WORLD TRADE  
ORGANIZATION  WT/AB/WP/3* 
24 January 2002 
 (02-0459) 
Appellate Body  
  
 
     
 
   
WORKING PROCEDURES 
 
FOR 
 
APPELLATE REVIEW 
 
     
 
 
NOTE:  This version of the Working Procedures for Appellate 
Review  is no longer in force.  See the latest number in the 
WT/AB/WP document series for the current version.  
 
     
 
This is a consolidated, revised version of the Working Procedures for Appellate Review , reflecting the 
amendment to Rule 5(2).  This doc ument replaces the version of the Working Procedures for 
Appellate Review  dated 28 February 1997. 
                                                     
 
*NOTE CONCERNING DOCUMENT NUMBER:  This version of the  Working Procedures for Appellate 
Review  was originally issued on 24 January 2002 as document WT/AB/WP/4.  For technical reasons (explained 
in WT/AB/WP/W/9), it has been re-issued on 4 January 2005 as document WT/AB/WP/3.    WT/AB/WP/3 
   Page 1  
 
 Definitions  
 
1. In these Working Procedures for Appellate Review , 
 "appellant" 
  means any party to the dispute that has f iled a Notice of Appeal pursuant to Rule 20 
or has filed a submission pursuant to paragraph 1 of Rule 23; 
  "appellate report" 
  means an Appellate Body report as described in Article 17 of the DSU; 
  "appellee"   means any party to the dispute that ha s filed a submission pursuant to Rule 22 or 
paragraph 3 of Rule 23; 
  "consensus"   a decision is deemed to be made by consensus if no Member formally objects to it;  
 
"covered agreements"   has the same meaning as "covered agreemen ts" in paragraph 1 of Article 1 of the 
DSU; 
 
 
"division"   means the three Members who are selecte d to serve on any one appeal in accordance 
with paragraph 1 of Article 17 of th e DSU and paragraph 2 of Rule 6; 
  
"documents" 
  means the Notice of Appeal and the submissions and other written statements 
presented by the participants; 
  
"DSB" 
  means the Dispute Settlement Body established under Article 2 of the  DSU;   "DSU"   means the Understanding on Rules and Procedures Governing the Settlement of 
Disputes  which is Annex 2 to the  WTO Agreement ; 
  "Member"   means a Member of the Appellate Body  who has been appointed by the DSB in 
accordance with Article 17 of the DSU; 
  WT/AB/WP/3 
Page 2  
 
 "participant" 
  means any party to the dispute that has f iled a Notice of Appeal pursuant to Rule 20 
or a submission pursuant to Rule 22 or paragraphs 1 or 3 of Rule 23; 
  
"party to the dispute" 
  means any WTO Member who was a complaining or defending party in the panel 
dispute, but does not include a third party; 
  
"proof of service" 
  means a letter or other written acknowledge ment that a document has been delivered,  
as required, to the parties to the dispute, par ticipants, third parties or third participants, 
as the case may be; 
 
 
"Rules"   means these Working Procedures for Appellate Review;  
  "Rules of Conduct " 
  means the Rules of Conduct for the Understanding on Rules and Procedures 
Governing the Settlement of Disputes  as attached in Annex II to these Rules; 
  "SCM Agreement " 
  means the Agreement on Subsidies and Countervailing Measures  which is in 
Annex 1A to the WTO Agreement;  
  "Secretariat"   means the Appellate Body Secretariat; 
 
 "service address"   means the address of the party to the dispute, participant, third party or third 
participant as generally used in WTO di spute settlement proceedings, unless the party 
to the dispute, participant, third party or third participant has clearly indicated another 
address; 
  "third participant"    means any third party that has f iled a submission pursuant to Rule 24; 
 
 "third party"   means any WTO Member who has notified th e DSB of its substantial interest in the 
matter before the panel pursuant to pa ragraph 2 of Article 10 of the DSU; 
 
 "WTO"   means the World Trade Organization;   WT/AB/WP/3 
 Page 3 
 
 
  
"WTO Agreement " 
  means the Marrakesh Agreement Establishi ng the World Trade Organization , done at 
Marrakesh, Morocco on 15 April 1994; 
 
 
"WTO Member"   means any State or separate customs te rritory possessing full autonomy in the conduct 
of its external commercial relations that has accepted or acceded to the WTO in accordance with Articles XI, XII or XIV of the WTO Agreement;   and 
 
 "WTO Secretariat"   means the Secretariat of the World Trade Organization.  WT/AB/WP/3 
Page 4  
 
 PART I 
 
MEMBERS 
 
 
Duties and Responsibilities 
 
2. (1) A Member shall abide by the terms an d conditions of the DSU, these Rules and any 
decisions of the DSB affecting the Appellate Body. 
 
(2) During his/her term, a Member shall not accept any employment nor pursue any 
professional activity that is inconsistent  with his/her duties and responsibilities. 
 
(3) A Member shall exercise his/her office without accepting or seeking instructions from 
any international, governmental, or non-go vernmental organization or any private 
source. 
 
(4) A Member shall be available at all times and on short notice and, to this end, shall 
keep the Secretariat informed of his/her whereabouts at all times. 
  
Decision-Making 
 
3. (1) In accordance with paragraph 1 of Arti cle 17 of the DSU, decisions relating to an 
appeal shall be taken solely by the divisi on assigned to that appeal.  Other decisions 
shall be taken by the Appellate Body as a whole. 
 
(2) The Appellate Body and its divisions shall make every effort to take their decisions 
by consensus.  Where, nevertheless, a deci sion cannot be arrived at by consensus, the 
matter at issue shall be decided by a majority vote. 
  
Collegiality 
 
4. (1) To ensure consistency and coheren ce in decision-making, and to draw on the 
individual and collective expertise of the Members, the Members shall convene on a 
regular basis to discuss matters of policy, practice and procedure. 
 
(2) The Members shall stay abreast of dis pute settlement activities and other relevant 
activities of the WTO and, in particular, each Member shall receive all documents filed in an appeal.  
 
(3) In accordance with the obj ectives set out in paragraph 1, the division responsible for 
deciding each appeal shall exchange view s with the other Members before the 
division finalizes the appellate report for circulation to the WTO Members.  This paragraph is subject to para graphs 2 and 3 of Rule 11. 
 
(4) Nothing in these Rules shall be interp reted as interfering with a division's full 
authority and freedom to hear and decide an  appeal assigned to it in accordance with 
paragraph 1 of Article 17 of the DSU. 
  WT/AB/WP/3 
 Page 5 
 
 
 Chairman 
 
5. (1) There shall be a Chairman of the A ppellate Body who shall be elected by the 
Members. 
 
(2) The term of office of the Chairman of the Appellate Body shall be one year.  The 
Appellate Body Members may decide to exte nd the term of office for an additional 
period of up to one year.  However, in orde r to ensure rotation of the Chairmanship, 
no Member shall serve as Chairman for more than two consecutive terms. 
 
(3) The Chairman shall be responsible for the overall direction of the Appellate Body 
business, and in particular, his/her responsibilities shall include: 
 
(a) the supervision of the internal f unctioning of the Appellate Body;  and 
(b) any such other duties as the Member s may agree to entrust to him/her. 
 
(4) Where the office of the Chairman beco mes vacant due to permanent incapacity as a 
result of illness or death or by resignation or expiration of his/her term, the Members 
shall elect a new Chairman who shall serve a full term in accordance with 
paragraph 2. 
 
(5) In the event of a temporary absence or incapacity of the Chairman, the Appellate 
Body shall authorize another Member to act as Chairman ad interim , and the Member 
so authorized shall temporarily exercise all the powers, duties and functions of the Chairman until the Chairman is capable of resuming his/her functions. 
 
 
Divisions 
 
6. (1) In accordance with paragraph 1 of Arti cle 17 of the DSU, a division consisting of 
three Members shall be established to hear and decide an appeal. 
 
(2) The Members constituting a division shall be  selected on the basis of rotation, while 
taking into account the principles of random selection, unpredictability and opportunity for all Members to serve regardless of their national origin. 
 
(3) A Member selected pursuant to paragraph 2 to serve on a division shall serve on that 
division, unless: 
 
(i) he/she is excused from that division pursuant to Rules 9 or 10;  (ii) he/she has notified the Chairman a nd the Presiding Member that he/she is 
prevented from serving on the division because of illness or other serious reasons pursuant to Rule 12;  or 
(iii) he/she has notified his/her inten tions to resign pursuant to Rule 14.  
 WT/AB/WP/3 
Page 6  
 
 Presiding Member of the Division 
 
7. (1) Each division shall have a Presiding Member, who shall be elected by the Members 
of that division. 
 
(2) The responsibilities of the Presiding Member shall include: 
 
(a) coordinating the overall conduct of the appeal proceeding; (b) chairing all oral hearings and mee tings related to that appeal;  and 
(c) coordinating the drafting of the appellate report. 
 
(3) In the event that a Presiding Member beco mes incapable of performing his/her duties, 
the other Members serving on that division and the Member selected as a replacement pursuant to Rule 13 shall elect one of their number to act as the Presiding Member. 
 
 
Rules of Conduct 
 
8. (1) On a provisional basis, the Appellate Body adopts those provisions of the Rules of 
Conduct  for the Understanding on Rules and Procedures Governing the Settlement of 
Disputes , attached in Annex II to these Rules,  which are applicable to it, until Rules 
of Conduct  are approved by the DSB.  
 
(2) Upon approval of  Rules of Conduct  by the DSB, such Rules of Conduct  shall be 
directly incorporated and become part of  these Rules and shall supersede Annex II. 
 
9. (1) Upon the filing of a Notice of Appeal, each Member shall take the steps set out in 
Article VI:4(b)(i) of Annex II, and a Memb er may consult with the other Members 
prior to completing the disclosure form. 
 
(2) Upon the filing of a Notice of Appeal, the professional staff of the Secretariat 
assigned to that appeal shall take the steps set out in Article VI:4(b)(ii) of Annex II. 
 
(3) Where information has been submitted pur suant to Article VI:4(b)(i) or (ii) of 
Annex II, the Appellate Body shall consid er whether further action is necessary. 
 
(4) As a result of the Appellate Body's consideration of the matter pursuant to 
paragraph 3, the Member or the professional staff member concerned may continue to 
be assigned to the division or may be excused from the division. 
 10. (1) Where evidence of a material viola tion is filed by a participant pursuant to 
Article VIII of Annex II, such evidence sh all be confidential and shall be supported 
by affidavits made by persons having ac tual knowledge or a reasonable belief as to 
the truth of the facts stated. 
 
(2) Any evidence filed pursuant to Article VIII: 1 of Annex II shall be filed at the earliest 
practicable time:  that is, forthwith af ter the participant submitting it knew or 
reasonably could have known of the facts supporting it.  In no case shall such 
evidence be filed after the appellate report  is circulated to the WTO Members.  
 
(3) Where a participant fails to submit such evidence at the earliest practicable time, it 
shall file an explanation in writing of the reasons why it did not do so earlier, and the  WT/AB/WP/3 
 Page 7 
 
 
 Appellate Body may decide to consider or not to consider such evidence, as 
appropriate.  
 
(4) While taking fully into account paragraph 5 of Article 17 of the DSU, where evidence 
has been filed pursuant to Article VIII of A nnex II, an appeal shall be suspended for 
fifteen days or until the procedure referred to in Article VIII:14-16 of Annex II is 
completed, whichever is earlier. 
 
(5) As a result of the procedure referred to in Article VIII:14-16 of Annex II, the 
Appellate Body may decide to dismiss th e allegation, to excuse the Member or 
professional staff member concerned from being assigned to the division or make 
such other order as it deems necessary in accordance with Article VIII of Annex II. 
 11. (1) A Member who has submitted a disclosur e form with information attached pursuant 
to Article VI:4(b)(i) or is the subject of evidence of a material violation pursuant to 
Article VIII:1 of Annex II, shall not par ticipate in any decision taken pursuant to 
paragraph 4 of Rule 9 or paragraph 5 of Rule 10. 
 
(2) A Member who is excused from a divisi on pursuant to paragraph 4 of Rule 9 or 
paragraph 5 of Rule 10 shall not take part in the exchange of views conducted in that 
appeal pursuant to paragraph 3 of Rule 4. 
 
(3) A Member who, had he/she been a Member  of a division, would have been excused 
from that division pursuant to paragraph 4 of  Rule 9, shall not take part in the 
exchange of views conducted in that app eal pursuant to paragraph 3 of Rule 4. 
 
 
Incapacity 
 
12. (1) A Member who is prevented from serving on a division by illness or for other serious 
reasons shall give notice and duly explain su ch reasons to the Chairman and to the 
Presiding Member. 
 
(2) Upon receiving such notice, the Chairman  and the Presiding Member shall forthwith 
inform the Appellate Body. 
  
Replacement 
 
13.  Where a Member is unable to serve on a division for a reason set out in paragraph 3 
of Rule 6, another Member shall be sel ected forthwith pursuant to paragraph 2 of 
Rule 6 to replace the Member origin ally selected for that division. 
 
 
Resignation 
 
14. (1) A Member who intends to resign from his/ her office shall notify his/her intentions in 
writing to the Chairman of the Appellate Body who shall immediately inform the 
Chairman of the DSB, the Director-General and the other Members of the Appellate 
Body. 
 WT/AB/WP/3 
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 (2) The resignation shall take effect 90 days after the notification has been made pursuant 
to paragraph 1, unless the DSB, in consu ltation with the Appellate Body, decides 
otherwise. 
  
Transition 
 
15.  A person who ceases to be a Member of the Appellate Body may, with the 
authorization of the Appellate Body and upo n notification to the DSB, complete the 
disposition of any appeal to which that pe rson was assigned while a Member, and that 
person shall, for that purpose only, be deemed to continue to be a Member of the 
Appellate Body.  WT/AB/WP/3 
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 PART II 
 
PROCESS 
 
 
General Provisions 
 
16. (1) In the interests of fairness and orderly procedure in the conduct of an appeal, where a 
procedural question arises that is not cove red by these Rules, a division may adopt an 
appropriate procedure for the purposes of that appeal only, provided that it is not 
inconsistent with the DSU, the other c overed agreements and these Rules.  Where 
such a procedure is adopted, the Division shall immediately notify the participants and third participants in the appeal as well as the other Members of the Appellate 
Body. 
 
(2) In exceptional circumstances, where strict adherence to a time pe riod set out in these 
Rules would result in a manifest unfairness, a party to the dispute, a participant, a 
third party or a third participant may request that a division modify a time period set out in these Rules for the filing of documen ts or the date set out in the working 
schedule for the oral hearing.  Where such  a request is granted by a division, any 
modification of time shall be notified to the parties to the dispute, participants, third 
parties and third participants in a revised working schedule. 
 17. (1) Unless the DSB decides otherwise, in computing any time period stipulated in the 
DSU  or in the special or additional provisions  of the covered agreements, or in these 
Rules, within which a communication must be made or an action taken by a WTO 
Member to exercise or preserve its rights,  the day from which the time period begins 
to run shall be excluded and, subject to pa ragraph 2, the last day of the time-period 
shall be included. 
 
(2) The DSB Decision on "Expiration of Time-Periods in the DSU", WT/DSB/M/7, shall 
apply to appeals heard by divisions of the Appellate Body. 
 
 
Documents 
 
18. (1) No document is considered filed w ith the Appellate Body unless the document is 
received by the Secretariat within the time period set out for filing in accordance with 
these Rules. 
 
(2) Except as otherwise provided in these Rules,  every document filed by a party to the 
dispute, a participant, a third party or a th ird participant shall be served on each of the 
other parties to the dispute, participants, third parties and third participants in the 
appeal. 
 
(3) A proof of service on the other parties to the dispute, participants, third parties and 
third participants shall appear on, or be  affixed to, each document filed with the 
Secretariat under paragraph 1 above. 
 WT/AB/WP/3 
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 (4) A document shall be served by the mo st expeditious means of delivery or 
communication available, including by: 
 
(a) delivering a copy of the document to  the service address of the party to the 
dispute, participant, third party or third participant;  or 
(b) sending a copy of the document to the service address of the party to the 
dispute, participant, third party or thir d participant by facsimile transmission, 
expedited delivery courier or expedited mail service. 
 
(5) Upon authorization by the division, a participant or a third participant may correct 
clerical errors in any of its submissions. Su ch correction shall be made within 3 days 
of the filing of the original submission and a copy of the revised version shall be filed 
with the Secretariat and served upon the ot her participants and third participants. 
  
Ex Parte Communications 
 
19. (1) Neither a division nor any of its Member s shall meet with or contact one participant 
or third participant in the absence of the ot her participants and third participants.  
 
(2) No Member of the division may discuss any aspect of the subject matter of an appeal 
with any participant or third participant in the absence of the other Members of the 
division. 
 
(3) A Member who is not assigned to the division hearing the appeal shall not discuss 
any aspect of the subject matter of the appeal with any participant or third participant. 
 
 
Commencement of Appeal 
 
20. (1) An appeal shall be commenced by notif ication in writing to the DSB in accordance 
with paragraph 4 of Article 16 of the DS U and simultaneous filing of a Notice of 
Appeal with the Secretariat. 
 
(2) A Notice of Appeal shall include the following information: 
 
(a) the title of the panel report under appeal; 
(b) the name of the party to the dispute filing the Notice of Appeal; 
(c) the service address, telephone and facsimile numbers of the party to the 
dispute;  and 
(d) a brief statement of the nature of the appeal, including the allegations of 
errors in the issues of law covered in the panel report and legal interpretations 
developed by the panel. 
 
 
Appellant's Submission 
 
21. (1) The appellant shall, within 10 days after the date of the filing of the Notice of Appeal, 
file with the Secretariat a written submission prepared in accordance with paragraph 2 
and serve a copy of the submission on the other parties to the dispute and third 
parties. 
  WT/AB/WP/3 
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 (2) A written submission referred to in paragraph 1 shall  
 
(a) be dated and signed by the appellant;  and 
(b) set out 
 
(i) a precise statement of the grounds for the appeal, including the 
specific allegations of errors in the issues of law covered in the panel report and legal interpretati ons developed by the panel, and 
the legal arguments in support thereof; 
(ii) a precise statement of the provisions of the covered agreements and 
other legal sources relied on;  and 
(iii) the nature of the decision or ruling sought. 
  
Appellee's Submission 
 
22. (1) Any party to the dispute that wishes to respond to allegations raised in an appellant's 
submission filed pursuant to Rule 21 may, within 25 days after the date of the filing of the Notice of Appeal, file with the Secretariat a written submission prepared in accordance with paragraph 2 and serve a co py of the submission on the appellant, 
other parties to the dispute and third parties. 
 
(2) A written submission referred to in paragraph 1 shall 
 
(a) be dated and signed by the appellee;  and (b) set out 
 
(i) a precise statement of the grounds for opposing the specific 
allegations of errors in the issues of law covered in the panel report 
and legal interpretations develope d by the panel raised in the 
appellant's submission, and the legal arguments in support thereof; 
(ii) an acceptance of, or opposition to, each ground set out in the 
appellant's submission; 
(iii) a precise statement of the provi sions of the covered agreements and 
other legal sources relied on;  and 
(iv) the nature of the decision or ruling sought. 
 
 
Multiple Appeals 
 
23. (1) Within 15 days after the date of the filing of the Notice of Appeal, a party to the 
dispute other than the original appellant may join in that appeal or appeal on the basis 
of other alleged errors in the issues of law covered in the panel report and legal 
interpretations developed by the panel. 
 
(2) Any written submission made pursuant to pa ragraph 1 shall be in the format required 
by paragraph 2 of Rule 21. 
 
(3) The appellant, any appellee and any other party to the dispute that wishes to respond 
to a submission filed pursuant to paragra ph 1 may file a written submission within 
25 days after the date of the filing of the Notice of Appeal, and any such submission shall be in the format require d by paragraph 2 of Rule 22. 
 WT/AB/WP/3 
Page 12  
 
 (4) This Rule does not preclude a party to the dispute which has not filed a submission 
under Rule 21 or paragraph 1 of this Rule fro m exercising its right of appeal pursuant 
to paragraph 4 of Article 16 of the DSU. 
 
(5) Where a party to the dispute which h as not filed a submission under Rule 21 or 
paragraph 1 of this Rule exercises its right to appeal as set out in paragraph 4, a single 
division shall examine the appeals. 
  
Third Participants 
 
24.  Any third party may file a written submissi on, stating its intention to participate as a 
third participant in the appeal and cont aining the grounds and legal arguments in 
support of its position, within 25 days after the date of the filing of the Notice of Appeal. 
 
 
Transmittal of Record 
 
25. (1) Upon the filing of a Notice of Appeal, the Director-General of the WTO shall 
transmit forthwith to the Appellate Body the complete record of the panel proceeding. 
 
(2) The complete record of the panel pr oceeding includes, but is not limited to: 
 
(i) written submissions, rebuttal submissi ons, and supporting evidence attached 
thereto by the parties to the dispute and the third parties; 
(ii) written arguments submitted at the pa nel meetings with the parties to the 
dispute and the third parties, the record ings of such panel meetings, and any 
written answers to questions posed at such panel meetings; 
(iii) the correspondence relating to the pa nel dispute between the panel or the 
WTO Secretariat and the parties to the dispute or the third parties;  and 
(iv) any other documentation submitted to the panel. 
 
 
Working Schedule 
 
26. (1) Forthwith after the commencement of an appeal, the division shall draw up an 
appropriate working schedule for that app eal in accordance with the time periods 
stipulated in these Rules.  
 
(2) The working schedule shall set forth precise dates for the filing of documents and a 
timetable for the division's work, including where possible, the date for the oral 
hearing. 
 
(3) In accordance with paragraph 9 of Article  4 of the DSU, in appeals of urgency, 
including those which concern perishable  goods, the Appellate Body shall make 
every effort to accelerate the appellate proceed ings to the greatest extent possible.  A 
division shall take this into account in drawing up its working schedule for that 
appeal. 
 
(4) The Secretariat shall serve forthwith a co py of the working schedule on the appellant, 
the parties to the dispute and any third parties. 
  WT/AB/WP/3 
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Oral Hearing 
 
27. (1) A division shall hold an oral hearing, which shall be held, as a general rule, 30 days 
after the date of the filing of the Notice of Appeal. 
 
(2) Where possible in the working schedule or otherwise at the earliest possible date, the 
Secretariat shall notify all parties to the dispute, participants, third parties and third participants of the date for the oral hearing.  
 
(3) Any third participant who has filed a s ubmission pursuant to Rule 24 may appear to 
make oral arguments or presentations at the oral hearing. 
 
(4) The Presiding Member may, as necessary, set time-limits for oral arguments and 
presentations. 
 
 
Written Responses 
 
28. (1) At any time during the appellate proceedi ng, including, in particular, during the oral 
hearing, the division may address questions  orally or in writing to, or request 
additional memoranda from, any participant or  third participant, and specify the time 
periods by which written responses or memoranda shall be received. 
  (2) Any such questions, responses or memora nda shall be made available to the other 
participants and third participants in the a ppeal, who shall be given an opportunity to 
respond. 
  
Failure to Appear 
 
29.  Where a participant fails to file a subm ission within the required time periods or fails 
to appear at the oral hearing, the divi sion shall, after hearing the views of the 
participants, issue such order, includi ng dismissal of the appeal, as it deems 
appropriate. 
  
Withdrawal of Appeal 
 
30. (1) At any time during an appeal, the appellant may withdraw its appeal by notifying the 
Appellate Body, which shall forthwith notify the DSB.  
 
(2) Where a mutually agreed solution to a dispute which is the subject of an appeal has 
been notified to the DSB pursuant to paragraph 6 of Article 3 of the DSU, it shall be 
notified to the Appellate Body. 
  
Prohibited Subsidies 
 
31. (1) Subject to Article 4 of the SCM Agreement , the general provisions of these Rules 
shall apply to appeals relating to panel re ports concerning prohibited subsidies under 
Part II of that Agreement . 
 WT/AB/WP/3 
Page 14  
 
 (2) The working schedule for an appeal involving prohibited subsidies under Part II of 
the SCM Agreement  shall be as set out in Annex I to these Rules. 
Entry into Force and Amendment 
 
32. (1) These Rules shall enter in to force on 15 February 1996. 
 
(2) The Appellate Body may amend these Ru les in compliance with the procedures set 
forth in paragraph 9 of Article 17 of the DSU. 
 
(3) Whenever there is an amendment to the DS U or to the special or additional rules and 
procedures of the covered agreements, th e Appellate Body shall examine whether 
amendments to these Rules are necessary. 
  WT/AB/WP/3 
 Page 15 
 
 
 ANNEX I 
 
TIMETABLE FOR APPEALS 
 
 
 
 General Appeals  Prohibited Subsidies Appeals  
 Day Day Notice of Appeal
1 0 0 
Appellant's Submission2 10 5 
Other Appellant(s) Submission(s)3 15 7 
Appellee(s) Submission(s)4 
Third Participant(s) Submission(s)5 25 
25 12 
12 
Oral Hearing6 30 15 
Circulation of Appellate Report 60 – 907 30 – 608 
DSB Meeting for Adoption 90 – 1209 50 – 8010 
 
                                                      
1Rule 20. 
2Rule 21. 
3Rule 23(1). 
4Rules 22 and 23(3). 
5Rule 24. 
6Rule 27. 
7Article 17:5, DSU.  
8Article 4:9, SCM Agreement . 
9Article 17:14, DSU. 
10Article 4:9, SCM Agreement . WT/AB/WP/3 
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 ANNEX II 
 
RULES OF CONDUCT FOR THE 
UNDERSTANDING ON RULES AND PROCEDURES 
GOVERNING THE SETTLEMENT OF DISPUTES 
 
 
 I. Preamble  
 
 Members, 
 
 Recalling  that on 15 April 1994 in Marrakesh, Ministers welcomed the stronger and clearer 
legal framework they had adopted for the conduct of  international trade, including a more effective 
and reliable dispute settlement mechanism;  
 Recognizing  the importance of full adherence to th e Understanding on Rules and Procedures 
Governing the Settlement of Disputes ("DSU") and the principles for the management of disputes applied under Articles XXII and XXIII of GATT 1947, as further elaborated and modified by the 
DSU;   Affirming  that the operation of the DSU would be strengthened by rules of conduct designed 
to maintain the integrity, impartiality and conf identiality of proceedings conducted under the DSU 
thereby enhancing confidence in the new dispute settlement mechanism; 
   Hereby establish the following Rules of Conduct. 
 
 
 II. Governing Principle  
 
1. Each person covered by these Rules (as defi ned in paragraph 1 of Section IV below and 
hereinafter called "covered person") sh all be independent and impartial, shall avoid direct or indirect 
conflicts of interest and shall respect the confid entiality of proceedings of bodies pursuant to the 
dispute settlement mechanism, so that through th e observance of such standards of conduct the 
integrity and impartiality of that mechanism are pr eserved.  These Rules shall in no way modify the 
rights and obligations of Members under the DSU nor the rules and procedures therein.  
 
 III. Observance of the Governing Principle  
 
1. To ensure the observance of the Governing Principle of these Rules, each covered person is 
expected (1) to adhere strictly to the provisions  of the DSU;  (2) to disclose the existence or 
development of any interest, relationship or matter th at that person could reasonably be expected to 
know and that is likely to affect, or give rise to  justifiable doubts as to, that person's independence or 
impartiality; and (3) to take due care in the perfo rmance of their duties to fulfil these expectations, 
including through avoidance of any direct or indirect  conflicts of interest in  respect of the subject 
matter of the proceedings.  
2. Pursuant to the Governing Principle, each cove red person, shall be inde pendent and impartial, 
and shall maintain confidentiality.  Moreover, such  persons shall consider only issues raised in, and 
necessary to fulfil their responsibilities within, th e dispute settlement proceeding and shall not 
delegate this responsibility to any other person.  Such person shall not incur any obligation or accept  WT/AB/WP/3 
 Page 17 
 
 
 any benefit that would in anyway interfere with, or  which could give rise to, justifiable doubts as to 
the proper performance of that person's dispute settlement duties. 
 IV. Scope  
 
1. These Rules shall apply, as specified in the text, to each person serving:  (a) on a panel;  
(b) on the Standing Appellate Body;  (c) as an arb itrator pursuant to the provisions mentioned in 
Annex "1a";  or (d) as an expert participating in  the dispute settlement mechanism pursuant to the 
provisions mentioned in Annex "1b".  These Rules sha ll also apply, as specified in this text and the 
relevant provisions of the Staff Regulations, to those members of the Secretariat called upon to assist 
the panel in accordance with Article 27.1 of the DSU or to assist in formal arbitration proceedings 
pursuant to Annex "1a"; to the Chairman of the Te xtiles Monitoring Body (hereinafter called "TMB") 
and other members of the TMB Secretariat called upon to assist the TMB in formulating recommendations, findings or observations pursuant to the WTO Agreement on Textiles and Clothing; and to Standing Appellate Body support st aff called upon to provide  the Standing Appellate 
Body with administrative or legal support in accord ance with Article 17.7 of the DSU (hereinafter 
"Member of the Secretariat or Standing Appellate Bo dy support staff"), reflecting their acceptance of 
established norms regulating the conduct of such persons as international civil servants and the 
Governing Principle of these Rules.  2. The application of these Rules shall not in an y way impede the Secretariat's discharge of its 
responsibility to continue to respond to Memb ers' requests for assistance and information. 
 
3. These Rules shall apply to the members of th e TMB to the extent prescribed in Section V. 
  
 V. Textiles Monitoring Body  
 
1. Members of the TMB shall discharge their functions on an ad personam  basis, in accordance 
with the requirement of Article 8.1 of the Agreem ent on Textiles and Clothing, as further elaborated 
in the working procedures of the TMB, so as to  preserve the integrity and impartiality of its 
proceedings.
1 
 
 
 VI. Self-Disclosure Requirements by Covered Persons  
 
1. (a) Each person requested to serve on a pa nel, on the Standing Appellate Body, as an 
arbitrator, or as an expert shall, at the time of  the request, receive from the Secretariat these Rules, 
which include an Illustrative List (Annex 2) of examples of the matters subject to disclosure. 
  (b) Any member of the Secretariat describe d in paragraph IV:1, who may expect to be 
called upon to assist in a dispute, and Standing Appe llate Body support staff, shall be familiar with 
these Rules.  
                                                     
 
1These working procedures, as adopted by the TMB on  26 July 1995 (G/TMB/R/1), currently include, 
inter alia , the following language in paragraph 1.4: "In discharging their functions in accordance with 
paragraph 1.1 above, the TMB members and alternates shall undertake not to solicit, accept or act upon 
instructions from governments, nor to be influenced by any other organisations or undue extraneous factors.  
They shall disclose to the Chairman any information that they may consider likely to impede their capacity to 
discharge their functions on an ad personam  basis.  Should serious doubts arise during the deliberations of the 
TMB regarding the ability of a TMB member to act on an ad personam  basis, they shall be communicated to the 
Chairman.  The Chairman shall deal with  the particular matter as necessary". WT/AB/WP/3 
Page 18  
 
 2. As set out in paragraph VI:4 below, all covered persons described  in paragraph VI.1(a) 
and VI.1(b) shall disclose any information that coul d reasonably be expected to be known to them at 
the time which, coming within the scope of the Gove rning Principle of these Rules, is likely to affect 
or give rise to justifiable doubts as to their independence or impartiality.  These disclosures include the type of information described in  the Illustrative List, if relevant. 
 
3. These disclosure requirements shall not exte nd to the identification of matters whose 
relevance to the issues to be considered in the pr oceedings would be insignificant.  They shall take 
into account the need to respect the personal privacy  of those to whom these Rules apply and shall not 
be so administratively burdensome as to make it impracticable for otherw ise qualified persons to 
serve on panels, the Standing Appellate Body , or in other dispute settlement roles. 
 4. (a) All panelists, arbitrators and experts, prior to confirmation of their appointment, shall 
complete the form at Annex 3 of these Rules.  Such  information would be disclosed to the Chair of 
the Dispute Settlement Body ("DSB") for cons ideration by the parties to the dispute. 
 
(b) (i) Persons serving on the Standing Appellate Body who, through rotation, are 
selected to hear the appeal of a particular panel case, shall review the factual portion of the Panel report and comple te the form at Annex 3.  Such 
information would be disclosed to th e Standing Appellate Body for its 
consideration whether the member concer ned should hear a particular appeal. 
 
(ii) Standing Appellate Body support sta ff shall disclose any relevant matter to 
the Standing Appellate Body, for its consideration in deciding on the assignment of staff to assist in a particular appeal. 
 
(c) When considered to assist in a dispute, members of the Secretariat shall disclose to 
the Director-General of the WTO the information required under paragraph VI:2 of these Rules and 
any other relevant information required under th e Staff Regulations, including the information 
described in the footnote.
** 
 5. During a dispute, each covered person shall al so disclose any new information relevant to 
paragraph VI:2 above at the earliest  time they become aware of it. 
 6. The Chair of the DSB, the Secretariat, parties to the dispute, and other individuals involved in 
the dispute settlement mechanism shall maintain the confidentiality of any information revealed 
                                                     
 
**Pending adoption of the Staff Regulations, members of the Secretariat shall make disclosures to the 
Director-General in accordance with the following draft provision to be included in the Staff Regulations: 
"When paragraph VI:4(c) of the Rules of Conduct for the DSU is applicable, members of the 
Secretariat would disclose to the Dir ector-General of the WTO the information required in paragraph VI:2 of 
those Rules, as well as any information regarding thei r participation in earlier formal consideration of the 
specific measure at issue in a dispute under any provisions of the WTO Agreement, including through formal legal advice under Article 27.2 of the DSU, as well as an y involvement with the disput e as an official of a WTO 
Member government or otherwise professionally , before having joined the Secretariat. 
The Director-General shall consider  any such disclosures in deciding on the assignment of members of 
the Secretariat to assist in a dispute. 
When the Director-General, in the light of his co nsideration, including of available Secretariat 
resources, decides that a potential conflict of interest is not sufficiently material to warrant non-assignment of a 
particular member of the Secretariat to  assist in a dispute, the Director-G eneral shall inform the panel of his 
decision and of the relevant supporting information."  WT/AB/WP/3 
 Page 19 
 
 
 through this disclosure process, even after the pane l process and its enforcement procedures, if any, 
are completed. 
 VII. Confidentiality  
 
1. Each covered person shall at all times main tain the confidentiality of dispute settlement 
deliberations and proceedings together with any info rmation identified by a party as confidential.  No 
covered person shall at any time use such info rmation acquired during su ch deliberations and 
proceedings to gain personal a dvantage or advantage for others. 
 2. During the proceedings, no c overed person shall engage in ex parte  contacts concerning 
matters under consideration.  Subject to paragr aph VII:1, no covered person shall make any 
statements on such proceedings or the issues in dis pute in which that person is  participating, until the 
report of the panel or the Standing Ap pellate Body has been derestricted. 
   VIII.  Procedures Concerning Subsequent Disclos ure and Possible Material Violations  
 
1. Any party to a dispute, conducted pursuant to the WTO Agreement, who possesses or comes 
into possession of evidence of a material violation of  the obligations of independence, impartiality or 
confidentiality or the avoidance of direct or indir ect conflicts of interest by covered persons which 
may impair the integrity, impartiality or confidentia lity of the dispute settlement mechanism, shall at 
the earliest possible time and on a confidential basis,  submit such evidence to the Chair of the DSB, 
the Director-General or the Standing Appellate  Body, as appropriate according to the respective 
procedures detailed in paragraphs VIII:5 to VIII: 17 below, in a written statement specifying the 
relevant facts and circumstances.  Other Members who possess or come into possession of such evidence, may provide such evidence to the parties to the dispute in the interest of maintaining the 
integrity and impartiality of the dispute settlement mechanism. 
 2. When evidence as described in  paragraph VIII:1 is based on an  alleged failure of a covered 
person to disclose a relevant interest, relationship or matter, that failure to disclose, as such, shall not 
be a sufficient ground for disqualification unless there is also evidence of a material violation of the 
obligations of independence, impa rtiality, confidentiality or the avoidance of direct or indirect 
conflicts of interests and that the integrity, impar tiality or confidentiality of the dispute settlement 
mechanism would be impaired thereby.  3. When such evidence is not provided at the earliest practicable time, the party submitting the 
evidence shall explain why it did not do so earlier a nd this explanation shall be taken into account in 
the procedures initiated in paragraph VIII:1. 
 4. Following the submission of such evidence to th e Chair of the DSB, the Director-General of 
the WTO or the Standing Appellate Body, as sp ecified below, the procedures outlined in 
paragraphs VIII:5 to VIII:17 below shall be  completed within fifteen working days. 
 
 
Panelists, Arbitrators, Experts  
 
5. If the covered person who is the subject of th e evidence is a panelist, an arbitrator or an 
expert, the party shall provide such evidence to the Chair of the DSB. 
 
6. Upon receipt of the evidence referred to in paragraphs VIII:1 and VIII:2, the Chair of the 
DSB shall forthwith provide the evidence to the pe rson who is the subject of such evidence, for 
consideration by the latter.  WT/AB/WP/3 
Page 20  
 
 7. If, after having consulted with the person con cerned, the matter is not resolved, the Chair of 
the DSB shall forthwith provide all the evidence,  and any additional information from the person 
concerned, to the parties to the dispute.  If the person concerned resigns, the Chair of the DSB shall 
inform the parties to the dispute and, as the case may be, the panelists, the arbitrator(s) or experts. 
 
8. In all cases, the Chair of the DSB, in consu ltation with the Director-General and a sufficient 
number of Chairs of the relevant Council or C ouncils to provide an odd number, and after having 
provided a reasonable opportunity for the views of th e person concerned and the parties to the dispute 
to be heard, would decide whether a material  violation of these Rules as referred to in 
paragraphs VIII:1 and VIII:2 above has occurred.  Wher e the parties agree that a material violation of 
these Rules has occurred, it would be expected that, consistent with maintaining the integrity of the 
dispute settlement mechanism, the disqualificati on of the person concerned would be confirmed. 
 9. The person who is the subject of the evidence sh all continue to participate in the consideration 
of the dispute unless it is decided that a material violation of these Rules has occurred. 
 
10. The Chair of the DSB shall thereafter take  the necessary steps for the appointment of the 
person who is the subject of the evidence to be form ally revoked, or excused from the dispute as the 
case may be, as of that time.   Secretariat  
 
11. If the covered person who is the subject of th e evidence is a member of the Secretariat, the 
party shall only provide the evid ence to the Director-General of  the WTO, who shall forthwith 
provide the evidence to the person who is the subjec t of such evidence and shall further inform the 
other party or parties to the dispute and the panel. 
 12. It shall be for the Director-General to take  any appropriate action in accordance with the Staff 
Regulations.
*** 
 13. The Director-General shall inform the parties to the dispute, the panel and the Chair of the 
DSB of his decision, together with relevant supporting information. 
  
Standing Appellate Body  
 14. If the covered person who is the subject of  the evidence is a member of the Standing 
Appellate Body or of the Standing Appellate Body support staff, the party shall provide the evidence 
to the other party to the dispute and the eviden ce shall thereafter be provided to the Standing 
Appellate Body.  15. Upon receipt of the evidence referred to in  paragraphs VIII:1 and VIII:2 above, the Standing 
Appellate Body shall forthwith provide it to the person who is the subject of such evidence, for 
consideration by the latter.  
                                                     
 
***Pending adoption of the Staff Regulations, the Dir ector-General would act in accordance with the 
following draft provision for the Staff Regulations: "If paragraph VIII:11 of the Rules of Conduct for the DSU governing the settlement of disputes is invoked, the Dir ector-General shall consult with the person who is the 
subject of the evidence and the panel and shall, if  necessary, take appropriate disciplinary action".  WT/AB/WP/3 
 Page 21 
 
 
 16. It shall be for the Standing Appellate Body  to take any appropriate action after having 
provided a reasonable opportunity for the views of th e person concerned and the parties to the dispute 
to be heard.  17. The Standing Appellate Body shall inform the parties to the dispute and the Chair of the DSB 
of its decision, together with relevant supporting information. 
 
*** 
 18. Following completion of the procedures in paragr aphs VIII:5 to VIII:17, if the appointment of 
a covered person, other than a member of the Sta nding Appellate Body, is re voked or that person is 
excused or resigns, the procedures specified in the DSU for initial a ppointment shall be followed for 
appointment of a replacement, but the time peri ods shall be half those specified in the DSU.
****  The 
member of the Standing Appellate Body who, under that  Body's rules, would next be selected through 
rotation to consider the dispute, would automatica lly be assigned to the appeal.  The panel, members 
of the Standing Appellate Body hearing the appeal , or the arbitrator, as the case may be, may then 
decide after consulting with the parties to the di spute, on any necessary modifications to their working 
procedures or proposed timetable.  19. All covered persons and Members concerned shall resolve matters involving possible material 
violations of these Rules as expeditiously as possibl e so as not to delay the completion of proceedings, 
as provided in the DSU. 
 20. Except to the extent strictly necessary to carry  out this decision, all information concerning 
possible or actual material violations of  these Rules shall be kept confidential. 
 
 
 IX. Review  
 
1. These Rules of Conduct shall be reviewed with in two years of their adoption and a decision 
shall be taken by the DSB as to whether to continue, modify or terminate these Rules. 
                                                     
 
****Appropriate adjustments would be made in the case of appointments pursuant to the Agreement on 
Subsidies and Countervailing Measures. WT/AB/WP/3 
Page 22  
 
 ANNEX 1a
 
   Arbitrators acting pursuant to the following provisions: 
 
- Articles 21.3(c); 22.6 and 22.7; 26.1(c) and 25 of the DSU;  - Article 8.5 of the Agreement on S ubsidies and Countervailing Measures; 
 
- Articles XXI.3 and  XXII.3 of the General Agreement on Trade in Services.  WT/AB/WP/3 
 Page 23 
 
 
 ANNEX 1b  
   Experts advising or providing information pursuant to the following provisions: 
 
- Article 13.1; 13.2 of the DSU;  - Article 4.5 of the Agreement on S ubsidies and Countervailing Measures; 
 
- Article 11.2 of the Agreement on the Applica tion of Sanitary and Phytosanitary Measures; 
 - Article 14.2; 14.3 of the Agreement on Technical Barriers to Trade.  WT/AB/WP/3 
Page 24  
 
 ANNEX 2
 
  
ILLUSTRATIVE LIST OF INFORMATION TO BE DISCLOSED 
 
 
 This list contains examples of information of the type that a person called upon to serve in a 
dispute should disclose pursuant to the Rules of Conduct for the Understanding on Rules and Procedures Governing the Settlement of Disputes.  
  Each covered person, as defined in Section IV :1 of these Rules of Conduct has a continuing 
duty to disclose the information described in Section VI:2 of these Rules which may include the 
following:   (a) financial interests (e.g. investments, loans, shares, interests, other debts);  business 
interests (e.g. directorship or other cont ractual interests);  and property interests 
relevant to the dispute in question; 
  (b) professional interests (e.g. a past or pre sent relationship with private clients, or any 
interests the person may have in domestic  or international proceedings, and their 
implications, where these involve issues sim ilar to those addressed in the dispute in 
question); 
  (c) other active interests (e.g. active partic ipation in public interest groups or other 
organisations which may have a declared age nda relevant to the dispute in question); 
 
 (d) considered statements of personal opi nion on issues relevant to the dispute in 
question (e.g. publications, public statements); 
  (e) employment or family interests (e.g. th e possibility of any indirect advantage or any 
likelihood of pressure which could arise from their employer, business associates or immediate family members).  WT/AB/WP/3 
 Page 25 
 
 
 ANNEX 3  
  
Dispute Number:    ________ 
 
 
WORLD TRADE ORGANIZATION 
DISCLOSURE FORM 
  
 I have read the Understanding on Rules and Pr ocedures Governing the Settlement of Disputes 
(DSU) and the Rules of Conduct for the DSU.  I understand my continuing duty, while participating 
in the dispute settlement mechanism, and until such time as the Dispute Settlement Body (DSB) 
makes a decision on adoption of a report relating to the proceeding or  notes its settlement, to disclose 
herewith and in future any information likely to affect my independence or impartiality, or which 
could give rise to justifiable doubts as to the inte grity and impartiality of the dispute settlement 
mechanism;  and to respect my obligations re garding the confidentiality of dispute settlement 
proceedings.    
Signed:      Dated: 
 
__________