sanitary and phytosanitary measures, appropriate level of protection (SPS 5.5-5.6): see SPS measures, appropriate level of protection (SPS 5.5-5.6)
 

Schedules of Concessions (GATT II) T.1.1

see also AG Agreement, Schedules of Commitments (AG 3) [and AG Annex 3], incorporation into AG 3 and 6; Schedules of Specific Commitments (GATS XX), interpretation

“charge equivalent to … imposed consistently with … Article III” (GATT II(2)(a)) T.1.1.7–8

diminishment of obligations, exclusion T.1.3.1–2

temporal limitations, whether T.1.3.4

as integral part of the GATT 1994 (WTO II:2) A.1.4A.1 B.2.1 I.3.5.4–5 I.3.9.8 I.3.10.13 T.1.2.1–2 T.1.2.12 T.1.3.1 T.1.3.3

interpretation and clarification T.1.2

applicable law A.1.4A.1 I.3.5.4–5 T.1.2.1 T.1.2.12–13

circumstances of conclusion (VCLT 32) I.3.10.18–27 T.1.2.3 T.1.2.10

see also interpretation of covered agreements, circumstances of conclusion of treaty (VCLT 32)

Footnotes, status A.1.37.4 T.1.4.1

verification of tariff schedules T.1.2.7

World Customs Organization decisions T.1.2.2

modification (GATT XXVIII) T.1.5

offsetting between tariffs on same product below and above bound rate T.1.1.4

ordinary customs duties in excess of those provided for in Schedule (GATT II:1(b)) T.1.1.1–3 T.1.1.5

AD duties distinguished A.3.64.4

duty different in type T.1.1.2

GATT II:2(a), interrelationship A.3.64.3 B.3.3.21 N.1.1A.1 T.1.1.5 T.1.1.7–9 T.1.1A.1

GATT III:2, interrelationship H.1.9–11 N.1.1A T.1.1A.1–7

inherently discriminatory, whether T.1.1.6

“ordinary customs duties” T.1.1A.3 T.1.2.15

“terms, conditions or qualifications” T.1.3.4

zero rates, applicability to T.1.1.4 T.1.2.8

relationship between schedules and GATT 1994 T.1.3

“subject to” (GATT II:1(b)) T.1.1.3

“terms, conditions or qualifications … in Schedule” T.1.1.3
 

Schedules of Specific Commitments (GATS XX), interpretation G.1.2.1

applicable law (customary rules of interpretation of public international law [as codified in the VCLT]) G.1.2.1.1 G.1.2.1.17 I.3.10.13

context (VCLT 31(2))

1993 Scheduling Guidelines G.1.2.2.12 I.3.10.15–16

similarity of language G.1.2.2.12 I.3.10.15–16

any agreement made between the parties (VCLT 31(2)(a)) or accepted by parties (VCLT 31(2)(b)), CPC/Services Sectoral Classification List (W/120), whether G.1.2.2 I.3.3.4–5

different elements of “context” leading to different conclusions G.1.3.3.2–3 I.3.3.2–3 I.3.3.9

other Members’ Schedules G.1.2.2.6 G.1.2.2.8

other parts of same schedule G.1.2.1.7–8

other provisions of GATS G.1.2.1.10

progressive liberalization principle G.1.2.1.14

Services Sectoral Classification List (W/120) G.1.2.2.3 G.1.2.2.5 G.1.2.2.11 I.3.3.4–5

structure of GATS G.1.1.9 G.1.2.1.14 G.1.2.2.4

as integral part of GATS (GATS XX:3) G.1.2.1.1 I.3.10.13

as multilateral treaties G.1.2.1.12

object and purpose (GATS, Preamble) G.1.2.1.13

preparatory work (VCLT 32), W/120 and 1993 Scheduling Guidelines as G.1.2.2.10–11 G.1.2.2.12 G.1.3.4.6 I.3.10.14–16

“sectors”

“audiovisual” G.1.2.1.4–17

avoidance of ambiguity, need for G.1.2.2.12 I.3.10.15

common format and terminology, importance G.1.2.2.12 I.3.10.15

DSU 22.3(f) compared G.1.2.2.4–5

mutual exclusion G.1.2.2.4

“subsector” G.1.2.2.5

subsequent practice (VCLT 31(3)(b)), 2001 Guidelines, whether G.1.2.2.9 I.3.9.6

supplementary means (VCLT 32), W/120 and 1993 Scheduling Guidelines as G.1.2.2.10–11 G.1.3.4.6 I.3.10.14
 

scientific evidence, sufficiency (SPS 2.2) S.6.3

see also harmonization of measures (SPS 3); information or technical advice, panel’s right to seek (SPS 11.2); risk assessment, need for (SPS 5.1–5.3 and Annex A(4))

“on the basis of available pertinent information” S.6.20A.1

precautionary principle (SPS 5.7) S.6.19 S.6.3.6 S.6.19

provisional adoption of measures in case of insufficiency (SPS 5.7) S.6.3.6 S.6.19 S.6.20

as alternative to SPS 5.1, need to justify B.3.5.2 S.6.3.8

burden of proof B.3.5.2

evidence of sufficiency S.6.20.5

existence of international standard S.6.20.5 S.6.20.7

new evidence S.6.20.5–6 S.6.20.8

“insufficiency” S.6.20.1–9

obligation to seek to obtain additional information S.6.20.4 S.6.21

developing countries S.6.19.4 n. 1398 S.6.21.2 n. 1398

for more objective assessment of risk S.6.21.1

“relevant” S.6.20.1

requirements

additional information necessary for a more objective assessment (SPS 5.7(3)) S.6.19.4

best efforts S.6.19.4

cumulative nature S.6.18.1–3

“within a reasonable period of time” (SPS 5.7(4)) S.6.19.4

review within a “reasonable” period of time S.6.22

uncertainty of scientific evidence distinguished S.6.20.9

rational or objective relationship between SPS measure and scientific evidence, need for S.6.3.5 S.6.3.9 S.6.13.10–11 S.6.14.2–4 S.7.8.5 S.7.8.6 S.7.8.7

ad hoc determination S.6.3.5 S.6.3.7

proportionality S.6.3.7

“sufficiency”, as relative concept S.6.3.4
 

SCM 6.3(b) and SCM 6.3(c) distinguished, price suppression as effect of subsidy (SCM 6.3(c)), relevant market S.2.19B.1.16
 

SCM Agreement

adverse effects (SCM 5): see price suppression as effect of subsidy (SCM 6.3(c)); serious prejudice (SCM 6)

consultations: see consultations (DSU 4)

countervailing duties: see countervailing duties (SCM Part V)

determination of injury: see determination of injury (AD 3/SCM 15)

developing country Members and: see developing countries (special and differential treatment (SCM 27))

interpretation

context

article as a whole (SCM 1.1(a)) S.2.3A.1 S.2.3A.3–5

article as a whole (SCM 6.3) S.2.19B.1.9

article as a whole (SCM 19) S.2.27.7

context (VCLT 31(2)), SCM Part III as a whole S.2.40A.1 S.2.40A.4

narrow/broad interpretation S.2.3A.5

ordinary meaning O.2.9

same or closely related phrases in same agreement A.1.5A.1 S.2.19B.6.3

structure of agreement S.2.3.5 S.2.3A.1 S.2.14.11

text/plain language S.2.19B.5.17 S.2.40A.14

title, (VCLT 31(2)), SCM Part III as a whole S.2.40A.1 S.2.40A.4

treaty as a whole S.2.27.9

investigation (AD 5): see investigation of dumping (AD 5)/subsidy (SCM 11)

investigations and reviews of existing measures, initiated … on or after date of entry into force of WTO Agreement (SCM 32.3) S.2.41.2

object and purpose S.2.1

balanced framework of rights and obligations relating to countervailing duties S.2.1.1–4 S.2.1.6–8 S.2.3A.5 S.2.8.7 S.2.27.11

prohibited subsidies: see export subsidy, prohibition (AG 3.3); subsidies, prohibited (SCM Part II)

relationship with other agreements: see AG Agreement, SCM Agreement and; specific action against dumping (AD 18.1) or subsidy (SCM 32.1)

remedies: see withdrawal of subsidy/removal of adverse effects (SCM 7.8)

retroactivity (VCLT 28) T.5.1

serious prejudice (SCM 5(c)): see serious prejudice (SCM 6)

specific action against subsidy (SCM 32.1): see specific action against dumping (AD 18.1) or subsidy (SCM 32.1)

standard of review (AD 17.6), applicability A.3.63.1

subsidy, definition (SCM 1.1): see subsidy, definition (SCM 1); subsidy, definition (SCM 1), conferral of benefit (SCM 1.1(b))

sunset review (SCM 21.3): see sunset review (SCM 21.3)

“withdrawal of subsidy without delay” (SCM 4.7): see “withdrawal of subsidy without delay” (SCM 4.7)
 

scope of appellate review: see competence (AB)
 

security (bond or cash deposit) (GATT VI:2 and VI:3: Ad Note): see imposition and collection of AD duties (AD 9), security (bond or cash deposit) (GATT VI:2 and VI:3: Ad Note)
 

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

serious damage or actual threat (ATC): see transitional safeguards (ATC 6)
 

serious injury: see determination of serious injury or threat thereof (SG 4) (requirements); safeguard measures (SG/GATT XIX), conditions (SG 2); serious prejudice (SCM 6); transitional safeguards (ATC 6), serious damage or actual threat thereof (ATC 6(2)), Member’s determination of
 

serious prejudice (SCM 6) S.2.19B.9.1

burden of proof S.2.19A.1

displacement of or impediment to exports (SCM 6.3(a))

“over an appropriately representative period” S.2.19B.4

overlap between displacement and impediment, possibility of I.3.7.12

displacement/impedance of imports/exports (SCM 6.3(a)/SCM 6.2(b)) S.2.19B.2

EEC–US Agreement on the application of the GATT Agreement on Trade in Civil Aircraft (1992), relevance S.2.19A.3

evidence of

Annex V procedures as aid to handling evidential difficulties S.2.40A.4

export-contingent nature of subsidy (SCM Part II) S.2.19A.4

information submitted to or obtained by panel including information submitted under SCM Annex V S.2.19B.6.3–5 S.2.40A.4 S.2.40A.7

price trends, relevance S.2.19B.5 S.2.19B.4.4 S.2.19B.4.12–14 S.2.19B.5.22

interpretation of SCM 6.3 as a whole S.2.19B.1.9

panel’s obligation to make independent assessment of party’s claims S.2.19B.1.11–16

review of investigating authority (AD/SCM Part V) distinguished S.2.19B.1.13 S.7.5.8

pass-through of indirect subsidies S.2.10.3 S.2.19B.7

price suppression: see price suppression as effect of subsidy (SCM 6.3(c))

“resulted” (SCM 6.2) S.2.19B.8.3

subsidy programme and payments under, distinguishability R.4.1.29–30 S.2.19B.2

threat of S.2.19B.9
 

serious prejudice (SCM Annex V information procedures) S.2.40A S.2.40A.1–18

as aid to handling evidential difficulties S.2.40A.4

burden of proof, effect on S.2.40A.7

DSB role (Annex 2 and 4) C.3.1.6 S.2.40A.9 S.2.40A.15

initiation of Annex V procedure, requirements S.2.40A.1–3

automaticity vs. positive consensus S.2.40A.11–18

establishment of panel by DSB C.3.1.7

focussed request S.2.40A.7

reasonableness S.2.40A.7

request by a Member C.3.1.7 S.2.40A.2

interpretation

context (VCLT 31(2)), SCM Part III as a whole S.2.40A.1

object and purpose S.2.40A.8

preparatory work (VCLT 32) S.2.40A.13

non-cooperation/adverse inferences I.1.7–8 S.2.40A.3 S.2.40A.4 S.2.40A.6 S.2.40A.7 S.2.40A.8 S.2.40A.11

sufficiency of evidence S.2.40A.16 S.2.40A.17

review of DSB actions in relation to by panel/AB, exclusion C.3.1.6

third-country members, limitation of burden on S.2.40A.7

time-frame S.2.40A.5
 

services: see GATS, applicability/interpretation (GATS I); MFN treatment (GATS II); national treatment (GATS XVII); national treatment (GATT III:1) (general principle); regulatory discrimination (GATT III:4)
 

similar border measures” (AG 4.2, Footnote 1): see measures requiring conversion into ordinary customs duties (AG 4.2), “similar border measures other than ordinary customs duties” (AG 4.2, Footnote 1)
 

“so as to afford protection”: see national treatment (GATT III:1) (general principle), “so as to afford protection”; regulatory discrimination (GATT III:4), “so as to afford protection”; SPS measures, appropriate level of protection (SPS 5.5–5.6), “applied to protect” (SPS Annex A(1)(5)); tax discrimination (GATT III:2), “so as to afford protection”
 

special or additional rules and procedures for dispute settlement (DSU 1.2 and Appendix 2)

see also additional procedures (WP 16(1))

AD 13/Footnote to AD 9, whether S.5.5

AD 17, whether A.3.55.1 S.5.1–4

conflict with DSU provisions, precedence in case of (WTO Annex 1A) S.2.19C.2 S.2.40A.1 S.2.40A.12 S.5.2–4

preference for use of S.2.40A.10 S.5.6

SCM 7.8 as S.2.19C.2

SCM Annex V as S.2.40A.1 S.2.40A.10
 

special and differential treatment for developing countries: see balance of payments restrictions, GATT XVIII:11, Proviso (change in development policy); developing countries (exemption from safeguard measures (SG 9.1)); developing countries (special and differential treatment (SCM 27)); Enabling Clause
 

special safeguards (AG 5) A.1.14

see also accession protocol (China), transitional product-specific safeguard mechanism (Art. 16); transitional safeguards (ATC 6)

c.i.f. import price (AG 5.1(b)) A.1.14.1 A.1.14.2

measures requiring conversion into ordinary customs duties (AG 4.2), relationship with A.1.14.3–4
 

specific action against dumping (AD 18.1) or subsidy (SCM 32.1) A.3.61 S.2.36

action under other relevant provisions of the GATT 1994 distinguished (AD 18.1, Footnote 24) A.3.61.2 A.3.61.4

requirements

accordance with provisions of the GATT VI as interpreted by Anti-Dumping Agreement A.3.61.3 A.3.65.5–8

civil and criminal proceedings and penalties, whether A.3.65.7

security (bond or cash deposit) (GATT VI:2 and VI:3: Ad Note) as A.3.61.15

intention of dumping, relevance A.3.61.1

measure against dumping/subsidy A.3.61.5 A.3.61.11–13 S.2.36.1–2 S.2.36.6–8

adverse bearing A.3.61.11 S.2.36.6 T.6.2.18

design and structure of measure as evidence of protective application A.3.61.11–12 A.3.61.15 A.3.65.6 S.2.36.6–7

facilitation of exercise of WTO-consistent rights distinguished A.3.61.13 S.2.36.8

implications for conditions of competition, relevance A.3.61.12 S.2.36.7

measure specific to dumping/subsidy A.3.61.1–3 A.3.61.5–7 A.3.65.6

measure related to distinguished (AD 18.1 Footnote 24/SCM 32.1 Footnote 56) A.3.61.13 S.2.36.8

presence of constituent elements of dumping/subsidy A.3.61.1 A.3.61.7–9 S.2.36.4 S.2.36.12–13

as implied condition A.3.61.9–10
 

“specific measure at issue” (AD 17.4/DSU 6.2)

see also legal basis of claim (DSU 6.2) (request for establishment of panel); “matter referred to the DSB” (AD 17.4/DSU 7.1); request for establishment of panel (requirements) (DSU 6.2)

AB/panel recommendations (DSU 19.1) distinguished R.2.3.24

AD “measure” qualifying for DSB proceedings (AD 17.4) A.3.56 L.1.6 R.2.1.3

acceptance of price undertakings L.1.6

definitive AD duty L.1.6

need for identification of specific measures at issue (DSU 6.2) R.2.3.5–6

provisional measure (AD 7) A.3.38A.2 A.3.56 L.1.6

administrative action relating to customs matters as R.2.3.1

any act or omission attributable to a WTO Member R.2.3.23

demonstration that measure cause of violation, relevance T.6.3.22

expired measure A.3.56.1–5 C.7.12–15 J.2.1.2 L.1.6 R.2.1.3–6 R.2.3 R.2.3.13–14 R.2.3.24–25 T.6.1.18–21 T.6.3

measure expiring during the proceedings T.6.3.17

identification as part of the matter referred to the DSB, need for (AD 17.4/DSU 7.1)

Addendum to request for consultations, relevance C.7.20 T.6.2.20

amendment of measure during proceedings D.2.2.17 R.2.3.9–10 R.2.3.18 T.6.3.5–6 T.6.3.16 T.6.3.17

challenge to system as a whole J.2.1.23 R.2.2.24–25 T.6.2.22–23

due process right to defend oneself D.2.2.1 D.2.2.7 J.2.1.1 R.2.1.1 R.2.1.6 R.2.3.3 R.2.3.16 T.6.1.1

identification of product, need for R.2.3.1–2 R.2.3.21

identity with the measures at issue at the consultation stage (DSU 4.4), relevance C.7.2 C.7.18 C.7.21–22 R.2.2.21–22 R.2.3.7 S.2.17.1 T.6.1.20

implied claims, exclusion R.2.2.14 T.6.2.17 T.6.2.19

object and purpose of DSU 6.2 as test R.2.3.6

“specific” R.2.3.27–28

“certain aspects of sunset review procedure”, sufficiency R.2.3.11 T.6.3.4

clear distinction between different claims, need for R.2.3.28

generic term, sufficiency R.2.3.3 R.2.3.29 R.2.3.32–33

“included but not necessarily limited to” R.2.1.14 R.2.2.5 T.6.2.6 T.6.2.24

reference to publicly available information about a government programme R.2.3.32–33

“sufficient to present the problem clearly” A.3.31.8 A.3.32.11 B.3.3.13 C.1.10 E.1.1.4 M.3.16 R.2.1.3 R.2.1.5 R.2.1.13 R.2.1.14 R.2.1.16 R.2.2.5 R.2.2.8 R.2.2.9 R.2.2.16 R.2.2.17 R.2.2.20 R.2.2.25 R.2.2.26–28 T.6.1.5 T.6.1.17 T.6.1.25–27 T.6.1.29 T.6.1.30 T.6.2.24 T.6.3.22 T.6.3.23–24

“total prohibition” R.2.3.16

means of compliance with DSB recommendation (DSB 19.1) distinguished I.0.5 P.5.3.1.3 T.6.3.15

measure actually applied, limitation to R.2.3.4 T.6.3.2

“measure” as basis of claim and as evidence distinguished E.3.1.9 P.5.3.1.4 R.2.3.27

“measure” impairing benefits (DSU 3.3) L.1.4 L.1.7

measure subsequent to date of request for consultations T.6.3.3

measure subsequent to establishment of panel [having the “same effect”] R.2.3.18–20 R.2.3.25 R.2.3.28 R.2.3.30 T.6.3.19–21

“measures taken to comply” (DSU 21.5): see review of implementation of DSB recommendations and rulings (DSU 21.5), “measures taken to comply” (including panel’s determination of WTO consistency)

“practice” as measure R.2.3.17 T.6.3.8 T.6.3.12

rule or norm of general application, relevance R.2.3.34

“specific measure at issue” and legal basis of claim distinguished A.3.56.2 R.2.1.3 R.2.1.13 R.2.3.22 T.6.1.6 T.6.1.9 T.6.1.17 T.6.1.22–23 T.6.3.13

withdrawal of claim based on T.6.3.30
 

SPS Agreement

see also control, inspection and approval procedures (SPS 8/Annex C); harmonization of measures (SPS 3); scientific evidence, sufficiency (SPS 2.2); SPS measures, appropriate level of protection (SPS 5.5-5.6)

arbitrary or unjustifiable discrimination, exclusion (SPS 2.3) S.6.4

appropriate level of protection (SPS 5.5) S.6.4.1 S.6.15.1–2 S.6.16

alternative sources of discrimination S.6.4.1 S.6.17.3–4

as balance between promotion of international trade and protection of human, animal or plant life or health S.6.3.1 S.6.5.2

see also measures necessary to protect human, animal or plant life or health (GATT XX(b))

risk assessment (SPS 5.1) S.6.9.1

basic rights and obligations (SPS 2), underlying nature of provision S.6.2.1 S.6.3.2 S.6.3.4–5

definitions (Annex A) S.6.23A

interpretation

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

customary rules of interpretation of public international law [as codified in the VCLT] P.3.5.1

object and purpose, preamble/chapeau of article under discussion as evidence of S.6.5.3 S.6.8.2

precautionary principle: see precautionary principle (SPS 5.7)

retroactivity/applicability to pre-existing situations and measures T.5.2
 

SPS measures, appropriate level of protection (SPS 5.5-5.6)

see also control, inspection and approval procedures (SPS 8/Annex C)

“applied to protect” (SPS Annex A(1)(5))

ancillary measures S.6.23A.4

applied … so as to afford protection (GATT III:1) compared S.6.23A.2

“applied to protect” (SPS Annex A(1)(5))

“applied” S.6.23A.2

objective test S.6.23A.2

determination by reference to context S.6.23A.2

“include all relevant laws” S.6.23A.3

non-exhaustive/illustrative nature of list S.6.23A.3

“phytosanitary measure”/“phytosanitary procedure” (ISPM No. 5), distinguishability S.6.23A.5

purposive/objective nature S.6.23A.2

comparability of measures, need for S.6.16

consistency in application (SPS 5.5) S.6.15

arbitrary or unjustifiable inconsistencies, exclusion S.6.4.1 S.6.15.1–2

discrimination or disguised restriction of trade resulting from inconsistency S.6.15.2 S.6.17

absence of risk assessment as evidence of S.6.17.6

degree of difference sufficient to warn of S.6.17.5

discrimination or disguised restriction of trade resulting from inconsistency (SPS 2.3) S.6.15.2 S.6.17

absence of risk assessment as evidence of S.6.17.6

degree of difference sufficient to warn of S.6.17.5

distinctions in the level of protection in different situations S.6.16

comparability S.6.16.1–3

legal obligation, whether S.6.15.1

interrelationship between SPS 2.2/SPS 5.1/SPS 5.6 S.6.17A.1–7

interrelationship between SPS 5.1/SPS 5.6 S.7.9.1–5

obligation to articulate measures clearly S.6.18.5

right not to take if unwarranted by results of risk assessment S.6.10.5 S.6.20.4
 

SPS measures “not more trade restrictive than required to achieve their appropriate level of … protection” (SPS 5.6) S.6.18

“acceptable level of risk” S.6.18.4 S.6.23A.6

alternative measure, burden of proof S.6.18.5–8

“appropriate level”, determination

Member’s obligation S.6.1.4–5

Member’s right S.6.1.1 S.6.1.6 S.6.8.3

as preliminary to decision on measure S.6.1.2–3 S.6.1.6

“appropriate level” (SPS Annex A(5)) S.6.18.4

burden of proof S.7.9.4

expert’s role S.4.21

panel assessment of claim relating to S.7.9

de novo review, panel’s right to undertake S.7.9.2

obligation to make independent assessment S.7.9.1–5

requirements (SPS 5.6, Footnote 3) S.6.18.1–2

risk assessment requirement, SCM 5.1 and SCM 5.6 compared S.6.18.9

SPS 5.1/SPS 5.6 obligations distinguished S.7.9.1–5
 

SPS Regulations, Transparency (Annex B), publication of measures such as laws, decrees or ordinances which are generally applicable (Annex B(1), Footnote 5) P.5.4 S.6.24
 

standard of review (panels) (DSU 11)

see also competence (AB) (DSU 17.6); competence (panels); dumping/margin of dumping, definition/constituent elements (AD 2.1/GATT VI:1); information or technical advice, panel’s right to seek (DSU 13); judicial economy; panel reports, rationale, need for (DSU 12.7); standard/scope of review (safeguard measures (SG/GATT XIX))

alleged disregard or distortion of evidence by panel (“objective assessment of the facts”)

see also evidence (admissibility and evaluation in panel proceedings) (DSU 12.1 and Appendix 3); order of analysis

acts of administration post-dating establishment of panel, right to consider E.3.1.9 E.3.1.11 E.3.2.18 P.5.3.1.4 S.7.6.3–4

assessment of legislation of complaining party, relevance G.4.4.5

discretion in selection of relevant evidence E.3.2.31–32 G.4.5.2 J.1.19 M.5.14 P.5.3.1.4 S.3.3.16 S.7.3.4 S.7.3.14 S.7.3.49 S.7.3.66 S.7.3.68

discretion to determine relevance E.3.2.6

discretion to select which evidence to refer to explicitly E.3.2.32 S.7.2.24 S.7.3.4 S.7.3.38 S.7.3.39–40 S.7.3.49 S.7.3.62 S.7.3.64 S.7.3.74 S.7.3.75

discretion/independence in evaluation of evidence B.3.2.23 E.3.2.3 E.3.2.9–14 E.3.2.19–23 E.3.2.26 E.3.2.28 M.5.14 S.3.3.7 S.3.3.8 S.3.3.9 S.3.3.10 S.3.3.15 S.3.3.19–20 S.3.3.23–24 S.7.2.16 S.7.3.5 S.7.3.6 S.7.3.12B S.7.3.16–18 S.7.3.21–22 S.7.3.26–27 S.7.3.32 S.7.3.33–38 S.7.3.47–48 S.7.3.49 S.7.3.54 S.7.3.56 S.7.3.57 S.7.3.61 S.7.3.63 S.7.3.64 S.7.3.66 S.7.3.71 S.7.3.74

evidence available to investigating authority, limitation to S.7.6.2

evidence available to Member, limitation to E.3.1.4 S.7.6 T.7.2.2

evidence introduced at interim review, right to ignore (DSU 15) E.3.1.10 S.7.3.13

hypothetical evidence S.7.3.12

inferences based on circumstantial evidence, panel’s right to draw E.3.2.37

inferences that differ from party’s reasons for adducing evidence C.2.7 S.7.3.26

information not in record of investigation (AD 12.2.2/SCM 22.5) E.3.1.6–8 E.3.2.16 S.7.2.10–11

information in record of investigation but not referred to in determination E.3.1.5 E.3.2.43

insufficiency of evidence, relevance M.5.13 M.5.15 S.7.2.6 S.7.2.14 S.7.2A.6–7

legal characterization of facts and evaluation of evidence distinguished G.3.4A.5

as legal question S.7.3.11A

obligation to avoid misleading a priori assumptions E.3.2.27

obligation to examine and evaluate evidence M.5.13 S.6.13.7–8 S.7.2.15 S.7.2A.3–4 S.7.3.10 S.7.3.11 S.7.3.53

obligation to follow manner of assessment of investigating authority E.3.2.9–14 S.7.5.5

obligation to give reasoned and coherent treatment E.3.2.34 S.7.3.42 S.7.3.52 S.7.3.71 S.7.3.73

internally inconsistent reasoning S.7.2.22

obligation to request information S.7.3.3

obligation to review whether risk assessment conclusions are reasonably based on scientific evidence S.6.9.10 S.6.20.8

obligation to support findings from evidence in panel record E.3.2.20 E.3.2.26 S.7.3.33

obligation to treat parties’ evidence consistently and even-handedly E.3.2.33 S.7.3.41 S.7.3.49 S.7.3.52 S.7.3.55 S.7.3.59 S.7.3.64 S.7.3.71

party’s obligation to argue relevance of evidence B.3.1.16 E.3.2.5 S.7.2A.2

party’s obligation to provide evidence to support its argument C.2.9 E.3.2.23 E.3.2.25 L.1.22 S.7.3.58 S.7.3.74 S.7.3.75

party’s obligation to raise panel’s alleged factual misunderstanding at interim review stage or appeal S.7.2A.8

reliance on translation subsequently disputed S.3.2.8 S.7.3.29

right to ask clarifying questions S.7.2.13–14

totality of evidence vs. individual evidentiary factors E.3.2.10–15 E.3.2.27 S.7.3.48 S.7.3.49 S.7.3.59 S.7.3.74

claim of failure by panel to comply with DSU obligations as autonomous claim S.7.2.17 S.7.2.21 S.7.2.24 S.7.2.33 S.7.9.5

classification as claim concerning a factual assessment S.3.3.25–27 S.7.3.51

DSU 11 as applicable law S.7.1.8–9

applicability to AD Agreement subject to AD 17.6 S.7.1.1–3 S.7.1.8

burden of proof/party’s arguments and evidence as basis of assessment S.7.2.25 S.7.2.30

finding of non-justifiability in law, relevance S.7.3.30

“objective assessment of matter before it” C.5.3 E.3.1.1 E.3.2 S.7.2

see also evidence, alleged disregard or distortion by panel above

AD 17.6(i) compared S.7.1.6

AD 17.6(ii) compared A.3.60.3 S.7.1.7

applicability of and conformity with relevant covered agreements E.3.2.1

customary international law, applicability S.7.2.1

applicable law

customary international law S.7.2.1

panel’s right to determine E.3.2.1

de minimis error S.7.2.18 S.7.3.2 S.7.3.6 S.7.3.9 S.7.3.16 S.7.3.53 S.7.3.56 S.7.3.57 S.7.3.64 S.7.3.68 S.7.3.72 S.7.3.74

de novo review of the facts, exclusion A.3.47.3 E.3.2.12 E.3.2.27 S.3.3.31 S.3.3.37 S.7.1.17 S.7.2.1 S.7.3.61 S.7.4.5–7 S.7.4.23 S.7.5

de novo review of risk assessment, exclusion S.7.3.49 S.7.8.1–4 S.7.8.5 S.7.8.11

SPS 5.6 measures distinguished S.7.9.2

“deliberate disregard”/“refusal to consider” S.7.3.2 S.7.3.49

discretion in deciding which legal issues to address C.4.26 G.4.5.2 J.1.19 S.7.2.7

discretion to use whatever arguments submitted by the parties it chooses C.2.9

error of law J.1.19

burden of proof/prima facie case, failure to apply correctly B.3.1.18 B.3.2.22 S.2.39.3–6

caused by failure of understanding of legal issues C.3.1.3 S.7.2.19 S.7.2.23

failure to apply proper standard of review S.4.18 S.7.4.6

failure to draw correct legal inferences (SCM 6.3(c)) S.3.3.21–22 S.7.3.44

failure to follow AB jurisprudence/precedent C.3.1.3

failure to incorporate into conclusions all products referred to in terms of reference T.6.3.1

failure to make recommendation to resolve dispute J.1.20–21 S.2.19.4 S.7.7.2

failure to set out all matters considered G.4.2.2

failure to address legal issues raised by party S.7.2.28

failure to analyse evidence P.5.3.1.11 S.2.9A.29–44 S.3.2.7 S.7.3.28

failure to apply mandatory/discretionary legislation distinction in analysis M.1.7–9 S.7.3.31

failure to apply treaty provisions correctly R.4.1.25

failure to distinguish between existence of measure and its WTO-consistency L.1.19

failure to engage with arguments and evidence S.2.19B.1.13 S.7.3.53

failure to make objective assessment as abuse of discretion E.3.1.2

failure to provide economic rationale or theory to support intuitions C.2.8 S.2.9A.16

failure to seek out information (DSU 13) B.3.1.22 B.3.2.24 S.4.22 S.4.23 S.7.2.30 S.7.2.31

failure to understand obligations under SCM 6.3(a) and (b) S.2.19B.1.11 S.7.2.23

failure to undertake detailed analysis necessary to characterize measure correctly M.5.25–27 S.7.2A.10

failure to undertake detailed qualitative analysis of specific cases S.7.2A.3

failure to use expert/scientific evidence in a balanced way S.4.15–18 S.7.2.20

finding of compliance with legal standard/objective assessment of the facts S.3.3.38 S.7.2.34

findings in previous cases, relevance C.4.36 E.3.1.12

inter-dependent assumptions O.2.5

“matter” (factual and legal aspects) S.7.1.5 S.7.2.8

mixed issues of fact and law, difficulty of distinguishing S.3.3.21 S.7.3.44

obligation to consider all arguments/address in report C.1.12 S.3.2.9 S.7.2.3 S.7.2.9 S.7.3.59 S.7.3.72

obligation to consider all facts G.1.1.5

obligation to rule on parties’ SCM 3 claims J.1.21 S.2.19.4–5 S.7.7.2

panel as trier of facts E.3.2.19 E.3.2.20 E.3.2.23 E.3.2.31 E.3.2.39 S.2.9A.22 S.2.19B.1.13 S.2.19B.4.6 S.2.19B.5.6 S.3.3.31 S.7.3.12B

panel’s obligation to make independent assessment/party’s right to structure complaint E.3.2.27 S.2.19B.1.11 S.7.2.23

party’s failure to address issues allegedly overlooked G.4.5.3

party’s obligation to identify/explain specific errors S.7.2.24 S.7.3.67 S.7.3.71

refusal of party to provide information and: see inferences from party’s refusal to provide information under DSU 13

ultra petita finding on provision not before it S.7.2.4 S.7.2.6 T.6.2.18

“reasoned and adequate” test (investigating authorities’ explanations) A.3.47.3–4 A.3.50.3 E.3.2.6 E.3.2.12 n. 278 E.3.2.27 E.3.2.43 P.1.1.6 R.4.3.13 S.1.2.1–3 S.1.8.3 S.1.14.2 S.1.15.2 S.1.20.2 S.1.22.1–2 S.1.26.5 S.1.46.2–3 S.2.19B.5.11 S.7.3.43–45 S.7.4 S.7.5.1 S.7.5.3–4 S.7.5.7

“critical and searching” requirement S.7.4.7 S.7.4.10 S.7.4.15 S.7.4.17 S.7.4.18 S.7.4.21 S.7.4.22 S.7.4.23 S.7.4.24

ex post rationale, exclusion S.7.4.17

obligation to consider all relevant factors, provisions of covered agreements at issue S.7.4.7

obligation to evaluate all relevant factors S.7.4.2

obligation to test reasonableness of the methodology in light of the alternatives S.7.4.10 S.7.4.11 S.7.4.12 S.7.4.15 S.7.4.18 S.7.4.19 S.7.4.20 S.7.4.21 S.7.5.7

risk assessment (SPS 5.1-5.3 and Annex A(4)) R.1.6.2 S.7.8.1–4 S.7.8.5 S.7.8.7

SPS measures: see SPS measures “not more trade restrictive than required to achieve their appropriate level of … protection” (SPS 5.6), panel assessment of claim relating to

“such other findings as will assist the DSB” (DSU 7.1/DSU 11) J.1.19–21 S.7.7

judicial economy and J.1.19 J.1.21 J.1.23 J.1.25 J.1.26 J.1.30 P.1.1.8 R.4.3.14 S.2.19.4 S.7.7.2 T.4.2A.1.4

see also judicial economy

panel’s right to make alternative findings M.3.11

recommendation for DSB recommendation or ruling J.1.20–21 S.2.19.4 S.7.7.2

temporal scope S.7.6
 

standard/scope of review (AB) (AD 17.6) A.3.58

see also competence (AB) (DSU 17.6)

amicus curiae briefs/WHO technical assistance S.3.1.12

assessment of the facts (AD 17.6(i)) A.3.57.2 A.3.58.2–4 A.3.59

active review, need for S.7.1.6

de novo review/substitution of panel’s own assessment, exclusion A.3.58.5 M.5.17 S.3.3.36

discretionary powers A.3.59.9

DSU 11 compared S.7.1.6

error, need to substantiate A.3.59.10

“establishment” A.3.59.1

interpretation of relevant provisions of AD (AD 17.6(ii)) distinguished A.3.58.3 S.7.1.5

“unbiased and objective” A.3.58.4–5 S.7.1.6

authorities’ “proper” establishment of facts (AD 17.6(i)) A.3.58.4–5 A.3.59.1

determination of normative character of challenged “measure” A.3.62.4

“facts made available” (AD 17.5(ii))

consistency with AD 6.2 requirements A.3.57.1 R.2.1.4

disclosure/discernibility to interested parties by time of final determination, relevance A.3.57.3–4

examination to be based on A.3.57.3–4

limitation to A.3.59.5–7

requirement to seek information A.3.59.8

interpretation of relevant provisions of AD (AD 17.6(ii)) A.3.22.2 A.3.60

in accordance with customary rules of interpretation of public international law A.3.40A.6 A.3.60.2 A.3.60.4–5 A.3.60.7 A.3.60.10–11 A.3.65.15 S.7.7.3

“admits of more than one permissible interpretation” A.3.58.5 A.3.60 S.7.1.7 S.7.1.13 S.7.7.3

assessment of the facts (AD 17.6(i)), cumulative effect A.3.58.4

DSU 11 compared S.7.1.7

objective assessment, relevance A.3.60.3–4 S.7.1.7

sequential analysis A.3.60.10–11

non-applicability to covered agreements other than AD Agreement A.3.58.1 A.3.63.1–2 S.7.1.1 S.7.1.2 S.7.1.4

in case of simultaneous challenge under AD and SCM Agreements A.3.58.6 S.7.1.10–11

parties’ obligations (AD 17.5/17.6), AD 3.1 (determination of injury) distinguished A.3.57.2 A.3.58.2
 

standard/scope of review (safeguard measures (SG/GATT XIX))

assessment of the facts

absence of facts S.1.31.4

de novo review/substitution of panel’s own assessment, exclusion S.1.2.1 S.7.4.5 S.7.5.1

objective assessment of “reasoned and adequate” explanation, need for, decrease in imports (SG 2.1) S.1.8.3

as preliminary to determination of causal link S.1.32.2

DSU 11, applicability S.7.1.2–3 S.7.6.1

existence of right coupled with exercise of right in conformity with SG S.1.1.1 S.1.26.5

“reasoned and adequate” test (investigating authorities’ explanations) S.1.2.2–3 S.1.22.1–2 S.1.26.5–6 S.1.46.3 S.7.4.2 S.7.4.4–5 S.7.5.1
 

standards (TBT Annex 1.2) T.4.2

approval authority

“activities in standardization” requirement T.4.3.8 T.4.3.11 T.4.3.15–16

“body” (TBT Annex 1.2) vs. “organization” (TBT Annex 1.2/ISO/IEC Guide) T.4.3.5

“international standardizing body” T.4.3.6

object and purpose (TBT preamble) as aid to interpretation T.4.3.13

membership “open to the relevant bodies of at least all Members” requirement T.4.3.7 T.4.3.9 T.4.3.14

regional bodies distinguished T.4.3.7

consensus, relevance (Annex 1.2 and Explanatory note) T.4.2.1

“international standard” T.4.3.3–8

ISO/IEC Guide 2: 1991 T.4.3.4–8

“international standards … as a basis for technical regulation” (TBT 2.4) T.4.3

applicability to existing regulations T.4.5 T.5.3.1–2

“as the basis” T.4.3.1

“except when … ineffective or inappropriate” (TBT 2.4) T.4.4.1

“relevant parts of them” T.4.3.2

“standard” T.4.1.10

TBT Committee Decision

“open” membership on non-discriminatory basis T.4.3.10 T.4.3.11 T.4.3.14

principles “which should be observed” T.4.3.8

“recognized activities in standardization” T.4.3.11 T.4.3.15–16

as subsequent agreement (VCLT 31(3)(a)) I.3.9A.6

technical regulation (TBT Annex 1.1) distinguished T.4.1.10–13
 

standing/right to bring claim (DSU 3.7)

see also amicus curiae briefs

enforcement of WTO rules as justification R.5.3

fruitfulness of resort to dispute settlement procedures L.1.10 M.1.7 M.6.1 P.3.1.13 P.3.7.2 P.4A.17 R.5.2 R.5.4 R.5.6 R.5.9

good faith engagement in dispute settlement procedures (DSU 3.10) R.5.5–6

legal interest, relevance R.5

Members of WTO, limitation to A.2.1.2 A.2.1.8

mutually agreed solutions M.6

requirements (including “fruitfulness”) M.6.1

temporary suspension of concessions (DSU 22.8) M.6.1

waiver of right to Article 21.5 compliance proceedings, whether M.6.1

obligation for panel to examine proprio motu, whether R.5.4

positive solution as aim R.2.3.20 R.2.5.6 S.3.4.1 S.3.4.5

self-regulating nature of provision R.5.2 R.5.4

“solution” M.6.1 R.5.9
 

State responsibility

acts or omissions of executive agency or executive branch L.1.4 S.2.7.2

continuing acts (ILC 14) T.5.1.7

countermeasures for breach of international obligations, proportionality P.3.5.1 P.3.6.3 S.9.2

critical date P.3.4.9

funding of export subsidy by private parties A.1.25.1
 

State trading enterprises (GATT XVII) (STEs)

“adequate opportunity … to compete for participation in such purchases or sales” (GATT XVII:1(b)) S.7A.5

applicability to STEs of the GATT provisions other than GATT XVII S.7A.1.3

prevention of discriminatory behaviour, limitation to S.7A.1.4

“commercial considerations” (GATT XVII:1(b)) S.7A.4

differential prices for commercial reasons, admissibility (GATT XVII:1, Ad Note) S.7A.2.1

“governmental agency” (GATT III:8(a)) S.7A.1.5

insufficiency of the GATT XVII:1 to prevent all obstacles to trade (GATT XVII:3) S.7A.6

obligation to comply with GATT principles of non-discriminatory treatment (GATT XVII:1(a)) S.7A.1

as anti-circumvention provision S.7A.1.1

discrimination and justifiable differentiation distinguished S.7A.1.2

GATT XVII:1(b) S.7A.3

order of analysis O.2.8 S.7A.3.4–7
 

STEs: see State trading enterprises (GATT XVII) (STEs)
 

subsidies, prohibited (SCM Part II)

see also developing countries (special and differential treatment (SCM 27)); export subsidy, prohibition (AG 3.3)

actionable subsidies (SCM Part III) distinguished S.2.14.11 S.2.19A.4

amount of subsidy, relevance S.2.2.4 S.2.24A.1

“contingent upon export performance” (SCM 3.1(a)) A.1.4 A.1.38.12 S.2.12

see also export subsidy commitments (AG 9), “contingent on export performance” (AG 9.1(a))

burden of proof

de jure and de facto contingency distinguished B.3.1.8 S.2.14.3 S.2.14.5

export-orientation of recipient, relevance S.2.12.4

knowledge or expectation, sufficiency S.2.12.4

requirement to show proof of exportation, relevance A.1.4.3 A.1.16A.1 S.2.12.12

conditionality requirement S.2.14.5

“contingent” S.2.12.1 S.2.12.8 S.2.15.1

eligibility of domestic users for payments under different conditions, relevance A.1.4.3 S.2.12.9 S.2.12.12

“in fact”, standard for determining/required elements (Footnote 4) S.2.14

“anticipated exportation” S.2.14.4

assessment on basis of information available to granting authority at time of grant S.2.14.7

comparison between effects of subsidy and situation in absence of subsidy S.2.14.6 S.2.14.15

granting authority’s role S.2.14.4

inferral from total configuration of relevant facts B.3.1.8 S.2.14.3 S.2.14.6 S.2.14.8–9 S.2.14.12

motivation, relevance S.2.14.8 S.2.14.13

neutral subsidy, assessment requirement S.2.14.12

as objective standard S.2.14.8

overall design and structure of SCM Agreement as guide to interpretation S.2.14.11

reasons for granting subsidy, relevance S.2.14.8 S.2.14.13

sufficiency of evidence S.2.14.14–15

“tied to” S.2.12.2A S.2.12.8 S.2.13.3–4

“in law” S.2.13

implied provision S.2.13.1

legislation, regulation or other legal instrument constituting measure as evidence of S.2.13.5 S.2.15.1–2

“in law or in fact” S.2.12.2 S.2.12.3

standard/burden of proof, requirements for de jure and de facto contingency distinguished B.3.1.8 S.2.14.3 S.2.14.5

subsidy available to property produced either within or outside subsidising State S.2.12.4A–6 S.2.12.9–12

“contingent upon the use of domestic over imported products” (SCM 3.1(b)) S.2.15

“in law” S.2.15.1–2

implied provision S.2.15.1

“in law or in fact”, omission, relevance S.2.16

“except as provided in the Agreement on Agriculture” (SCM 3.1(a)) A.1.38.8 S.2.11

Agreement on Agriculture as primary test S.2.11.1

export credit guarantees, applicability to S.2.11.2

“except as provided in the Agreement on Agriculture” (SCM 3.1(b)), import substitution subsidies A.1.34E.3–5 A.1.38.8 S.2.1.8 S.2.14A

Illustrative List of Export Subsidies (SCM Annex I): see Illustrative List of Export Subsidies (SCM Annex I)

national treatment (GATT III:8(b)) S.2.42
 

subsidies to domestic producers exception to national treatment requirement (GATT III:8(b))

expenditure of revenue by government, limitation to (GATT III:8(b)) S.2.42.1

“including payments to”, non-exhaustive nature N.1.11A.2.1

interpretation, relationship with GATT III:2 and GATT III:4 N.1.11A.2.1–4 S.2.42.1
 

subsidy, definition (SCM 1) A.3.61.8 S.2.36.3

see also calculation of subsidy in terms of benefit to recipient (SCM 14); export subsidy, prohibition (AG 3.3); payments on export of agricultural product financed by virtue of governmental action (AG 9.1(c)), “financed”; subsidies, prohibited (SCM Part II); subsidy, definition (SCM 1)

analysis of benefit (SCM 1.1(b)) and financial contribution (SCM 1.1(a)(1)) as distinct operations S.2.3.4 S.2.9.8 S.2.9A.16 S.2.9A.21

applicability “for purposes of this agreement” S.2.2.1–2 S.2.2.4

commonality of terminology in Agreement on Agriculture A.1.3.1–3

conferral of benefit (SCM 1.1(b)) A.1.3.1–3 S.2.29.1 S.2.30.1

“benefit” S.2.9.2 S.2.9.4 S.2.9A.5 S.2.9A.7 S.2.9A.12

“advantage” (TRIMs Agreement) distinguished S.2.9.9 S.2.45.2 T.8A.3.7

calculation as factual assessment within competence of panel S.2.9.8 S.2.9A.22

cost to government, relevance S.2.9.3 S.2.9.6 S.2.9B.1

SCM 14 as context S.2.9.3 S.2.9A.6–8 S.2.9A.13–14 S.2.23.6–7 S.2.23.8–14

export credit guarantee S.2.9A.3

extinction of benefit S.2.9B

market benchmark I.3.9B.5 S.2.9A

see also goods and services/adequacy of remuneration as benefit (SCM 14(d))

as basis for determining existence of benefit S.2.9.6 S.2.9A.24–6 S.2.9B.1

burden of proof B.3.1.24

determination of relevant market as preliminary to benefit analysis, order of analysis S.2.9A.27

economic rationale, need for C.2.8 S.2.9A.16

EEC–US 1992 Agreement, relevance S.2.9A.9

factors determining demand-side substitutability S.2.9A.28

government intervention in market S.2.9A.29–44

justification for approach S.2.9A.21

“market” for purposes of S.2.9A.5

seller’s costs/investment costs, relevance S.2.9.7

unequal transactions S.2.9A.18–20

payments to a funding mechanism or entrustment or direction to a private body (SCM 1.1(a)(1)(iv)) as distinct issue E.3.2.29

recipient

“an industry” (SCM 6.1(b)) S.2.9.4

“enterprise or industry or group of enterprises or industries” (SCM 2) S.2.9.3 S.2.9.4

“exporter or foreign producer” (SCM 11.2(ii)) S.2.9.4

“firm or industry” (SCM Annex I) S.2.9.4

firms/owners, relevance of distinction S.2.9.5

group of persons S.2.9.4

“manufacture, production or export of any merchandise” (SCM 10, Footnote 36) S.2.9.4 S.2.9.8

natural or legal person as S.2.9.2 S.2.9.3 S.2.9.4

need for S.2.9.1 S.2.9.2 S.2.9A.1 S.2.9A.7

“recipient firm” (SCM Annex IV) S.2.9.4

“sources found to be subsidized” (SCM 19.3) S.2.9.4

review of need for continued imposition of countervailing duties (SCM 21.2) distinguished S.2.31.3

“direct subsidies, including payments-in-kind” (AG 9.1(a)), payment-in-kind A.1.15.1 A.1.17 A.1.22.1

extinction of benefit (SCM 1.1(b)), privatization, relevance S.2.9B.1–7 S.2.31.6–7

financial contribution (SCM 1.1(a)(1)) A.1.3.1–3 S.2.3

“a benefit is thereby conferred” (SCM 1, 1(b)) S.2.2.5

by a “public body” (SCM 1.1(a)(1)) I.3.4.3 S.2.3.3 S.2.3A

authentic languages compared I.3.11.6

burden of proof S.2.3A.7 S.2.3A.9

“government” S.2.3A

“government agencies” (AG 9.1) compared I.3.11.6

governmental authority test S.2.3A.7 S.2.3A.8 S.2.8.13

investigating authorities duty to seek out relevant information S.2.3A.8

“private body” (SCM 1.1(a)(1)(iv)) distinguished/as aid to determining public body characteristics S.2.3A.3 S.2.8.13

“public” S.2.3A.1

direct transfer of funds (SCM 1.1(a)(1)(i)) S.2.3.1–2 S.2.3B

“bestowed directly or indirectly” (SCM 10, Footnote 36/GATT VI:3) S.2.9.4 S.2.43.1–3

e.g. grants, loans and equity infusion” S.2.3B.1 S.2.3B.3

“funds” S.2.3B.1–5

general rule vs. exception S.2.4.9

“grants” S.2.3B.3

reciprocal obligation, relevance S.2.3B.3

direct transfer of funds (SCM 1.1(a)(1)(i))/provision of goods or services (SCM 1.1(a)(1)(iii)), interrelationship S.2.3.2 S.2.3.7–9 S.2.3B.2 S.2.3B.4 S.2.7.5

government measures not amounting to S.2.3.1 n. 35

“government revenue … forgone or not collected” (SCM 1.1(a)(1)(ii)) A.1.3.1–3 S.2.3.1 S.2.3A.1

exemption from or remission of internal taxes upon exportation (SCM 1.1(a)(1)(ii), Footnote 1) S.2.5

methodology for determining S.2.4.8

object and purpose S.2.4.7

“otherwise due”/basis of comparison (“but for” test) S.2.4

ILC Articles on State Responsibility as relevant rules of international law for purposes of interpretation (VCLT 31(3)(c)) I.3.9B.1–2 S.2.3A.6

joint venture operations S.2.3.6 S.2.3B.5 S.2.6.9

payments to a funding mechanism or entrustment or direction to a private body (SCM 1.1(a)(1)(iv)) S.2.3.3 S.2.3A.3 S.2.8

commercial reasonableness, relevance E.3.2.27 E.3.2.29

conferral of benefit (SCM 1.1(b)) as distinct issue E.3.2.29

contribution on commercially reasonable terms S.2.8.12

“directs” S.2.3A.3 S.2.8.2–3 S.2.8.6–11

English, French and Spanish texts compared S.2.8.3

“entrusts” S.2.8.2–3 S.2.8.6–11

evasion of SCM obligations I.3.2.14 S.2.8.5

link between government and specific act, need for S.2.3.3 S.2.8.2 S.2.8.4

private party payments (AG 9.1(c)) distinguished A.1.25.3 S.2.8.1

scope of SCM 1.1(a)(i)–(iii) distinguished S.2.8.4

“which would normally be vested in…” S.2.3A.4 S.2.8.14–15

provision of goods or services (SCM 1.1(a)(1)(iii)) S.2.1.2 S.2.3.1 S.2.3.6

creation of infrastructure, relevance S.2.6.7

“goods” S.2.1.2 S.2.6 S.2.7.1

“goods” and “services”, distinguishability S.2.7.1

government purchases S.2.3.1 S.2.6.1

“provides goods” S.2.6.5–7

“provision” S.2.6

reciprocal obligation, relevance S.2.6.8

severability of goods attached to land, relevance S.2.6.2–4

simultaneous fulfilment of all elements, relevance S.2.6.6

purchase of goods by a government (SCM 1.1(a)(1)(iii)) S.2.7

characterization of measure (municipal vs. WTO law) S.2.7.4

distribution of functions between government agencies, relevance S.2.7.2

necessity for government involvement, relevance S.2.7.3

omission of “services”, relevance S.2.7.1

provision of goods or services (SCM 1.1(a)(1)(iii)) distinguished S.2.7.1

transfer of economic resources from grantor to recipient for less than full consideration A.1.3.1 A.1.15.1 S.2.23.1

GATT VI:4/SCM 1.1(a)(1) and 3.1(a), interrelationship S.2.41.3

GATT VI:4/SCM 10 and 32.1, compatibility S.2.41.4 S.2.41.5

income or price support (SCM 1.1(a)(2)) S.2.3.1

non-exhaustive nature of AG 1(e) A.1.4.4 A.1.33A.3

obligations relating to subsidies distinguished S.2.2.3

pass-through of indirect input subsidy to countervailed product (SCM 1.1/GATT VI:3) S.2.10 S.2.10.3 S.2.19B.7.1 S.2.43

serious prejudice (SCM 5(c) and 6.3(c)) distinguished S.2.10.3 S.2.19B.7
 

subsidy specific to certain enterprises in designated geographical region (SCM 2.2) S.2.10A.4

“certain enterprises” S.2.10A.4.1

“designated geographical region” S.2.10A.4.1

determination of subsidy (SCM 1.1) distinguished S.2.10A.4.2

limitation of access to either financial contribution or corresponding benefit, sufficiency S.2.10A.4.2

standard of proof/sufficiency of evidence S.2.10A.4.2
 

subsidy specific to certain enterprises (SCM 2.1) (determination of specificity) S.2.10A.2

“certain enterprises”

assessment of status as key obligation of investigating authorities S.2.10A.2.7

“certain” S.2.10A.2.4

“enterprise” S.2.10A.2.4

“group” S.2.10A.2.4

determination of status as subsidy under SCM 1.1 as starting point O.2.17–19 S.2.10A.1 S.2.10A.2.8 S.2.10A.2.11 S.2.10A.2.20

explicit limitation (SCM 2.1(a)) S.2.10A.2.2

eligibility/access as test S.2.10A.2.2 S.2.10A.2.6 S.2.10A.2.12 S.2.10A.2.14

“explicit” S.2.10A.2.3 S.2.10A.2.9 S.2.10A.2.20

“granting authority”

possibility of multiple granting authorities S.2.10A.2.10 S.2.10A.2.11 S.2.10A.2.14 S.2.10A.2.16 S.2.10A.2.19

significance of reference to S.2.10A.2.9

legislation as source of authority S.2.10A.2.9 S.2.10A.2.11 S.2.10A.2.20

“legislation” S.2.10A.2.11 S.2.10A.2.15

obligation to examine broad legal framework S.2.10A.2.15 S.2.10A.2.18–19

legislation/actions of granting authority, obligation to analyse both S.2.10A.2.16–17

limitation of access to either financial contribution or corresponding benefit, sufficiency S.2.10A.2.5

multiple subsidies S.2.10A.2.11 S.2.10A.2.21

“subsidy” as a broad concept S.2.10A.2.10 S.2.10A.2.11

interpretation

article as a whole S.2.10A.2.2 S.2.10A.2.6 S.2.10A.2.10 S.2.10A.2.13

chapeau as guide S.2.10A.2.1 S.2.10A.2.11

interrelationship between SCM 2.1(a) and SCM 2.1(b) S.2.10A.2.2 S.2.10A.2.6

provisional indication under SCM 2.1(a) followed by SCM 2.1(b) analysis S.2.10A.2.7 S.2.10A.2.22

judicial economy S.2.10A.2.23

risks S.2.10A.2.2

“notwithstanding any appearance of non-specificity” (SCM 2.1(c))/de facto specificity S.2.10A.2.2 S.2.10A.2.6 S.2.10A.2.7 S.2.10A.3

relevant factors S.2.10A.3.2–4

disproportionality S.2.10A.3.2–4

“where there are reasons to believe” S.2.10A.3.1–4

objective criteria/conditions, effect (SCM 2.1(b)) S.2.10A.2.2

absence of evidence relating to S.2.10A.2.7

“principles” (SCM 2.1, chapeau), significance of use of S.2.10A.2.1 S.2.10A.2.6

relevant factors S.2.10A.2.2
 

sunset review (AD 11.3)

applicability of

AD 2.1 (“dumping”) A.3.8 A.3.49 A.3.49.1

AD 2.4 (calculation of dumping margin) A.3.13.1 A.3.49.1–3

see also “likelihood” test, relevant factors, margins of dumping below

AD 3 (determination of injury) A.3.52B.1–4

AD 6 (evidence) A.3.51A.2 A.3.53.1–3

AD 9.4 (calculation of “all other” AD rate) A.3.40.1

causal link, need for A.3.46.4 A.3.47A.3 A.3.52A.5–7 A.3.65.11

collection of information post-DSB ruling on original determination R.4.1.25

continuation of duty

during review A.3.47A.2

as exception to mandatory rule A.3.45.1–2 A.3.45.4 A.3.47A.2

continuation order issued after establishment of DSU 21.5 compliance panel, panel’s right/obligation to consider R.4.0.7

cumulative assessment of volume and prices (AD 3.3) A.3.21.5–6 A.3.48A

see also determination of injury (AD 3/SCM 15), consideration of the volume of dumped imports and their effects on prices (AD 3.2/SCM 15.2)

applicability of AD 3.3 A.3.48A.3

implementation of recommendations and rulings of DSB (DSU 21)

effect of breach of AD 11.3 A.3.45.2 A.3.45.5–6

new evidentiary basis, investigating authorities’ right to adopt (AD 11.3/AD 11.4) A.3.45.6 A.3.51A.1–2 R.4.1.25 S.7.2.15 S.7.6.5

initiation before expiry of five years from imposition of duty A.3.45.1

investigatory/adjudicatory functions A.3.47.1 A.3.47.5 A.3.52.3

parties’ obligations A.3.52.3

proactive role of investigating authorities A.3.47.1 A.3.48A.4 A.3.52.3 A.3.52.12–13

“likelihood” test

continuance or recurrence of dumping A.3.8.1 A.3.45.1 A.3.46

company-specific basis A.3.40.1 A.3.50.1–4 A.3.52.8 A.3.53.2

continuance or recurrence of injury A.3.45.1 S.2.32

“injury” (AD 3, Footnote 9) A.3.52A.1

time-frame A.3.52A.9 A.3.52C.1–2

cumulative assessment A.3.48A.7

laws and regulations/legal instrument, need for E.3.2.25 L.1.22

“likelihood” A.3.47.2

likelihood-of-dumping and likelihood-of-injury tests, as separate inquiries A.3.52A.8

overall determination as basis A.3.52A.3–4

“positive evidence”/“objective examination” requirement (AD 3.1) A.3.47.3–4 A.3.47.5 A.3.48A.4 E.3.1.10

absolute certainty A.3.47.4 E.3.2.7

presumptions, reliance on A.3.52

probability, need for A.3.40.1

relevant factors

factors other than margins of dumping/import volumes A.3.51.3 A.3.51.4

import volumes A.3.51.1–2

margins of dumping A.3.13.1 A.3.48.1–2 A.3.51.1–2

see also applicability of, AD 2.4 (calculation of dumping margin) above

situation before and after AD duty order A.3.51.4

WTO-inconsistent methodology A.3.49.2–4 A.3.51.5

threshold finding, relevance A.3.48A.5–6

methodology, absence of provision A.3.48.1 A.3.48.3 A.3.48.4 A.3.48A.5–6 A.3.50.1 A.3.52A.2

parties’ rights

full opportunity for defence of interests A.3.47A.1

“interested party” (AD 11.2) A.3.50.1

notice of process A.3.47A.1

reasons for determination A.3.47A.1

SCM Agreement, sunset review (SCM 21.3), identity of provisions A.3.63.3 I.3.3.1–2

time-limits (AD 11.4) A.3.47A.2

diligence, need for A.3.47A.2
 

sunset review (SCM 21.3)

burden/standard of proof

in case of “duly substantiated request” by domestic industry S.2.32.6

original investigation requirements (SCM 11 and 12) distinguished S.2.33

review on initiative of investigating authorities S.2.32.6–7

de minimis standard

absence of reference to, relevance I.3.3.1–2 S.2.21.2 S.2.32.2 S.2.32.5

termination of investigation provisions (SCM 11.9) distinguished S.2.21.1–3

time-bound limitation on countervailing duties (SCM 11.9) I.3.10.11 S.2.31.5 S.2.32

original investigation requirements distinguished S.2.32.3–4 S.2.32.7 S.2.33

“likely to lead to continuation or recurrence of subsidization and injury” test (SCM 21.3) S.2.32

sunset review (AD 11.3), identity of provisions A.3.63.3 I.3.3.1–2
 

suspension of concessions (DSU 22) S.9

authorization, need for (DSU 3.7, 22.6 and 23.2(c)) R.0.2 S.9.1 S.9.3

as “available” (discretionary) measure S.9.10

level (DSU 22.4) S.9.2

as temporary measure/termination on compliance with DSB recommendations or rulings (DSU 22.8) S.9.4 ARB.3.1.2

change of justification by non-complying Member, relevance T.6.4

continued application of authorized measure as “seeking of redress” R.0.2–3

“determination” of violation by Member (DSU 23.2(a)) R.0.6

DSB decision, circumstances requiring S.9.9

DSU 21.5 proceedings to resolve disagreement on compliance

automatic (ipso jure) termination of authorization on determination of compliance S.9.4

burden of proof B.3.5.2

continuance in absence of determination S.9.9

continuance of suspension during S.9.4

continued suspension as impairment of benefits (DSU 3.3) R.0.6 S.9.4

pre-judgement of outcome S.9.8

DSU 22.8 conditions as alternatives S.9.5

good faith intentions and compliance distinguished B.3.5.1 P.3.1.18 R.4.3.2 S.9.5

interrelationship between DSU 22.8 and DSU 23 R.0.2

mutually agreed solution (DSU 3.7) M.6.1 R.5.9

mutually satisfactory solution (DSU 22.8) M.6.1 R.5.9 S.9.4

as ongoing action R.4.6.6

parties’ shared responsibility to bring about conditions allowing for termination of suspension S.9.4

early initiation of DSU 21.5 proceedings, desirability R.4.6.3 S.9.6

“removal” of inconsistent measure S.9.4

surveillance obligation (DSU 21.6/DSU 22.8) R.0.6 S.9.4 S.9.9
 

sustainable development (WTO preamble) G.3.7.3

see also measures relating to the conservation of exhaustible natural resources (GATT XX(g))
 

Abbreviations used on this page