WORLD TRADE  
ORGANIZATION  WT/AB/WP/W/9 
7 October 2004 
 (04-4155) 
 Original:   English 
 
 
 
WORKING PROCEDURES FOR APPELLATE REVIEW 
 
Communication from the Appellate Body  
   The following communication, dated 7 October 2004, from the Chairman of the Appellate 
Body, addressed to the Chair of the Dispute Settle ment Body, is being circulated to Members.  
 
_______________ 
 
 
 I refer to my letter to you of 8 April 2004 regarding amendments to the  Working Procedures 
for Appellate Review  (the " Working Procedures ") then under consideration by the Appellate Body.  
My communication to you was subsequently circ ulated to all WTO Members and you initiated a 
process of consultation with the Membership regard ing the matters outlined in that document, in 
accordance with the DSB Decision of 19 December 2002 (WT/DSB/31).    
 The process of consultation that you initiated has been a very successful one.  My colleagues 
and I very much appreciate the interest shown by the Membership in the amendments under consideration and found most helpful the caref ul and detailed comments provided by several 
Members.  We have considered all of these comment s and have taken them into account in improving, 
revising and otherwise considering the draft ame ndments that we developed last April.   
 
 Having benefited from the comments of Me mbers, and having consulted you and the 
Director-General in accordance with Article 17.9 of the  Understanding on Rules and Procedures for 
the Settlement of Disputes   (the "DSU"), we now intend to adopt  a final version of the amendments.  
The amendments that we are proceeding to adopt ha ve been modified to take account of Members' 
comments.  We are proceeding with amendments to all of the Rules referred to in document 
WT/AB/WP/8, with one exception.  We have decided not to pursue any amendment to Rule 17 of the  
Working Procedures   at this time, although we continue to be lieve that it may be appropriate to do so 
in the future.  In the meantime, and as set out in mo re detail in Section IV of Annex A to this letter, 
we urge Members to take action themselves to deal  with the numerous problems that arise in appeals 
that run over WTO holiday periods.   
 
 We also wish to emphasize that we monitor the operation of the  Working Procedures  closely 
and recognize that a need for further revisions to th ese rules may arise in the future.  With this in 
mind, we welcome the response by certain delegations  to our invitation to identify how any of the  
Working Procedures  might be improved, and we expect to ha ve an opportunity to consider some of 
the matters raised by Members in the context of fu ture revision exercises.  Moreover, as noted in our 
earlier communication, we anticipate that a successful  conclusion of the negotiations on clarifications 
and improvements to the DSU will require further updating of the  Working Procedures. 
  A copy of the amendments, as well as a consolidated version of the  Working Procedures  as a 
whole, is attached to this communication.  Th ese amendments will enter into effect for appeals 
initiated after 1 January 2005.  Appeal s initiated before that date will be unaffected by the new rules.   
 WT/AB/WP/W/9 
Page 2  
 
 Detailed explanations of the original draf t amendments were provi ded in my letter of 
8 April 2004.  (See the table below for the documen t number)  In addition to those explanations, we 
believe that it is useful to set out further brief explanations regarding those amendments that have 
been revised following receipt of the comments of Members.  Such additional explanations are set out in the explanatory note set out as Annex A to this lette r.  The legal text of the final amendments is set 
out in Annex B.  In Annex C, we pr ovide a consolidated version of the  Working Procedures , taking 
into account the final amendments.  A clean, consolidated version of the  Working Procedures  will be 
circulated to Members immediately after they come into effect.    New Numbering System for Documents
 
 
 Lastly, the Appellate Body has decided to intr oduce, a new, more coherent numbering system 
for the  Working Procedures .  Until now, all documents relating to the  Working Procedures   had been 
issued with a "WT/AB/WP" series number, irrespectiv e of the nature of such documents.  Thus, the 
several versions of the  Working Procedures  themselves as well as any explanatory documents or 
other communications about the  Working Procedures   have a "WT/AB/WP" series number.  We 
believe that this numbering system could make it difficult for Members to identify the most recent 
version of the Working Procedures .  Accordingly, as from 2005, the "WT/AB/WP" series will be 
reserved for the various versions of the Working Procedures   themselves.  The latest number in the 
series will be the Working Procedures  in force.  All previous versions of the Working Procedures 
will be re-issued with a note indicating that they  are no longer in force and, as necessary, a new 
"WT/AB/WP" number.   
  We will also introduce a new "WT/AB/WP/W"  series for working or discussion papers, 
communications, and explanations relating to the  Working Procedures .  In this connection, certain 
documents previously issued with a "WT/AB/WP" number will be re-issued with a new 
"WT/AB/WP/W" number.
1  In addition, three communications from the Chairman of the Appellate 
Body to the Chairman of the Dispute Settlement Bo dy that were previously provided to Members in 
hard copy only, without any document numbers,  will be circulated for the first time as 
"WT/AB/WP/W" documents.   Finally we are introducing, as a new Annex III to the Working Procedures , a "Table of 
Consolidated and Revised Versions of the Working Procedures for Appellate Review ".  This table 
should provide a useful resource for Members wish ing to track previous amendments to the  Working 
Procedures  as well as contemporaneous discussions of such amendments.  
  The table below identifies the document numbe rs that will change as we introduce the new 
system.  A copy of the "Table of Consolidated and Revised Versions of the Working Procedures for 
Appellate Review " is included in both Annexes B and C to this letter.  
                                                     
 
1Notes in both the new "WT/AB/WP/W" document and any renumbered "WT/AB/WP" document will 
explain the new document number(s) and allow readers to lo cate the document that they  seek even if its number 
has changed.  For example, the new WT/AB/WP/2 will contain a note explaining that the original document WT/AB/WP/2 has been re-issued as document WT/AB/WP/W/3.  Thus far, documents WT/AB/WP/1 through 
WT/AB/WP/8 have been issued.  Thus, once the eighth document in the updated "WT/AB/WP" series has been 
issued (that is, the eighth version of the Working Procedures  themselves), there will no longer be a need for 
such explanatory notes about number changes.   WT/AB/WP/W/9 
Page 3 
 
 
 
OLD DOCUMENT 
NUMBER NEW DOCUMENT 
NUMBER DOCUMENT TITLE, DATE 
No document number 
assigned when hard copy 
circulated in 1996 WT/AB/WP/W/1 Communication from the Chairman of the 
Appellate Body to the Chairman of the Dispute 
Settlement Body , 7 February 1996 
WT/AB/WP/1 WT/AB/WP/1 
(no change) Working Procedures for Appellate Review,  
15 February 1996 
WT/DSB/RC/2 WT/DSB/RC/2, 
WT/AB/WP/W/2 Communication from the Chairman of the 
Appellate Body to the Chairman of the Dispute 
Settlement Body , 20 January 1997 
WT/AB/WP/2 WT/AB/WP/W/3 Communication from the Chairman of the 
Appellate Body to the Chairman of the Dispute 
Settlement Body , 24 February 1997 
WT/AB/WP/3 WT/AB/WP/2 Working Procedures for Appellate Review, 28 
February 1997  
No document number 
assigned when hard copy 
circulated in 2001 WT/AB/WP/W/4 Communication from the Chairman of the 
Appellate Body to the Chairman of the Dispute 
Settlement Body , 10 July 2001 
No document number 
assigned when hard copy 
circulated in 2001 WT/AB/WP/W/5 Communication from the Chairman of the 
Appellate Body to the Chairman of the Dispute 
Settlement Body , 18 September 2001 
WT/AB/WP/4 WT/AB/WP/3 Working Procedures for Appellate Review , 
 24 January 2002 
WT/AB/WP/5 WT/AB/WP/W/6 Communication from the Chairman of the 
Appellate Body to the Chairman of the Dispute 
Settlement Body, 17 December 2002 
WT/AB/WP/6 WT/AB/WP/W/7 Communication from the Chairman of the 
Appellate Body to the Chairman of the Dispute Settlement Body, 9 April 2003 
WT/AB/WP/7 WT/AB/WP/4 Working Procedures for Appellate Review , 
1 May 2003 
WT/AB/WP/8 WT/AB/WP/W/8 Communication from the Chairman of the 
Appellate Body to the Chairperson of the Dispute Settlement Body, 8 April 2004 WT/AB/WP/W/9 
Page 4  
 
 WT/AB/WP/W/9 
Page 5 
 
 
 
Annex A  
 
Amendments to the  Working Procedures for Appellate Review :  Explanatory Notes 
 
I. Notices of Appeal 
A. Content of Notice Of Appeal 
 Having considered the views expressed by Memb ers regarding the contents of the Notice of 
Appeal, we wish to emphasize that we share the concern implicit in the comments of a number of 
Members, namely that revision of the  Working Procedures  should serve the interests of due process 
and orderly procedure and should reduce, rather th an enhance, opportunities for procedural disputes 
on appeal.  For the reasons set out in my letter of 8 April, we believe that these objectives would be 
served by further clarification of what is meant by  the requirement in Rule 20(2)(d) that a Notice of 
Appeal set out a "brief statement of the nature of the appeal".  We have, accordingly, adopted changes 
to this provision similar to those envisaged in our initial draft amendment.   
 
 At the same time, we have made certain adjustments to the draft amendment.  First, item (i) of subparagraph (d) has been adjusted to specify that wh at is required is "identification" (rather than 
"description") of the "alleged erro rs in the issues of law covered in the panel report and legal 
interpretations developed by the pa nel".  Furthermore, the qualifying phrase "without prejudice to the 
ability of the appellant to refer to other paragraphs of the panel report in the context of its appeal" has 
been added to the beginning of item (iii) of that sa me subparagraph.  This confirms that the list of 
paragraphs of the panel report to be  included in the Notice of Appeal is indicative.  We emphasize that 
this provision is intended to enhance due process an d assist the other parties, as well as the Appellate 
Body, to  understand  the issues under appeal, and will not prejudice an appellant seeking to refer to 
other paragraphs in the context of its appeal.   
 
B. Notice of Other Appeal 
 For the reasons given in my letter of 8 April,  we have decided to introduce a Notice of Other 
Appeal into the appellate process.  Accordingly, we  are adopting amendments to Rules 1 (definitions), 
21 (timing for filing appellant's submission), and 23  (timing and contents of Notice of Appeal and 
other appellant's submission) that are largely c onsistent with the terms of the original draft 
amendment, and which require an other appellant to notify the DSB of its other appeal and to file a 
Notice of Other Appeal within 12 days of the filing of the original Notice of Appeal.  It has, however, 
been necessary to adjust the initial draft to ensure symmetry be tween the requirements for the Notice 
of Other Appeal and the revised requirements for the Notice of Appeal, as identified above
1, and to 
otherwise simplify the amended rule.  In addition to these adjustments, and as proposed, the deadline 
for the filing of the appellant's submission will be ch anged to 7 days after the filing of the original 
Notice of Appeal (as opposed to the current 10-day d eadline).  We have also taken the opportunity to 
refine the definition of the term "documents" in Rule  1, in order to clarify that the submissions and 
other written statements of third participants ar e included within the scope of this definition. 
 
                                                      
1Thus, we have used the word "identification" (rather than "description") of the "alleged errors in the 
issues of law covered in the panel report and legal interpretations developed by the panel" in Rule 
23(2)(c)(ii)(A), and added the qualifying  phrase "without prejudice to the ability of the other appellant to refer to 
other paragraphs of the panel report in the context of the appeal" to the beginning of Rule 23(2)(c)(ii)(C).   WT/AB/WP/W/9 
Page 6  
 
C. Amending Notices of Appeal 
 We are of the view that the adoption of a rule allowing for the amendment of Notices of 
Appeal would remedy an existing gap in the  Working Procedures  and have included such an 
amendment as new Rule 23 bis.   
 
 We also recognize the concern expressed by cer tain Members regarding the criteria to be 
considered by a Division when addressing a request for authorization to amend a Notice of Appeal.  
Accordingly, paragraph (3) of the original draf t new Rule has been modified to specify, in non-
exhaustive terms, the types of considerations that will be taken into account by a Division in such a 
case.   
 
 We have also taken note of the concern expr essed by Members regarding the impact of a 
request to amend a Notice of Appeal on the timefra mes involved in an appeal.  In line with this 
concern, we have adjusted the amendment to require  that requests for authorization to amend be made 
"as soon as possible".  We anticipate that a Divisi on considering any such request will consider the 
matter promptly, and will fix strict deadlines for co mment by other parties.  We do not, therefore, 
consider that the new Rule 23 bis  will affect the ability of the Appellate Body to deal expeditiously 
with the matters that come before it.    
II. Correction of "Clerical" Errors 
 A number of Members voiced a preference to retain the term "clerical" in Rule 18(5), 
regarding the correction of certain errors in subm issions and other documents .  Consistent with the 
concerns expressed, we have, in the final version of the amendments, decided to retain the term 
"clerical", while adding an illustrative list of the typ es of errors subject to the rule.  We have also 
taken into account the preference expressed by certain  Members for the maintenance of a deadline for 
correction of clerical errors.  However, in the li ght of the non-substantial nature of amendments 
covered by this rule, and to allow for the possibilit y that participants may become aware of clerical 
errors only upon the filing of written submissions by  other   participants, we have chosen to provide a 
generous deadline,  viz. 30 days following the filing of the Notice of Appeal, or, roughly five days 
following receipt of the last of the written pleadings.  We note that, in any even t, a Member's ability to 
correct clerical errors will be contingent upon th e receipt of authorization from the Division hearing 
the appeal. 
 
III. The Oral Hearing 
 Rule 27 regarding the timing of the oral hearing is amended in line with the original draft, 
such that, as a general rule, the oral hearing will be held between 35 and 45 days following the filing 
of the Notice of Appeal.   We note the suggestion of certain delegations th at a Division should consult the parties to a 
dispute before fixing the date of the oral hearing.  Although we believe that it is neither efficient nor 
appropriate to inscribe in the  Working Procedures  a specific requirement for consultation on the 
working schedule for each appeal, we observe that it is always possible for delegations to make the 
Secretariat aware, at the outset of an appeal, of any constraints regarding the timing of the oral hearing, in order to enable the Division to be c ognizant of such matters when preparing the working 
schedule.  WT/AB/WP/W/9 
Page 7 
 
 
IV. Calculation of 60 and 90 Day Time Limits 
In the light of the comments made by Members regarding our proposal to modify Rule 17.1 of 
the Working Procedures  regarding the calculation of the 90- and 60-day periods for appeal, we have 
decided not to pursue this amendment at this time.  At the same time, we observe that Members have 
both acknowledged the difficulties that arise in meetin g the deadlines prescribed by Article 17.5 of the 
DSU when appeals run over the months of August and December/January, and indicated their desire 
to consider themselves taking action to relieve the additional pressures that arise during such periods.  
It is thus in order to allow Members an opportunity , themselves, to decide how to deal with this 
issue—whether as part of the DSU negotiations, in the form of a decision of the DSB supplementing 
the DSB decision of 27 September 1995 regarding the calculation of time-periods2, or otherwise—that 
we have decided not to pursue this particular ame ndment at this time.  Nevertheless, our decision is 
without prejudice to our right to revisit this issue at a later date.   
In order to assist Members in their consideration of this issue, I would like to set out, in some 
detail, the numerous problems that the Appellate Body has encountered in recent years in appeals 
running over the months of August and December/Ja nuary.  The various difficulties that have arisen 
have been dealt with in four different ways:  (i) ex tensions of the 60-day deadline within which to file 
an appeal;  (ii) the withdrawal and re-filing of th e Notice of Appeal;  (iii) changes to the Working 
Schedule for Appeal;  (iii) extension of the 90-day pe riod for circulation of the Appellate Body report. 
A. Extensions of the Deadline to Appeal  
In three separate disputes3, the DSB agreed to extend the period within which the panel report 
had to be adopted or appealed.  The 60-day time-period set forth in Article 16.4 of the DSU was 
scheduled to expire, in those disputes, in the month of August, when there are normally no regularly-scheduled DSB meetings. Accordingly, at the Ju ly DSB meeting, the Eu ropean Communities – the 
complainant in all three disputes – proposed "the  postponement of consideration of these Panel 
Reports and the extension of the corresponding time- periods for appeal to a future meeting of the 
DSB at the beginning of September."
4  Other Members concerned agreed to accept the proposal and, 
accordingly, these three panel reports were appealed  more than sixty days after they had been 
circulated. 
B. Withdrawing and Re-filing the Notice of Appeal 
On three occasions an appellant has, for scheduling reasons involving holiday periods, 
withdrawn its original Notice of Appeal and re-file d a new notice at a later date.  In two of these 
appeals, when the appellant re-filed the Notice of A ppeal, it also filed its appellant's submission on an 
expedited basis (the same day or the day after the No tice of Appeal) in order to ensure that the appeal 
could be completed in a timely manner, notw ithstanding an intervening holiday period.  
In  United States – Tax Treatment for "Foreign Sales Corporations" , the United States filed 
its original Notice of Appeal on 28 October 1999, 20 days after the panel report had been circulated.  
Following discussions with the Appellate Body and the other participant in the appeal concerning 
difficulties that this appeal date posed in setting th e working schedule for the ap peal, the United States 
decided, for scheduling reasons, to withdraw its Notice of Appeal on 2 November 1999 on the condition that it could later be re-filed.  On 26 November, the United States  re-filed the Notice of 
                                                     
 
2See minutes of the DSB meeting held on 27 September 1995, WT/DSB/M/7, pp. 9-10.  See also 
WT/DSB/W/10 and WT/DSB/W/10/Add.1. 
3Chile – Taxes on Alcoholic Beverages (DS87, DS110);  Argentina – Safeguard Measures on Imports of 
Footwear  (DS121);  and Korea – Definitive Safeguard Measure on Imports of Certain Dairy Products (DS98). 
4See minutes of the DSB meeting held on 26 July 1999, WT/DSB/M/65, p. 19. WT/AB/WP/W/9 
Page 8  
 
Appeal, and the Appellate Body Report was ci rculated within the 90-day deadline, on 
24 February 2000.
5 
In United States – Definitive Saf eguard Measures on Imports of Circular Welded Carbon 
Quality Line Pipe from Korea , the United States filed its original Notice of Appeal on 
6 November 2001.  Had the Appellate Body proceeded  on the basis of that notice, the oral hearing 
would have had to have been he ld on the first or second working day of the New Year, which would 
have caused difficulties for the parties and the Appe llate Body.  With this in mind, and following 
discussions with the Appellate Body and the other participant in the appeal, the United States 
withdrew its original Notice of Appeal and re-file d a new Notice of Appeal on 19 November 2001.  
Accordingly, in accordance with a revised and agre ed working schedule for that appeal, the United 
States filed its appellant's submission on 20 Nove mber 2001 and the oral hearing was held on 15 
January 2002.6 
In United States – Final Countervailing Duty Dete rmination with Respect to Certain Softwood 
Lumber from Canada , the United States filed its original Noti ce of Appeal on 2 October 2003.  If the 
appeal had proceeded on the basis of  that notice, the Appellate Body  Report would have had to have 
been issued on the first working day of Ja nuary 2004, which would not have been possible.7  For this 
reason, and following discussions with  the Appellate Body and the other participant in the appeal, the 
United States withdrew its original Notice of Appeal and re-filed a new notice on 21 October 2003.  
Under the new working schedule the United Stat es also filed its appellant's submission on 
21 October 2003 and the Appellate Body issued its Report on 19 January 2004.8 
C. Changes to the Appellate Body Working Schedule  
On several occasions, parties have requested the Appellate Body to change the working 
schedule in appeals due to holidays.  Four examples are provided below. 
 In one case, the parties to the dispute jointly raised concerns arising from the intervening 
Christmas/New Year holidays, and request ed, pursuant to Rule 16(2) of the  Working Procedures for 
Appellate Review , that for the purpose of that appeal th e time-periods for filing the appellant's, 
appellee's and third participant's submissions be modi fied.  The Appellate Body agreed to this request 
and extended the relevant deadlines.   
 In another appeal, the parties to the dispute jointly submitted, on Day 21 of the appeal, a 
request to move the date of the oral hearing from Da y 39 to Day 44.  One of the parties requested the 
                                                      
5See Appellate Body Report, US – FSC , WT/DS108/AB/R, adopted 20 March 2000, DSR 2000:III, 
1619, para. 7.   
6See Appellate Body Report, United States – Definitive Safeguard Measures on Imports of Circular 
Welded Carbon Quality Line Pipe from Korea , WT/DS202/AB/R, adopted 8 March 2002, paras. 13-14. 
7In this regard it is worth noting that the Appellate Body must complete the drafting of its reports at 
least two weeks in advance of the date of circulation of th e report in order to allow for translation of the report 
into the two other official WTO languages.  In other wo rds, the Appellate Body in practice must comply with a 
75-day deadline, not a 90-day deadline.   The time needed for translation ca n be particularly onerous when cases 
run over the Christmas/New Year holiday  season because, due to the closur e of the WTO, translation services 
are unavailable for a period of up to 10 days.   
8See Appellate Body Report, United States – Final Countervailing Duty Determination with Respect to 
Certain Softwood Lumber from Canada , WT/DS257/AB/R, adopted 17 February 2004, para. 6.  In that case, the 
European Communities, a third participant, objected to the working schedule proposed by the Division in the wake of the withdrawal and re-filing of the appeal, in particular to the deadline for its third participant's 
submission, which was set at fifteen days after the submission of the Notice of Appeal and appellant's 
submission.  The Division, however, refused the European Communities' request to modify this deadline (see 
para. 7 of the Appellate Body Report). WT/AB/WP/W/9 
Page 9 
 
 
additional days in the light of the several working da ys lost to the Easter holiday.  The Appellate Body 
granted the request, in part, by changing the oral hearing date from Day 39 to Day 42. 
 In another appeal, the participants jointly re quested the Appellate Body on Day 7 to extend 
the time-period for the filing of the appellee's and th ird participants' submissions due to the impending 
Christmas/New Year holidays.  The Appellate Body  agreed to those requests and moved the deadline 
for the filing of the above-mentioned submissions from the beginning of January 2001 to a date six 
days later.   
In one appeal, the parties jointly requested the Appellate Body to move the date of the oral 
hearing from August to July because of the August holiday period.  However, the Appellate Body refused the request as it would not have been possible  for the Appellate Body to carry out the necessary 
preparatory work in the appeal before a July oral hearing.   
D. Extensions of the 90-Day Deadline for Appellate Proceedings 
Article 17.5 of the DSU requires appellate proceed ings to be completed in no case later than 
90 days from the date of the filing of the appeal.  To  date, this time-limit has been exceeded only four 
times.  In three of these cases the extension was due, at  least in part, to the fact that the appeals ran 
over the Christmas/New Year holiday period.
9 
E. Conclusion 
The situations set out above illustrate why there is a need for a special approach to calculation 
of the procedural time-limits during holiday peri ods.  The difficulties flowing from these particular 
periods are not rare occurrences—to date they ha ve required special arrangements to be made in 
thirteen different appeals, or approximately 20 percent of the 63 appeals completed to date. 
A more systematic approach to deal with these common difficulties would enhance the ability 
of the Appellate Body to comply with the 90-day deadline prescribed in the DSU and avoid the need 
for the Appellate Body, the participants in appeal s, and/or the DSB to agree on an assortment of ad 
hoc arrangements—as has in practice proven almost inevitable on such occasions under the current 
rules.  The Appellate Body therefore urges Member s to reflect further on this matter and to adopt a 
practical solution at the earliest possible opportunity.   
                                                      
9These three cases are EC Measures Concerning Meat and Meat Products (Hormones)  (DS26, DS48);  
European Communities – Measures Affecting Asbestos and Asbestos -Containing Products (DS135);  and Thailand 
– Anti-Dumping Duties on Angles, Shapes and Sections of  Iron or Non-Alloy Steel and H-Beams from Poland  
(DS122).  In the case of EC – Hormones , see the Communication to the Chairman of the DSB from the 
Chairman of the Appellate Body dated 10 December 1997, referring to "the exceptional nature of this case" and 
"the time needed for translation and the intervention of the Christmas holiday period ". (WT/DS48/9 and 
WT/DS26/11;  emphasis added) WT/AB/WP/W/9 
Page 10  
 
V. Amendments to Annex I 
 The above amendments require certai n minor changes to Annex I of the  Working 
Procedures , as outlined in the Annexes to this communi cation.  In particular, the revised Annex 
reflects a new timetable for the fili ng of appellants' submissions and for the holding of oral hearings in 
both general and prohibited subsidies appeals. WT/AB/WP/W/9 
Page 11 
 
 
Annex B  
 
Amendments to the  Working Procedures for Appellate Review  
  
 
1. Content of the Notice of Appeal 
Rule 20 will be amended as follows: 
 
Rule 20 (Commencement of Appeal) 
(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 f acsimile 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 .: 
  (i) identification of the alleged errors  in the issues of law covered in the 
panel report and legal interpreta tions developed by the panel;  
 (ii) a list of the legal provision(s) of the covered agreements that the 
panel is alleged to have erred in  interpreting or applying;  and  
 (iii) without prejudice to the ability of the appellant to refer to other 
paragraphs of the panel report in the cont ext of its appeal, an indicative list of 
the paragraphs of the panel repor t containing the alleged errors.  
  
2. Notice of Other Appeal 
Rules 1, 21 and 23 will be amended as follows: 
 
Rule 1 (Definitions) 
 
"appellant" means any party to the dispute th at has filed a Notice of Appeal pursuant 
to Rule 20or has filed a submission pursuant to paragraph 1 of Rule 23
; 
 
… 
 
 
"appellee" means any party to the dispute that has filed a submission pursuant to 
Rule 22 or paragraph 3  4 of Rule 23; 
 
... 
 "documents" means the Notice of Appeal, any Notice of Other Appeal
 and the 
submissions and other written statemen ts presented by the participants or 
third participants ; 
 
…  WT/AB/WP/W/9 
Page 12  
 
"other appellant" means any pa rty to the dispute that has filed a Notice of Other Appeal 
pursuant to paragraph 1 of Rule 23;  
 ...  
"participant" means any party to the dispute that has filed a Notice of Appeal pursuant 
to Rule 20, a Notice of Other Appeal pursuant to Rule 23
 or a submission 
pursuant to Rule 22 or paragraphs 1 or 3 4 of Rule 23; 
 
Rule 21 (Appellant's Submission) 
 
 (1) The appellant shall, within 10  7 days after the date of the filing of the Notice of 
Appeal, file with the Secretariat a writ ten submission prepared in accordance with 
paragraph 2 and serve a copy of the submi ssion on the other parties to the dispute and 
third parties. 
 
 
Rule 23 (Multiple Appeals)  
 
(1) Within 15 12 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.  Th at party shall notify the DSB in writing of 
its appeal and shall simultaneously file a Notice of Other Appeal with the Secretariat.  
 (2) Any written submission made pursuant to pa ragraph 1 shall be in the format required 
by paragraph 2 of Rule 21.   
A Notice of Other Appeal shall in clude 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 Other Appeal;  
(c) the service address, telephone and f acsimile numbers of the party to the 
dispute;  and either  
 
(i) a statement of the issues raised on appeal by another participant with 
which the party joins;  or  
(ii) a brief statement of the nature of the other appeal, including:  
 
(A) identification of the alleged errors in the issues of law covered 
in the panel report and legal in terpretations developed by the 
panel;  
(B) a list of the legal provision(s) of the covered agreements that 
the panel is alleged to have erre d in interpreting or applying;  
and 
(C) without prejudice to the ability of the other appellant to refer to 
other paragraphs of the panel repor t in the context of its appeal, 
an indicative list of the paragraphs of the panel report  
containing the alleged errors.  
 
(3) The other appellant shall, within 15 days after the date of the filing of the Notice of 
Appeal, file with the Secretariat a written submission prepared in accordance with WT/AB/WP/W/9 
Page 13 
 
 
paragraph 2 of Rule 21 and serve a copy of the submission on the other parties to the 
dispute and third parties.  
 
(3) (4) The appellant, any appellee and any other party to the dispute that wishes to respond 
to a submission filed pursuant to paragraph 1  3 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. 
 (4)
 (5) This Rule does not preclude a party to the dispute which has not filed a submission 
under Rule 21 or a Notice of Other Appeal under  paragraph 1 of this Rule from 
exercising its right of appeal pursuant to paragraph 4 of Article 16 of the DSU. 
 (5)
 (6) Where a party to the dispute which has not filed a submission under Rule 21 or a 
Notice of Other Appeal under  paragraph 1 of this Rule exercises its right to appeal as 
set out in paragraph 4 5, a single division shall examine the appeals. 
 
 
3. Amending Notices of Appeal 
A new Rule 23 bis  will be inserted following Rule 23: 
 
Rule 23 bis  (Amending Notices of Appeal)  
 
(1) The division may authorize an original appellant to amend a Notice of Appeal or an 
other appellant to amend a Notice of Other Appeal.  
 (2) A request to amend a Notice of Appeal or a Notice of Other Appeal shall be made as 
soon as possible in writing and shall state the reason(s) for the request and identify 
precisely the specific amendments that the appellant or other appellant wishes to 
make to the Notice.  A copy of the request  shall be served on the other parties to the 
dispute, participants, third participants and third parties, each of whom shall be given 
an opportunity to comment in writing on the request.  
 
(3) In deciding whether to authorize, in full or in part, a request to amend a Notice of 
Appeal or Notice of Other Appeal, the division shall take into account:  
 
(a) the requirement to circulate the appellate report within the time-period set out 
in Article 17.5 of the DSU or, as appropriate, Article 4.9 of the 
SCM Agreement ;  and,  
(b)  the interests of fairness and orderly procedure, including the nature and extent 
of the proposed amendment, the timing of the request to amend the Notice of 
Appeal or Notice of Other Appeal, any reasons why the proposed amended 
Notice of Appeal or Notice of Other Appeal was not or could not have been 
filed on its original date, and any other considerations that may be 
appropriate.   
 (4) The division shall notify the parties to the dispute, participants, third participants, and 
third parties of its decision.  In the event that the division authorizes an amendment to 
a Notice of Appeal or a Notice of Other Appeal, it shall provide an amended copy of 
the Notice to the DSB.  
  WT/AB/WP/W/9 
Page 14  
 
4. Correcting Clerical Errors 
Rule 18(5) will be amended as follows: 
Rule 18 (Documents) 
 
(5) Upon authorization by the division, a par ticipant or a third participant may correct 
clerical errors in any of its submissions  documents (including typographical mistakes, 
errors of  grammar, or words or numbers placed in the wrong order).  Such correction 
shall be made within 3 days of the filing of the original submission and a copy of the 
revised version The request to correct clerical errors  shall identify the specific errors to 
be corrected and shall be filed with the Secretariat no  later than 30 days after the date 
of the filing of the Notice of Appeal.  A copy of the request shall be served upon the 
other parties to the dispute, participants, th ird parties and third participants, each of 
whom shall be given an opportunity to comment in writing on the request.  The division shall  notify the parties to the dis pute, participants, third parties and third 
participants of its decision.   
 
 
5. Oral Hearing 
Paragraphs 1 and 4 of Rule 27 will be amended as follows: 
 
Rule 27 (Oral Hearing) 
 
(1) A division shall hold an oral hearing, wh ich shall be held, as a general rule, between
 
30 35 and 45  days after the date of the filing of a Notice of Appeal. 
  …  
(4) The Presiding Member may, as necessary,
 set time-limits for oral arguments and 
presentations .   
  WT/AB/WP/W/9 
Page 15 
 
 
6. Timetable for Appeals 
Annex I to the  Working Procedures  will be amended as follows: 
  
TIMETABLE FOR APPEALS
1 
 
 General Appeals  Prohibited Subsidies Appeals  
 Day Day Notice of Appeal
1 2 0 0 
Appellant's Submission 2 3 10  7 5  4 
Notice of Other Appeal4 12  6  
Other Appellant(s) Submission(s) 3 5 15 7 
Appellee(s) Submission(s)4 6 
Third Participant(s) Submission(s)5 7 
Third Participant(s) Notification(s)6 8 25 
25 25 12 
12 
12 
Oral Hearing 
7 9 30  35-45  15  17-23  
Circulation of Appellate Report 60 – 908 10 30 – 609 11 
DSB Meeting for Adoption 90 – 12010 12 50 – 8011 13 
 
 
    
1Rule 17 applies to the computation of the time-periods below.  
1 2Rule 20. 
2 3Rule 21(1) . 
3 4Rule 23(1).  
3 5Rule 23(3 1). 
4 6Rules 22 and 23(4 3). 
5 7Rule 24(1). 
6 8Rule 24(2). 
7 9Rule 27. 
8 10Article 17: .5, DSU. 
9 11Article 4: .9, SCM Agreement . 
10 12Article 17: .14, DSU. 
11 13Article 4: .9, SCM Agreement . WT/AB/WP/W/9 
Page 16  
 
7. Table of Consolidated and Revised Versions of the  Working Procedures  
A new Annex III will be added to the  Working Procedures   as follows: 
  
ANNEX III 
 
Table of Consolidated and Revised Versions of the Working Procedures for Appellate Review  
 
Document 
Number Effective 
Date Rules Amended Working 
Documents/Explanatory 
Texts Principal DSB 
Meeting(s) at which 
Amendments 
Discussed, Minutes 
WT/AB/WP/1 15 February 
1996 N/A WT/AB/WP/W/1 31 January 1996, 
WT/DSB/M/10 and 
21 February 1996, 
WT/DSB/M/11 
WT/AB/WP/2 28 February 
1997 Rule 5(2)  
and Annex II WT/AB/WP/W/2, 
WT/AB/WP/W/3 25 February 1997, 
WT/DSB/M/29 
WT/AB/WP/3 24 January 
2002 Rule 5(2) WT/AB/WP/W/4, 
WT/AB/WP/W/5 11 September 2001,  
WT/DSB/M/107 
WT/AB/WP/4 1 May 2003 Rules 24 and 27(3), 
with consequential 
amendments to Rules 
1, 16, 18, 19, and 28, 
and Annex I WT/AB/WP/W/6, 
WT/AB/WP/W/7 23 October 2002, 
WT/DSB/M/134 
WT/AB/WP/5 1 January 
2005 Rules 1, 18, 20, 21, 
23, 23 bis, and 27, 
and Annexes I and III WT/AB/WP/W/8, 
WT/AB/WP/W/9 19 May 2004, 
WT/DSB/M/169 
 WT/AB/WP/W/9 
Page 17 
 
 
 
 Annex C  
 
 WORLD TRADE  
ORGANIZATION  WT/AB/WP/5* 
 
[first working day of 
January 2005] 
 (05-0000) 
Appellate Body  
  
 
    
 
   
WORKING PROCEDURES 
 
FOR 
 
APPELLATE REVIEW 
 
 
    
 
     
This document replaces the Working Procedures for Appellate Review  circulated 1 May 2003.  It is a 
consolidated, revised version of the Working Procedures for Appellate Review , and reflects 
amendments to Rules 1, 18(5), 20, 21, 23, 27 an d Annex I, as well as the addition of a new Rule 
23 bis  and a new Annex III, as discussed in WT/AB/WP/W/8 and WT/AB/WP/W/9.  The Working 
Procedures for Appellate Review   consolidated in this document will be applied to appeals initiated 
after 1 January 2005. 
 
*NOTE CONCERNING DOCUMENT NUMBER:  A Communication from the Chairman of the Appellate 
Body to the Chairman of the Dispute Settlement Body was originally issued as document WT/AB/WP/5, dated 
19 December 2002  For technical reasons, that  Communication has been re-issued as document 
WT/AB/WP/W/6. WT/AB/WP/W/9 
Page 18 
 
 
 
 WT/AB/WP/W/9 
Page 19 
 
 
 
 WT/AB/WP/5 
Page 1 
  
 
Definitions  
 
 1. In these Working Procedures for Appellate Review , 
 
"appellant"  
means any party to the dispute that has file d a Notice of Appeal pursuant to Rule 20; 
 "appellate report" 
  means an Appellate Body report as described in Article 17 of the DSU; 
 
"appellee"  
means any party to the dispute that has filed a submission pursuant to Rule 22 or 
paragraph 4 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 selected 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, any Notice of Other Appeal and the submissions and 
  other written statements presented by th e participants or third participants; 
 "DSB" 
  means the Dispute Settlement Body established under Article 2 of the  DSU; 
 "DSU"   means the Understanding on Rules and Procedu res 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; 
 
"other appellant"  
  means any party to the dispute that has filed a Notice of Other Appeal pursuant to 
  paragraph 1 of Rule 23; WT/AB/WP/W/9 
Page 20 
 
 
 
WT/AB/WP/5 
Page 2   
"participant"  
  means any party to the dispute that has f iled a Notice of Appeal pursuant to Rule 20, 
  a Notice of Other Appeal pursuant to Rule 23  or a submission pursuant to Rule 22 or 
  paragraph 4 of Rule 23; 
 
"party to the dispute" 
  means any WTO Member who was a comp laining 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 di spute, participant, third party or third 
participant as generally used in WTO dis pute 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 filed a wr itten submission pursuant to Rule 24(1);  or 
any third party that appears at the oral hearing, whether or not it makes an oral 
statement at that hearing; 
 
"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; 
 
 WT/AB/WP/W/9 
Page 21 
 
 
 
WT/AB/WP/5 
Page 3 
  
"WTO" 
  means the World Trade Organization;   "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/W/9 
Page 22 
 
 
 
WT/AB/WP/5 
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 decision 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 objectives 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. WT/AB/WP/W/9 
Page 23 
 
 
 
WT/AB/WP/5 
Page 5 
  
(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. 
 
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 ex tend the term of office for an additional 
period of up to one year.  However, in order 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 Ch airman becomes 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 Ar ticle 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 and 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/W/9 
Page 24 
 
 
 
WT/AB/WP/5 
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 becomes incapable of performing his/her duties, 
the other Members serving on that division a nd 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 Pro cedures 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 an d 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 afte r the participant submitting it knew or 
reasonably could have known of the f acts supporting it.  In no case shall such 
evidence be filed after the appellate report  is circulated to the WTO Members.  WT/AB/WP/W/9 
Page 25 
 
 
 
WT/AB/WP/5 
Page 7 
 
 
(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 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 ev idence of a material violation pursuant to 
Article VIII:1 of Annex II, shall not partic ipate 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 division 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 selected forthwith pursu ant to paragraph 2 of Rule 6 to replace the 
Member originally selected for that division. 
 WT/AB/WP/W/9 
Page 26 
 
 
 
WT/AB/WP/5 
Page 8   
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. 
 
(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 A ppellate Body may, with the authorization of 
the Appellate Body and upon notification to the DSB, complete the disposition of any appeal 
to which that person was assigned while a Memb er, and that person shall, for that purpose 
only, be deemed to continue to be  a Member of the Appellate Body. WT/AB/WP/W/9 
Page 27 
 
 
 
WT/AB/WP/5 
Page 9 
  
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 covered by these Rules, a division may adopt an appropriate procedure for the purposes of th at 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 sh all immediately notify the parties to the 
dispute, participants, third parties and th ird participants as well as the other Members 
of the Appellate Body. 
(2) In exceptional circumstances, where strict adherence to a time-period 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 docume nts 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/W/9 
Page 28 
 
 
 
WT/AB/WP/5 
Page 10  
(4) A document shall be served by the most 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 third participant by facsimile transmission, 
expedited delivery courier or expedited mail service. 
(5) Upon authorization by the division, a par ticipant or a third participant may correct 
clerical errors in any of its documents (i ncluding typographical mistakes, errors of  
grammar, or words or numbers placed in th e wrong order).  The request to correct 
clerical errors shall identify the specific erro rs to be corrected and shall be filed with 
the Secretariat no later than 30 days after the date of the filing of the Notice of 
Appeal.  A copy of the request shall be served upon the other parties to the dispute, 
participants, third parties and third partic ipants, each of whom shall be given an 
opportunity to comment in writing on the request.  The division shall  notify the 
parties to the dispute, participants, third par ties and third participants of its decision.   
 
Ex Parte Communications 
19. (1) Neither a division nor any of its Members shall meet with or contact one party to the 
dispute, participant, third party or third pa rticipant in the absence of the other parties 
to the dispute, participants, thir d parties and third participants.  
(2) No Member of the division may discuss an y aspect of the subject matter of an appeal 
with any party to the dispute, participant, third party or third participant in the absence 
of the other Members of the division. 
(3) A Member who is not assigned to the divi sion hearing the appeal shall not discuss any 
aspect of the subject matter of the appeal w ith any party to the dispute, participant, 
third party 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 f acsimile numbers of the party to the 
dispute;  and 
(d) a brief statement of the nature of the appeal, including:   
(i) identification of the alleged errors in the issues of law covered in the 
panel report and legal interpreta tions developed by the panel; WT/AB/WP/W/9 
Page 29 
 
 
 
WT/AB/WP/5 
Page 11 
  
(ii) a list of the legal provision(s) of the covered agreements that the 
panel is alleged to have erred in  interpreting or applying;  and 
(iii) without prejudice to the ability of the appellant to refer to other 
paragraphs of the panel report in  the context of its appeal, an 
indicative list of the paragraphs of  the panel report containing the 
alleged errors. 
Appellant's Submission 
21. (1) The appellant shall, within 7 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. 
(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 interpretations deve loped 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 rais ed in an appellant's 
submission filed pursuant to Rule 21 may, w ithin 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 provisions of the covered agreements and 
other legal sources relied on;  and 
(iv) the nature of the decision or ruling sought. WT/AB/WP/W/9 
Page 30 
 
 
 
WT/AB/WP/5 
Page 12  
Multiple Appeals 
23. (1) Within 12 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.  Th at party shall notify the DSB in writing of 
its appeal and shall simultaneously file a Notice of Other Appeal with the Secretariat. 
 (2) A Notice of Other 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 Other Appeal; 
(c) the service address, telephone and facsimile numbers of the party to the 
dispute;  and either 
(i) a statement of the issues raised on appeal by another participant with 
which the party joins;  or 
(ii) a brief statement of the nature of the other appeal, including: 
(A) identification of the alleged errors in the issues of law 
covered in the panel report and legal interpretations 
developed by the panel; 
(B) a list of the legal provision(s) of the covered agreements that 
the panel is alleged to have erre d in interpreting or applying;  
and 
(C) without prejudice to the ability of the other appellant to refer 
to other paragraphs of the pane l report in the context of its 
appeal, an indicative list of the paragraphs of the panel report 
containing the alleged errors. 
(3) The other appellant shall, within 15 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 of Rule 21 and serve a copy of the submission on the other parties to the 
dispute and third parties. 
(4) The appellant, any appellee and any other party to the dispute that wishes to respond 
to a submission filed pursuant to paragra ph 3 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. 
(5) This Rule does not preclude a party to the dispute which has not filed a submission 
under Rule 21 or a Notice of Other Appeal under paragraph 1 of this Rule from 
exercising its right of appeal pursuant to paragraph 4 of Article 16 of the DSU. 
(6) Where a party to the dispute which ha s not filed a submission under Rule 21 or a 
Notice of Other Appeal under paragraph 1 of th is Rule exercises its right to appeal as 
set out in paragraph 5, a single division shall examine the appeals. WT/AB/WP/W/9 
Page 31 
 
 
 
WT/AB/WP/5 
Page 13 
 
Amending Notices of Appeal  
23 bis. (1) The division may authorize an original appellant to amend a Notice of Appeal or an 
other appellant to amend a Notice of Other Appeal. 
 (2) A request to amend a Notice of Appeal or a Notice of Other Appeal shall be made as 
soon as possible in writing and shall state the reason(s) for the request and identify 
precisely the specific amendments that the appellant or other appellant wishes to 
make to the Notice.  A copy of the request  shall be served on the other parties to the 
dispute, participants, third participants and third parties, each of whom shall be given 
an opportunity to comment in writing on the request. 
 (3) In deciding whether to authorize, in full or in part, a request to amend a Notice of 
Appeal or Notice of Other Appeal, the division shall take into account:  
 (a) the requirement to circulate the appe llate report within the time-period set out 
in Article 17.5 of the DSU or, as appropriate, Article 4.9 of the  
SCM Agreement ;  and,  
 (b)  the interests of fairness and orderl y procedure, including the nature and extent 
of the proposed amendment, the timing of the request to amend a Notice of 
Appeal or Notice of Other Appeal, a ny reasons why the proposed amended 
Notice of Appeal or Notice of Other Appeal was not or could not have been 
filed on its original date, and any other considerations that may be 
appropriate.   
 (4) The division shall notify the parties to the dispute, participants, third participants, and 
third parties of its decision.  In the event that the division authorizes an amendment to 
a Notice of Appeal or a Notice of Other Appeal, it shall provide an amended copy of 
 the Notice to the DSB. 
Third Participants 
24. (1) Any third party may file a written submission containing th e grounds and legal 
arguments in support of its position.  Such submission shall be filed within 25 days 
after the date of the filing of the Notice of Appeal. 
(2) A third party not filing  a written submissi on shall, within the same period of 25 days, 
notify the Secretariat in writing if it intends to  appear at the oral hearing, and, if so, 
whether it intends to make an oral statement. 
(3) Third participants are encouraged to file written submissions to facilitate their 
positions being taken fully into account by the division hearing the appeal and in 
order that participants and other third partic ipants will have notice of positions to be 
taken at the oral hearing. 
 (4) Any third party that has neither filed a written submission  pursuant to  paragraph (1), 
nor notified the Secretariat pursuant to  para graph (2), may notify the Secretariat that 
it intends to appear at the oral hearing, and may request to make an oral statement at the hearing.  Such notifications and request s should be notified to the Secretariat in 
writing at the earliest opportunity. WT/AB/WP/W/9 
Page 32 
 
 
 
WT/AB/WP/5 
Page 14   
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. 
 
Oral Hearing 
27. (1) A division shall hold an oral hearing, which shall be held, as a general rule, between 
35 and 45 days after the date of the filing of a 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 di spute, participants, third parties and third 
participants of the date for the oral hearing.  WT/AB/WP/W/9 
Page 33 
 
 
 
WT/AB/WP/5 
Page 15 
  
 (3) (a) Any third party that has filed a submission pursuant to Rule 24(1), or has 
notified the Secretariat pursuant to Rule 24(2) that it intends to appear at the oral hearing, may appear at the oral hearing, make an oral statement at the hearing, and respond to questions posed by the division. 
  (b) Any third party that has notified the Secretariat pursuant to Rule 24(4) that it 
intends to appear at the oral hearing may appear at the oral hearing. 
 (c) Any third party that has made a request pursuant to Rule 24(4) may, at the 
discretion of the division hearing the appeal, taking into account the requirements of due process, make an oral statement at the hearing, and respond to questions posed by the division. 
(4) The Presiding Member may set time-limits for oral arguments. 
 
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 memoranda shall be made available to the other 
participants and third participants in the a ppeal, who shall be given an opportunity to 
respond. 
 (3) When the questions or requests for memo randa are made prior to the oral hearing, 
then the questions or requests, as well as the responses or memoranda, shall also be 
made available to the third parties, who sha ll also be given an opportunity to respond. 
 
Failure to Appear 
29. Where a participant fails to file a submissi on within the required time-periods or fails to 
appear at the oral hearing, the division shall, after hearing the views of the participants, issue 
such order, including dismissal of the appeal, as it deems appropriate. 
 
Withdrawal of Appeal 
30. (1) At any time during an appeal, the appella nt may withdraw its appeal by notifying the 
Appellate Body, which shall forthwith notify the DSB.  
(2) Where a mutually agreed solution to a dis pute which is the subject of an appeal has 
been notified to the DSB pursuant to paragra ph 6 of Article 3 of the DSU, it shall be 
notified to the Appellate Body. 
 WT/AB/WP/W/9 
Page 34 
 
 
 
WT/AB/WP/5 
Page 16   
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 . 
(2) The working schedule for an appeal invol ving 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/W/9 
Page 35 
 
 
 
 WT/AB/WP/5 
Page 17 
 
ANNEX I 
 
TIMETABLE FOR APPEALS1 
 
 General Appeals  Prohibited Subsidies Appeals  
 Day Day 
Notice of Appeal2 0 0 
Appellant's Submission3 7 4 
Notice of Other Appeal4 12 6 
Other Appellant(s) Submission(s)5 15 7 
Appellee(s) Submission(s)6 
Third Participant(s) Submission(s)7 
Third Participant(s) Notification(s)8 25 
25 
25 12 
12 
12 
Oral Hearing9 35-45 17-23 
Circulation of Appellate Report 60 – 9010 30 – 6011 
DSB Meeting for Adoption 90 – 12012 50 – 8013 
                                                      
1Rule 17 applies to the computation of the time-periods below.  
2Rule 20. 
3Rule 21(1). 
4Rule 23(1).  
5Rule 23(3). 
6Rules 22 and 23(4). 
7Rule 24(1). 
8Rule 24(2). 
9Rule 27. 
10Article 17:5, DSU.  
11Article 4:9, SCM Agreement . 
12Article 17:14, DSU. 
13Article 4:9, SCM Agreement . WT/AB/WP/W/9 
Page 36 
 
 
 
WT/AB/WP/5 
Page 18 
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 that that person could r easonably 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 an y other person.  Such person shall not incur any obligation or accept 
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. WT/AB/WP/W/9 
Page 37 
 
 
 
WT/AB/WP/5 
Page 19 
  
 IV. Scope  
 
1. These Rules shall apply, as specified in the te xt, 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 DS U or to assist in formal arbitration proceedings 
pursuant to Annex "1a";  to the Chairman of the Textiles 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 suppor t staff called upon to provide the Standing Appellate 
Body with administrative or legal support in acco rdance 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 panel, 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 memb ers 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/W/9 
Page 38 
 
 
 
WT/AB/WP/5 
Page 20  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 could 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 inde pendence 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 confirma tion 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 Appe llate 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 complete the form at Annex 3.  Such information would be disclosed to the Standing Appellate Body for its consideration whether the member concer ned should hear a particular appeal. 
 
(ii) Standing Appellate Body support staff 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. 
 
                                                     
 
**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 any involvement with the dispute 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/W/9 
Page 39 
 
 
 
WT/AB/WP/5 
Page 21 
  
6. The Chair of the DSB, the Secretariat, parties to the dispute, and othe r individuals involved in 
the dispute settlement mechanism shall maintain the confidentiality of any information revealed 
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 such 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. 
 WT/AB/WP/W/9 
Page 40 
 
 
 
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Page 22   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.  7. If, after having consulted with  the person concerned, 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.  
                                                     
 
***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/W/9 
Page 41 
 
 
 
WT/AB/WP/5 
Page 23 
  
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 V III: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. 
 
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-periods 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 decisi on, 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/W/9 
Page 42 
 
 
 
WT/AB/WP/5 
Page 24   
 
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/W/9 
Page 43 
 
 
 
WT/AB/WP/5 
Page 25 
  
 
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/W/9 
Page 44 
 
 
 
WT/AB/WP/5 
Page 26   
 
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 presen t 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. the 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/W/9 
Page 45 
 
 
 
WT/AB/WP/5 
Page 27 
  
 
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 un derstand my continuing du ty, while participating 
in the dispute settlement mechanism, and until su ch 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:  
__________ 
 
 
 WT/AB/WP/W/9 
Page 46 
 
 
 
WT/AB/WP/5 
Page 28   
 
ANNEX III 
 
Table of Consolidated and Revised Versions of the Working Procedures for Appellate Review  
 
Document 
Number Effective 
Date Rules Amended Working 
Documents/Explanatory 
Texts Principal DSB 
Meeting(s) at which 
Amendments 
Discussed, Minutes 
WT/AB/WP/1 15 February 
1996 N/A WT/AB/WP/W/1 31 January 1996, 
WT/DSB/M/10 and 
21 February 1996, 
WT/DSB/M/11 
WT/AB/WP/2 28 February 
1997 Rule 5(2)  
and Annex II WT/AB/WP/W/2, 
WT/AB/WP/W/3 25 February 1997, 
WT/DSB/M/29 
WT/AB/WP/3 24 January 
2002 Rule 5(2) WT/AB/WP/W/4, 
WT/AB/WP/W/5 11 September 2001,  
WT/DSB/M/107 
WT/AB/WP/4 1 May 2003 Rules 24 and 27(3), 
with consequential 
amendments to Rules 
1, 16, 18, 19, and 28, 
and Annex I WT/AB/WP/W/6, 
WT/AB/WP/W/7 23 October 2002, 
WT/DSB/M/134 
WT/AB/WP/5 1 January 
2005 Rules 1, 18, 20, 21, 
23, 23 bis, and 27, 
and Annexes I and III WT/AB/WP/W/8, 
WT/AB/WP/W/9 19 May 2004, 
WT/DSB/M/169 
 
 
 
 
 
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