De feedbackeffecten van de geschillenregeling van de WTO. Een studie van de Amerikaanse reactie op de werking van de DSU. (Trees Robijns)

 

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Bijlagen

 

Bijlage 1: Dispute Settlement System onder het Havana Charter: artikels 92-97[371]

 

Chapter VIII: Settlement of Differences

 

Article 92: Reliance on the Procedures of the Charter

1. The Members undertake that they will not have recourse, in relation to other Members and to the Organization, to any procedure other than the procedures envisaged in this Charter for complaints and the settlement of differences arising out of its operation.

2. The Members also undertake, without prejudice to any other international agreement, that they will not have recourse to unilateral economic measures of any kind contrary to the provisions of this Charter.

 

Article 93: Consultation and Arbitration

1. If any Member considers that any benefit accruing to it directly or indirectly , implicitly or explicitly, under any of the provisions of this Charter other than Article 1, is being nullified or impaired as a result of

 (a) a breach by a Member of an obligation under this Charter by action or failure to act, or

 (b) the application by a Member of a measure not conflicting with the provisions of this Charter, or

 (c) the existence of any other situation

the Member may, with a view to the satisfactory adjustment of the matter, make written representations or proposals to such other Member or Members as it considers to be concerned, and the Members receiving them shall give sympathetic consideration thereto.

2. The Members concerned may submit the matter arising under paragraph 1 to arbitration upon terms agreed between them; provided that the decision of the arbitrator shall not be binding for any purpose upon the Organization or upon any Member other than the Members participating in the arbitration.

3. The Members concerned shall inform the Organization generally of the progress and outcome of any discussion, consultation or arbitration undertaken under this Charter.

Article 94: Reference to the Executive Board

1. Any matter arising under sub-paragraphs (a) or (b) of paragraph 1 of Article 93 which is not satisfactorily settled and any matter which arises under paragraph 1 (c) of Article 93 may be referred by any Member concerned to the Executive Board.

2. The Executive Board shall promptly investigate the matter and shall decide whether any nullification or impairment within the terms of paragraph 1 of Article 93 in fact exists. It shall then take such of the following steps as may be appropriate:

(a) decide that the matter does not call for any action;

(b) recommend further consultation to the Members concerned;

(c) refer the matter to arbitration upon such terms as may be agreed between the Executive Board and the Members concerned;

(d) in any matter arising under paragraph 1 (a) of Article 93, request the Member concerned to take such action as may be necessary for the Member to conform to the provisions of this Charter;

(e) in any matter arising under sub-paragraph (b) or (c) of paragraph 1 of Article 93, make such recommendations to Members as will best assist the Members concerned and contribute to a satisfactory adjustment.

3. If the Executive Board considers that action under sub-paragraphs (d) and (e) of paragraph 2 is not likely to be effective in time to prevent serious injury, and that any nullification or impairment found to exist within the terms of paragraph 1 of Article 93 is sufficiently serious to justify such action, it may, subject to the provisions of paragraph 1 of Article 95, release the Member or Members affected from obligations or the grant of concessions to any other Member or Members under or pursuant to this Charter, to the extent and upon such conditions as it considers appropriate and compensatory, having regard to the benefit which has been nullified or impaired.

4. The Executive Board may, in the course of its investigation, consult with such Members or inter-governmental organizations upon such matters within the scope of this Charter as it deems appropriate. It may also consult any appropriate commission of the Organization on any matter arising under this Chapter.

5. The Executive Board may bring any matter, referred to it under this Article, before the Conference at any time during its consideration of the matter.

 

Article 95: Reference to the Conference

1. The Executive Board shall, if requested to do so within thirty days by a Member concerned, refer to the Conference for review any action, decision or recommendation by the Executive Board under paragraphs 2 or 3 of Article 94. Unless such review has been asked for by a Member concerned, Members shall be entitled to act in accordance with any action, decision or recommendation of the Executive Board under paragraphs 2 or 3 of Article 94. The Conference shall confirm, modify or reverse such action decision or recommendation referred to it under this paragraph.

2. Where a matter arising under this Chapter has been brought before the Conference by the Executive Board, the Conference shall follow the procedure set out in paragraph 2 of Article 94 for the Executive Board.

3. If the Conference considers that any nullification or impairment found to exist within the terms of paragraph 1 (a) of Article 93 is sufficiently serious to justify such action, it may release the Member or Members affected from obligations or the grant of concessions to any other Member or Members under or pursuant to this Charter, to the extent and upon such conditions as it considers appropriate and compensatory, having regard to the benefit which has been nullified or impaired. If the Conference considers that any nullification or impairment found to exist within the terms of sub-paragraphs (b) or (c) of paragraph 1 of Article 93 is sufficiently serious to justify such action, it may similarly release a Member or Members to the extent and upon such conditions as will best assist the Members concerned and contribute to a satisfactory adjustment

4. When any Member or Members, in accordance with the provisions of paragraph 3, suspend the performance of any obligation or the grant of any concession to another Member, the latter Member shall be free, not later than sixty days after such action is taken, or if an opinion has been requested from the International Court of Justice pursuant to the provisions of Article 96, after such opinion has been delivered, to give written notice of withdrawal from the Organization. Such withdrawal shall become effective upon the expiration of sixty days from the day on which such notice is received by the Director-General.

 

 

Article 96: Reference to the International Court of Justice

1. The Organization may, in accordance with arrangements made pursuant to paragraph 2 of Article 96 of the Charter of the United Nations, request from the International Court of Justice advisory opinions on legal questions arising within the scope of the activities of the Organization.

2. Any decision of the Conference under this Charter shall, at the instance of any Member whose interests are prejudiced by the decision, be subject to review by the International Court of Justice by means of a request, in appropriate form, for an advisory opinion pursuant to the Statute of the Court.

3. The request for an opinion shall be accompanied by a statement of the question upon which the opinion is required and by all documents likely to throw light upon the question. This statement shall be furnished by the Organization in accordance with the Statute of the Court and after consultation with the Members substantially interested.

4. Pending the delivery of the opinion of the Court, the decision of the Conference shall have full force and effect; Provided that the Conference shall suspend the operation of any such decision pending the delivery of the opinion where, in the view of the Conference, damage difficult to repair would otherwise be caused to a Member concerned.

5. The Organization shall consider itself bound by the opinion of the Court on any question referred by it to the Court. In so far as it does not accord with the opinion of the Court, the decision in question shall be modified.

 

 

Article 97: Miscellaneous Provisions

1. Nothing in this Chapter shall be construed to exclude other procedures provided for in this Charter for consultation and the settlement of differences arising out of its operation. The Organization may regard discussion, consultation or investigation undertaken under any other provisions of this Charter as fulfilling, either in whole or in part, any similar procedural requirement in this Chapter.

2. The Conference and the Executive Board shall establish such rules of procedure as may be necessary to carry out the provisions of this Chapter.

 

 

Bijlage 2: Dispute Settlement System onder de GATT: artikels XXII en XXIII[372]

 

Article XXII: Consultation

 

1.Each contracting party shall accord sympathetic consideration to, and shall afford adequate opportunity for consultation regarding, such representations as may be made by another contracting party with respect to any matter affecting the operation of this Agreement.

2.The CONTRACTING PARTIES may, at the request of a contracting party, consult with any contracting party or parties in respect of any matter for which it has not been possible to find a satisfactory solution through consultation under paragraph 1.

 

Article XXIII: Nullification or Impairment

 

1.If any contracting party should consider that any benefit accruing to it directly or indirectly under this Agreement is being nullified or impaired or that the attainment of any objective of the Agreement is being impeded as the result of

(a)the failure of another contracting party to carry out its obligations under this Agreement, or

(b)the application by another contracting party of any measure, whether or not it conflicts with the provisions of this Agreement, or

(c)the existence of any other situation,

the contracting party may, with a view to the satisfactory adjustment of the matter, make written representations or proposals to the other contracting party or parties which it considers to be concerned. Any contracting party thus approached shall give sympathetic consideration to the representations or proposals made to it.

2.If no satisfactory adjustment is effected between the contracting parties concerned within a reasonable time, or if the difficulty is of the type described in paragraph 1 (c) of this Article, the matter may be referred to the CONTRACTING PARTIES. The CONTRACTING PARTIES shall promptly investigate any matter so referred to them and shall make appropriate recommendations to the contracting parties which they consider to be concerned, or give a ruling on the matter, as appropriate. The CONTRACTING PARTIES may consult with contracting parties, with the Economic and Social Council of the United Nations and with any appropriate inter-governmental organization in cases where they consider such consultation necessary. If the CONTRACTING PARTIES consider that the circumstances are serious enough to justify such action, they may authorize a contracting party or parties to suspend the application to any other contracting party or parties of such concessions or other obligations under this Agreement as they determine to be appropriate in the circumstances. If the application to any contracting party of any concession or other obligation is in fact suspended, that contracting party shall then be free, not later than sixty days after such action is taken, to give written notice to the Executive Secretary to the Contracting Parties of its intention to withdraw from this Agreement and such withdrawal shall take effect upon the sixtieth day following the day on which such notice is received by him.

 

 

Bijlage 3: Dispute Settlement System onder de WTO: Schematische Voorstelling[373]

 

Stap 1: Consultaties

Artikel 4 DSU

60 dagen

Spreekt voor zichzelf.

 

Stap 2-3: Oprichting van het panel

Artikel 6 DSU

45 dagen

-Het land dat vragende partij is kan de oprichting van een panel vragen. (stap 2) Het niet oprichten van een panel gebeurd via negatieve consensus.

-Het aangeklaagde land kan een dergelijke oprichting door het DSB één keer blokkeren. (artikel 6.1 DSU).

-Het panel wordt opgericht. (stap 3)

 

Stap 4: Panelrapport

(3 leden, tenzij men overeenkomt dat het er 5 zullen zijn)

Artikels 8 en 11 DSU

6 maanden (3 of 9 maanden in noodgevallen: artikel 12.8 en 12.9 DSU)

Voor de eerste zitting van het panel zenden de partijen een schriftelijk relaas van het conflict naar het panel.

Tijdens een eerste hoorzitting presenteert de aanklagende partij zijn zaak en kan de aangeklaagde zich verdedigen.

Tijdens een tweede hoorzitting kunnen geschreven standpunten worden ingediend en kunnen mondelinge pleidooien worden gehouden. Het panel kan in deze fase ook experten consulteren.

Het panel zendt een ontwerprapport naar de partijen. Dat bestaat uitsluitend uit de feiten en uit de argumenten, nog geen oordeel. De partijen hebben twee weken om commentaar te geven.

Het panel zendt zijn interimrapport naar de twee partijen die één week krijgen om commentaar te geven. (artikel 15)

Gedurende een maximumperiode van twee weken kan het panel aan een herziening van zijn rapport werken, daarbij eventueel de partijen uitnodigend op een extra hoorzitting.

Een eindrapport wordt aan de partijen overgemaakt. Drie weken later wordt het naar alle WTO-leden gezonden. In dat rapport kan het panel –indien een akkoord geschonden is- maatregelen suggereren ter verhelping daarvan.

 

Stap 5: Goedkeuring van het rapport door de DSB

Artikel 16 DSU

60 dagen

Het DSB bespreekt het rapport en keurt het goed. De partijen kunnen nog commentaren aan de DSB overmaken. De goedkeuring is automatisch tenzij de DSB bij consensus beslist het rapport niet goed te keuren of indien één van de partijen in beroep gaat. Dit noemt men de negatieve consensus. (artikel 16.4 DSU)

De partijen kunnen in beroep gaan. Een beroep kan geen betrekking hebben op de feiten, alleen op juridische punten zoals de interpretatie van de akkoorden. (artikel 17.6 DSU)

 

Stap 6: Het beroepsorgaan doet een uitspraak (7 personen waarvan 3 in elke case zitting moeten hebben)

Artikel 17 DSU

60 dagen

De leden van het Beroepsorgaan brengen een nieuw rapport uit. Deze leden worden voor een periode van 4 jaar aangesteld die één maal hernieuwbaar is. De aanstelling gebeurt door de DSB.

Binnen de dertig dagen keurt de DSB dit rapport goed. Paragraaf 14 van artikel 17 DSU stelt het als volgt:

“An Appellate Body report shall be adopted by the DSB and unconditionally accepted by the parties to the dispute unless the DSB decides by consensus not to adopt the Appellate Body report within 30 days following its circulation to the Members. This adoption procedure is without prejudice to the right of Members to express their views on an Appellate Body report.”

 

Stap 7: Verhelpen aan het probleem

Artikels 19 en 21 DSU

30 dagen of ‘reasonable period of time’

De aangeklaagde staat moet aangeven op welke manier het aan het probleem zal verhelpen. Dat gebeurt op een vergadering van de DSB.

Indien de aangeklaagde staat dit niet binnen de 30 dagen kan doen, dient het onderhandelingen met de aanklager op te starten. Deze zullen over compensaties handelen.

De aangeklaagde staat kan ook vragen om een “reasonable period of time” om het probleem te verhelpen. Deze periode kan op de volgende manieren worden vastgesteld:

 -Een periode voorgesteld door de aangeklaagde partij en goedgekeurd door de DSB.

 -Een periode die tussen de partijen wordt overeengekomen. Zij hebben daarvoor 45 dagen de tijd.

 -Bij afwezigheid van een akkoord tussen de partijen, een termijn die via arbitrage wordt vastgesteld. Als algemene regel geldt daarbij dat deze in principe de termijn van vijftien maanden niet overschrijdt, hoewel bijzondere omstandigheden dit kunnen toelaten. (artikel 21.3c DSU)

 

Stap 8: Eventuele retorsiemaatregelen

Artikels 21, 22 en 25 DSU

20-30-60 dagen

Wanneer de aangeklaagde staat in gebreke blijft, kan de aanklager de zaak aan het DSB voorleggen. Dit kan slechts indien na 20 dagen onderhandelingen over compensaties niets hebben opgeleverd. Die 20 dagen starten op de dag dat de “reasonable period of time” voor de implementatie van de maatregelen is afgelopen. Twisten over de gebrekkige implementatie tussen de twee landen worden naar het oorspronkelijke panel verwezen (artikel 21.5 DSU), dat binnen de 90 dagen een uitspraak moet doen. Een beroep daartegen is evenwel ook weer mogelijk (artikel 21.2 verwijst immers naar het feit dat het betrokken dispuut beslist zal worden “(…) through recourse to these dispute settlement procedures, including wherever possible resort to the panel.”

Binnen de 30 dagen moet het DSB een uitspraak doen over de vraag of het betrokken land tot het nemen van retorsiemaatregelen mag overgaan (artikel 22.6 DSU). Dat staat ze toe tenzij bij consensus die toestemming wordt verworpen. Retorsies gebeuren onder de vorm van beperkte handelssancties (“suspension of concessions or obligations”).

De omvang van de retorsie kan het voorwerp van arbitrage uitmaken (artikels 22.6 en 22.7 DSU). Die gebeurt door het oorspronkelijke panel –als het nog beschikbaar is- of door een arbitrator die door de directeur-generaal wordt aangeduid. Deze heeft 60 dagen tijd om een definitieve uitspraak te doen (artikel 22.6 DSU). Hij kan tevens de partij die in het gelijk is gesteld aanmanen de bedoelde maatregelen te nemen overeenkomstig de principes van artikel 22.3 DSU, dus volgens het principe: binnen de eigen sector –binnen hetzelfde akkoord- uit andere akkoorden. Zo een uitspraak kan hij alleen maar doen indien de aangeklaagde partij van oordeel is dat de aanklager van plan is maatregelen te nemen die dat principe niet respecteren.

 

 

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