WORLD TRADE
ORGANIZATIONWT/CTE/W/197
25 June 2001
(01-3142)
Committee on Trade and Environment
ANNOTATED BIBLIOGRAPHY OF SELECTED LITERATURE CONCERNING
COMPLIANCE AND DISPUTE SETTLEMENT IN THE WTO AND
IN MULTILATERAL ENVIRONMENTAL AGREEMENTS
Note by the Secretariat
This Note has been prepared as background information to complement the paper on
compliance and dispute settlement provisions in the WTO and MEAs, WT/CTE/W/191.  This Note
contains an annotated bibliography of selected literature concerning compliance and dispute
settlement in the WTO and MEAs.  Listed below are books, articles and papers which discuss issuesrelevant to that subject matter.  This body of literature has been selected on the basis of its usefulness
in the Secretariat's research with respect to improving the understanding of compliance and dispute
settlement both in MEAs and the WTO.  Copies of this literature can be consulted in the Trade and
Environment Division of the WTO Secretariat.
This Note is divided into two main sections.  The first part of the Note lists all references to
compliance and/or dispute settlement in MEAs;  the second part lists those references that deal with
compliance provisions and/or dispute settlement provisions in the WTO.  Each part is further divided
into references for books, articles and papers/speeches.
I. COMPLIANCE AND/OR DISPUTE SETTLEMENT IN MEAs
A. BOOKS
/g167 Author:
Fijalkowski, Agata & Cameron, James (eds.)
Title:
Trade and the Environment:  Bridging the Gap
Publishing Information:
Cameron May (1998), London
Abstract:
This book constitutes a selection of essays based on presentations that were given at a conference held
in The Hague in 1997.  The first part of the book includes essays on recent developments in dispute
settlement in the MEA and WTO regimes.  The following parts focus on implications of WTO law onenvironmental policies and contain case studies on the implementation of MEAs at the national level
and the use of trade and non-trade measures.  Observations are also made related to the Biosafety
Protocol, such as with respect to the use of trade-related and other measures to achieve the objectives
of the Protocol and the role of trade measures in treaties in general.  The last part of the book deals
with the Basel Convention, the climate change regime and commodity markets.WT/CTE/W/197
Page 2
/g167 Author:
Hunter, David;  Salzman, James & Zaehlke, Durwood
Title:
International Environmental Law and Policy
Publishing Information :
Foundation Press (1998), New York
Abstract:  This very extensive book describes the law-making process, moving beyond the traditional
focus on state actors to assess the critical role of transnational actors, citizens, NGOs, scientists and
business.  The first part of the book deals with the creation and development of international
environmental law and addresses basic issues of envi ronmental law.  In this context, the topics of
compliance and dispute resolution in MEAs are examined.  The second part of this publication
concentrates on specific environmental problems and the treaties and mechanisms created to addressthem.  The following part of the book examines the interrelation of international environmental law
with other fields, such as human rights, trade and investment.  This section also discusses the trade
and environment debate and addresses the WTO dispute settlement system.  The book includes
annexes on researching international environmental law, on international organizations active in
international affairs, and with a chronology of international environmental agreements.
/g167 Author:
Sands, Phillip;  MacKenzie, Ruth & Shany, Juval
Title:
Manual on International Courts and Tribunals
Publishing Information:
Butterworths (1999), London
Abstract:
The book gives an overview of the jurisdiction and procedures of existing dispute settlement bodies in
international law.  Its purpose is to act as a practical guide for processes before these internationalinstitutions.  While the first part of the book focuses on general bodies, such as the International Court
of Justice (ICJ) and the International Tribunal for the Law of the Sea (ITLOS), the second part deals,
among others matters, with the WTO dispute settlement system.  Other bodies relating to human
rights, regional economic integration and development banks are addressed in the further chapters.
The last part treats the issue of non-compliance procedures, particularly under the Montreal Protocol.
B. ARTICLES
/g167 Author:
Ausubel, J.H. & Victor, D.G.
Title:
Verification of International Environmental Agreements
Publishing Information:
Annual Review of Energy and Environment 17 (1992), p. 1
available at :  http://phe.rockefeller.edu/verification/
Abstract:
The article addresses the question of whether verification is a subject that should be of more social
concern.  Specifically, it examines how verification is conducted both at the international anddomestic level.  Further, the authors question whether social science can explain the demand for, and
character of, verification in existing regimes and how the response influences proposals with respect
to environmental regimes, such as climate change, biodiversity and forests.  The arguments are
illustrated through a description of nine MEAs, including a discussion of the application of the issues
to them.WT/CTE/W/197
Page 3
/g167 Author:
Brunnee,  Jutta
Title:
A Fine Balance:  Facilitation and Enforcement in the Design of a Compliance Regime for the
Kyoto Protocol
Publishing Information:
Tulane Environmental Law Journal (2000), p. 223
Abstract:
This article focuses on the development of non-compliance systems under the Kyoto Protocol.  It
identifies the building blocks of a compliance system and develops a compliance regime for the
Kyoto Protocol.  The author examines the role of facilitative approaches with respect to compliance,
the spectrum of consequences and approaches to these consequences, and institutional requirements,as well as linkages to dispute settlement.  The article further discusses possible ways towards a
balance between facilitation and enforcement.
/g167 Author:
Churchill, Robin R. & Ulfstein, Geir
Title:
Autonomous Institutional Arrangements in Multilateral  Environmental Agreements:  A Little Noticed
Phenomenon in International Law
Publishing Information:
American Journal of International Law (2000), p. 623
Abstract:
The article draws attention to the development of so called "autonomous institutional arrangements"
(such as the Convention of the Parties (COP), and the Meeting of the Parties (MOP)) as compared to
traditional intergovernmental organizations.  The first two parts of the paper describe and explain the
autonomous institutions created by MEAs.  The following parts examine the scope of the decision-making power of these arrangements, as well as the relationship between the "host" and the
institutions established by the MEA.  Further parts compare the autonomous institutional
arrangements of MEAs with the arrangements in other areas of international law.  The authors
conclude that the self-governing, treaty-based, autonomous institutional arrangements may be
considered to be intergovernmental organizations.
/g167 Author:
Craik, Neil
Title:
Recalcitrant Reality and Chosen Ideals:  The Public  Functions of Dispute Settlement in International
Environmental Law
Publishing Information:
Georgetown International Environmental Law Review (1998), p. 550
Abstract:
The author describe the distinction between legal and non-legal dispute settlement mechanisms and
then focuses on the public nature of international environmental disputes.  The author emphasizes the
issues of multilateralism and the global environment, as well as the importance of the participation ofnon-state actors.  Further issues, such as the role of science, soft law and soft responsibility of States
are addressed.
/g167 Author:
Fletcher, Charles R.
Title:
Greening World Trade:  Reconciling GATT and Multilateral Environmental Agreements within the
Existing World Trade RegimeWT/CTE/W/197
Page 4
Publishing Information:
Journal of Transnational Law & Policy (1996), p. 341
Abstract:
The article explains the growing awareness of the necessity of mutually reinforcing trade policy and
environmental policy, and describes the history of international environmental agreements relating to
international trade.  The article examines how the GATT/WTO addresses environmental protection
initiatives, mainly focusing on Article XX of GATT.  At the end, the author proposes several ideas for
reconciling environmental policy and free trade with regard to the MEA-WTO relationship,
multilateral coordination and unilateral enforcement of environmental policy.
/g167 Author:
Gardner, Allison F.
Title:
Environmental Monitoring's Undiscovered Count ry:  Developing a Satellite Remote Monitoring
System to Implement the Kyoto Protoc ol's Global Emission Trading Program
Publishing Information :
New York University Environmental Law (2000), p. 152
Abstract:
The author's intention is to demonstrate the utility of new technology in ascertaining compliance with
international environmental agreements, particularly the Kyoto Protocol.  The author discusses the
structure of the emissions-trading program upon which the analysis of compliance monitoring is
based.  The paper also explains the theoretical framework within which compliance-monitoringmechanisms can be analysed.  The author desc ribes some of the traditional mechanisms for
monitoring compliance with MEAs and examines their usefulness for the Kyoto emissions-trading
system.  According to the author, the effectivene ss of international environmental agreements can be
improved by the use of new technologies in monitoring compliance.
/g167 Author:
Handl Gunther & Deutsch  Eberhard
Title:
Compliance Control Mechanisms and International Environmental Obligations
Publishing Information:
Tulane Journal of International and Comparative Law (1997), p. 29
Abstract:
The Article starts with general considerations on non-compliance procedures in MEAs.  The authors
then elaborate on the advantages of non-compliance systems and set out the typical features of the
non-compliance procedures.  Finally, the critical relation between dispute settlement and non-
compliance is addressed.
/g167 Author:
Rest, Alfred
Title:
The Indispensability of an International Environmental Court
Publishing Information :
Review of European Community and International Environmental Law (1998), p. 63
Abstract:
The paper discusses the question of whether the environment needs a judicial instrument or whether
existing dispute settlement mechanisms and institutions already meet this aim.  While the author
mainly focuses on the role of national and international courts, he also describes the existing systemsthat are found in MEAs.WT/CTE/W/197
Page 5
/g167 Author:
Sands, Philippe
Title:
International Environmental Litigation and its Future
Publishing Information:
University of Richmond Law Review (1999), p. 1619
Abstract:
The author describes the development of the subject of international environmental law and its
recognition by the International Court of Justice, as  well as by the European Court of Justice.  The
article considers the practice in other international courts and tribunals before turning to the question
of whether a specialized tribunal is necessary or desirable.  He concludes that, while the possibility of
creating an international environmental court shou ld be considered, in the meantime, non-compliance
procedures should be strengthened.
/g167 Author:
Sand, Peter H.
Title :
International Economic Instruments for Sustainable Development:  Sticks, Carrots and Games
Publishing Information:
Indian Journal of International Law (1996), p. 1
Abstract:
The author examines the types of economic instruments found in MEAs to implement sustainable
development.  According to the author, there are three types of instruments :  disincentives, such as
quantitative limits to trade;  incentives, such as financial contributions from the GEF or the
Multilateral Fund;  and, a third type of instruments, which is not beneficial to any particular party at
first, but may have net beneficial results, such as joint implementation.  These types of instruments
hold a level of uncertainty for the countries involved, leading the author to label them "games".
/g167 Author :
Werksman, Jacob
Title:
Compliance and the Kyoto Protocol:  Building a Backbone into a "Flexible" Regime
Publishing Information:
Yearbook of International Environmental Law (1999), p.52 (eds. Brunnee, J. & Hay, E.)
Abstract:
The paper outlines options that may be available to Parties in designing responses to the
non-compliance of Parties with their commitments under the climate regime.  The author gives a
general overview of international law and focuse s on treaty-specific mechanisms for non-compliance.
This article is an elaborated version of the paper "Responding to Non-Compliance under the ClimateChange Regime", that was produced for the OECD.
/g167 Author:
Werksman, Jacob
Title:
Compliance and Transition:  Russia's Non-Compliance Tests the Ozone Regime
Publishing Information:
Zeitschrift für Ausländisches Recht und Völkerrecht (1996), p.750
Abstract:
The article describes the evolution of Russia's obligations under the Montreal Protocol and gives a
detailed overview of the Montreal Protocol's procedures for non-compliance and financial assistance.
The article outlines Russia's legal arguments with regard to non-compliance and elaborates on the
issues of succession, force majeure,  rebus sic stantibus,  and common but differentiated responsibility.WT/CTE/W/197
Page 6
It also addresses the question of how the Protocol's institutions responded to Russia's non-compliance,
including issues such as grace periods, trade restrictions and financial assistance.
C. PAPERS/SPEECHES
/g167 Author:
Bjerke, Siri, Minister of Environment, Norway
Title :
Enforcement and Compliance of Multilateral Environmental Agreements
Publishing Information:
Speaking Notes , Nairobi, 9 February 2001, available on the Web page of the Norwegian Ministry for
Environment, http://odin.dep.no/md/engelsk/a ktuelt/taler/022021-990051/index-dok000-b-f-a.html
Abstract:
The speech addresses the issues of compliance and enforcement in multilateral environmental
agreements.  It states that compliance with MEAs also requires action against non-compliance.  The
Minister stresses the importance of finding a balance between deterrence and over-stringent
enforcement.  Furthermore, the necessity of capacity building and the development of guidelines with
respect to compliance is emphasized.
/g167 Author:
Brack, Duncan
Title :
International Environmental DisputesInternational Forums for Non-Compliance and Disp ute Settlement in Environment-Related Cases
Publishing Information:
Energy and Environmental Programme of the Royal Institute of International Affairs (2001)
available at www.riia.org
Abstract:
This paper was prepared for the UK Department of Environment, Transport and the Regions and
gives a brief introduction on environment-related disp utes.  A list of notable examples of dispute
settlement systems, together with the most important  environment-related cases that have been settled
under them is provided in the second section.  The third section focuses on non-compliance
mechanisms and notes examples of such mechanisms in various MEAs.  Finally, the author suggests
how non compliance regimes in MEAs woul d be likely to be more effective.
/g167 Author:
Brown Weiss, Edith
Title:
Getting Countries to Comply with International Agreements
Publishing Information:
Environment, July-August 1999, available at
http://www.findarticles.com/cf_0/m1076/6_41/55237739/print.html
Abstract:
The paper is based on the results of an international and multidisciplinary collaborative project with
40 scholars from ten countries who examined th e factors that affect national compliance with
international agreements.  The author clarifies the difference between implementation, compliance
and effectiveness, and introduces a model that explains compliance.  She further discusses strategies
to strengthen and stimulate compliance and emphasizes the need to develop different strategies for
different countries, according to their profile.  Finally, the author deals with policy descriptions for the
negotiation of the agreeement, the involvement of institutional arrangements, and country spescificmeasures.WT/CTE/W/197
Page 7
/g167 Author:
Brown Weiss, Edith
Title:
National Compliance with International Environmental Agreements
Publishing Information:
Remarks for the Plenary Session on Implementation, Compliance and Enforcement
American Society of International Law, Proceedings of the 91st Annual Meeting (1997), p.56
Abstract:
The author focuses on national compliance with international agreements and notes the importance of
viewing compliance within an international system consisting of networks related to nation-states.
Secondly, she considers the concept of change as central to understanding national compliance.
Further issues, such as the intent and capacity to comply, strategies for compliance, and the linkage ofcompliance strategies with intent and capacity, are addressed.
/g167 Author:
Butler, Jo Elizabeth
Title:
The Establishment of A Dispute Resolution/ No n-Compliance Mechanism in the Climate Change
Convention
Publishing Information:
American Society of International Law, Proceedings of the 91
st Annual Meeting (1997), p. 250
Abstract:
The paper describes the background of the mandate that is found in Article 13 of the UNFCCC.  It
explains the process of introducing a non-compliance mechanism, as well as the problems that have
been faced with regard to the use of certain language.  The author concludes that environmental
treaties are strongly moving toward the creation of non-compliance mechanisms and away from total
dependence on dispute settlement procedures.  The author expresses the hope that the climate changeregime will also adopt a very effective non-compliance and dispute resolution system.
/g167 Author:
Chayes, Abram
Title:
Compliance without Enforcement
Publishing Information:
Remarks for the Plenary Session on Implementation, Compliance and Enforcement
American Society of International Law, Proceedings of the 91
st Annual Meeting (1997), p. 53
Abstract:
The author explains the state of compliance with international regulatory agreements and discusses
the issue of sanctions.  In this context, the so-ca lled "Managerial Approach" is noted.  The author also
distinguishes between self-interested non-compliance versus wilful breach of treaty terms, citing the
Russian CFC case in the Montreal Protocol as an example.
/g167 Author:
Goldberg, Donald M.;  Wiser, Glenn;  Porter, Stephen J. & Lacosta, Nuno
Title:
Building a Compliance Regime under the Kyoto Protocol
Publishing Information:
Study of the Center for International Environmental Law (CIEL) & Euronatura
available at http://208.244.94.218/euronatura2/Cepap3.htm
Abstract:
The paper considers compliance in a broad sense, which means ensuring and enabling Parties to
implement their obligations under the Kyoto Protocol with the aim of achieving the objectives of the
UNFCCC.  It discusses and suggests a dual approach to compliance based on facilitation andWT/CTE/W/197
Page 8
enforcement and describes measures that can be taken in this respect.  Finally, the paper provides an
annex setting out a wide range of responses that are available to address non-compliance, ranging
from informal negotiations and financial assistance to fines and trade measures.
/g167 Author:
Herman, Steven A. & Verkerk, Pieter J.
Title:
Closing Remarks for the Fourth International Conference on Environmental Compliance and
Enforcement
Publishing Information:
Fourth International Conference on Environmental Compliance Enforcement (1996),
available at www.inece.org/4thvol2/closing.pdf
Abstract:
The paper deals with environmental compliance and enforcement and addresses issues related to
establishing international cooperation, regional networks and capacity building.  Firstly, the article
focuses on the driving forces for environmental compliance and enforcement and the application of
those principles.  Further, the paper addresses the establishment of international cooperation, regionalnetworks and international capacity building.  The paper also includes a summary of workshops that
were held on several special topics related to en vironmental compliance and enforcement.  The paper
draws the conclusion that the principles of environmental compliance and enforcement are clear and
understandable, and that this must be used to carry the knowledge, expertise, training and regional
networks to an even more effective level.
/g167 Author:
Intergovernmental Committee for the Cartagena Protocol on Biosafety – Note by the Executive
Secretary
Title:
Compliance (Article 34) – Development of Compliance Procedures and Mechanism under the
Cartagena Protocol on Biosafety
Publishing Information:
UNEP/CBD/ICCP/1/7, 19 September 2000, Intergovernmental Committee for the Cartagena Protocol
on Biosafety, First Meeting, Montpellier France, 11-15 December 2000, Item 4.5 of the agenda.
Abstract:
The paper offers a very useful review of existing compliance regimes in multilateral environmental
agreements, such as CITES, the Montreal Pr otocol and the UN-ECE Convention on Long-Range
Transboundary Air Pollution.  It describes recent initiatives to address the issue of compliance with,
and implementation and enforcement of, MEAs, as well as the development of non-compliance
procedures in other processes and institutions , such as UNEP, the Basel Convention, the UNFCCC
and the Kyoto Protocol.  The paper also discusses some elements and options for compliance regimesand finally issues some general recommendations.  The annex contains a questionnaire regarding the
development of compliance procedures and mechanisms under the Cartagena Protocol on Biosafety.
/g167 Author:
Jeffery, John (Rapporteur)
Title :
Compliance Monitoring
Publishing Information:
Resume, Fourth International Conference on Environmental Compliance and Enforcement
available at http://www.inece.org
Abstract:
The document summarizes the discussion that were held on compliance monitoring at the
International Conference on Environmental Compliance and Enforcement.  It deals with the key
elements in the development of a compliance monitoring programme and focuses on the conduct ofWT/CTE/W/197
Page 9
multi-media inspections, source self-monitoring, ci tizens' complaints, data collection and targeting
inspections.
/g167 Author:
Marceau, Gabrielle & González-Calatayud, Alexandra
Title:
The Relationship between the Dispute Settlement Mechanisms of MEAs and those of the WTO
Publishing Information:
To be published in "The WTO and Multilateral Environmental Agreements:  Facets of a Complex
Relationship", Böll Foundation Washington, NWF and the Woodrow Wilson Center (2001)
Abstract:
This paper deals with the conflicts that could arise due to the parallel dispute settlement mechanisms
of MEAs and the WTO and the "forum shopping" between regimes that could result.  The authors
identify some of the issues and arguments that arise in that context, and which may ensure that WTO
Members and other States use the most appropriately equipped forum.  They examine the conflicts
between the substantive provisions of MEAs and those of the WTO Agreement, as well as the
relationship between the WTO dispute settlement mechanism and those in MEAs.  Finally, theauthors suggest different approaches to improve th e WTO dispute settlement mechanism with respect
to trade-related cases.  The authors conclude by stressing the importance of strengthening compliance
and dispute settlement mechanisms in MEAs to provide an important source of mutual
supportiveness.
/g167 Author:
OECD Environment Directorate
Title:
Key Features of Domestic Monitoring Systems under the Kyoto Protocol
Publishing Information:
OECD and IEA Information Paper ( 2000), COM/ENV/EPOC/IEA/SLT(2000)4
Abstract:
The main aim of the paper is to identify key functions, processes and institutions to ensure high data
quality under the Kyoto Protocol monitoring systems.  It provides general information on monitoring
systems and further tries to identify priorities for capacity building programmes or for international
review processes.  Therefore the paper focuses on a wider range of issues such as the characteristics
of monitoring systems, the core technical functions of domestic systems, the features of themanagement process and finally the institutional context of monitoring systems.
/g167 Author:
OECD Environment Directorate
Title:
Monitoring, Reporting and Review of National Performance under the Kyoto Protocol
Publishing Information:
Paper prepared for discussion at the 10 and 11. September meeting of the Annex I Expert Group on
the UNFCCC (1999), ENV/EPOC(99)20/FINAL
Abstract:
The objective of the paper is to consider ways of adapting the existing UNFCCC compliance system
to the substantive commitments developed under the Kyoto Protocol.  The paper deals with wider
compliance systems and describes elements, such as monitoring, reporting, review and related issues.
In addition, it shows the interre lation between international compliance and national systems of
implementation.WT/CTE/W/197
Page 10
/g167 Author:
OECD Environment Directorate
Title:
Ensuring Compliance with a Global Climate Change Agreement
Publishing Information:
OECD Information Paper (1998), ENV/EPOC(98)5/REV1
Abstract:
The paper analyses and assesses possible procedures to facilitate and secure compliance with the
UNFCCC and the Kyoto Protocol.  Although the paper mainly deals with approaches to ensure
compliance with targets and timetables, it also examines further measures such as reporting, adoption
of mitigation policies and financial obligations.  It offers compliance approaches that might be used in
connection with emissions trading and transfer mechanisms.
/g167 Author:
OECD Environment Directorate
Title:
Responding to Non-Compliance under the Climate Change Regime
Publishing Information:
OECD Information Paper (1999), ENV/EPOC(99)21/FINAL
Abstract:
The paper outlines options that may be available in designing responses to the non-compliance of
Parties with their commitments under the climate regime.  The paper gives a general overview ofinternational law and then focuses on treaty-specific mechanisms for non-compliance.
/g167 Author:
OECD Environment Directorate
Title:
Kyoto Mechanisms, Monitoring and Compliance:  From Kyoto to The Hague
Publishing Information:
OECD and IEA project for the Annex I Expert Group on the UNFCCC (2001),
COM/ENV/EPOC/IEA/SLT(2001)9
Abstract:
The paper is a compilation of the summaries of papers that were prepared by the OECD and
International Energy Agency (IEA ) Secretariats at the request of the ANNEX I Export Group of the
UNFCCC.  The paper deals with the Kyoto Mechanism, as well as monitoring and compliance under
the Kyoto Protocol and the UNFCCC.
/g167 Author:
Osakwe, Chiedu
Title:
Implementing MEAs:  Trade and Positive Measures
Publishing Information:
Conference on the Implementation of Multilateral Environmental Agreements (1997)
Paper available at http://ictsd.org/html/review4.5.htm
Abstract:
The paper builds on the combination and balance between coercive trade and incentive-driven
positive measures.  The author mainly focuses on positive measures, such as the building of expert
capacity, granting of grace periods, transfer of environmentally-friendly technology, joint project
implementation, environmentally-friendly project subsidies and improved market access.  The authorrefers to an UNCTAD  paper which proposes an agenda for positive measures.  The paper concludes
that while positive measures are important, a balance between coercive and positive measures needs
to be found.WT/CTE/W/197
Page 11
/g167 Author:
Széekely, Alberto
Title:
Compliance with Environmental Treaties:  the Empirical Evidence – A Commentary on the
Sovereignty of International Environmental Law
Publishing Information:
American Society of International Law, Proceedings of the 91st Annual Meeting (1997), p. 234
Abstract:
The author analyzes what he calls "disturbing sign als that appeared in the realm of international
environmental law".  Further, he addresses the issue of today's soft international law.  In this context,
he elaborates on MEAs that allow for Parties to provide financial assistance to developing countries.
/g167 Author:
United Nations Conference for Trade and Development (UNCTAD)
Title:
Positive Measures to Promote Sustainable Development, Particularly in Meeting the Objectives of
Multilateral Environmental Agreements
Publishing Information:
UNCTAD paper, 26 August 1997;  TD/B/COM.1/EM.3/2.9
Abstract:
This reports provides a description of the range of incentives that are used in MEAs, and addresses
capacity building, financial mechanisms and technology transfer.  These measures are illustratedwithin the context of various MEAs.  There is also a discussion regarding additional or innovative
financial mechanisms, for example, private sector funding for the creation of investor pools.
/g167 Author :
United Nations Environment Programme (UNE P) Global Environment Outlook (GEO) Team
Title :
Global Environment Outlook 2000
Publishing Information:
GEO 2000/Global Environment Outlook, by th e United Nations Environment Programme
available at www.grida.no/geo2000
Abstract:
The five chapters of the Global Environment Outlook deal with global perspectives, the state of the
environment, policy responses, future perspectives and recommendations.  Chapter three, which deals
with policy responses in different regions, includes a section on MEAs and non-binding instruments
to address environmental problems.  It addresses the issues of implementation, compliance and
effectiveness and explains the differences.
/g167 Author:
Victor, David G.
Title:
The Use and Effectiveness of Non-Binding Instruments in the Management of Complex International
Environmental Problems
Publishing Information:
American Society of International Law, Proceedings of the 91
st Annual Meeting (1997), p. 241
Abstract:
The author focuses on the effectiveness of non-binding legal instruments.  The article refers to the
project "Implementation and Effectiveness of International Environmental Commitments" carried outby the International Institute for Applied Systems Analysis (IIASA), Austria.  He explains and
emphasizes the important distinction between compliance and effectiveness and discusses the role of
legally-binding commitments.  The author concludes by citing a case and argues that it hasWT/CTE/W/197
Page 12
demonstrated that non-binding approaches that ar e backed up by review a nd political will can be a
good tool to force states to implement their obligations.
/g167 Author:
Wasserman,  Cheryl E.
Title:
Building International Networks, Cooperation, an d Capacity for Environmental Compliance and
Enforcement:  A Progress Report
Publishing Information:
Fourth Conference on Environmental Compliance and Enforcement (1996)
available at http://www.inece.org/4thvol1/wasserma.pdf
Abstract:
The paper provides a brief overview of the im portance of capacity building for the success of
environmental compliance and enforcement.  It also  examines what international collaboration has
achieved in the past and what might be needed to continue to make progress.  Issues that are
addressed are the international consensus regarding the importance of environmental compliance, the
accomplishments of international conferences and related networking, and institutional arrangementsand regional and international networks.  The paper also includes an annex providing detailed
definitions of the terms compliance and enforcement, and that discusses specific issues related to
those terms.
/g167 Author:
Wasserman, Cheryl E.
Title :
Principles of Environmental Enforcement
Publishing Information:
Third International Conference on Environmental Enforcement (1994)
http://www.inece.org/report/REP24.html #PrinciplesofEnvironmentalComplianceand Enforcement
Abstract:
The first part of the paper explains the different bases for enforcement and compliance and elaborates
on the creation of environmental laws that are enforceable.  The second part deals with the design of
compliance strategies and enforcement programmes and includes issues ranging from promoting
compliance, and monitoring compliance to responding to violations.  The last part is on experiences
with implementation and includes five case studies in various environmental sectors in differentcountries.
/g167 Author:
Werksman , Jacob
Title:
Five MEAs, Five Years Since Rio:  Recent Lessons on the Effectiveness of Multilateral Environmental
Agreements
Publishing Information:
FIELD Paper;   Rio+5 Special Focus Report (1997)
available at www.ecouncil.ac.cr/rio/focus/report/english/field.htm
Abstract:
The paper provides an analytical framework on compliance and effectiveness.  The author explains
the issues of compliance information systems and the so-called "non-compliance response systems".
The main part of the paper concentrates on recent lessons in compliance and effectiveness from
selected regimes, such as CITES, the Montreal Protocol, the Basel Convention, the Climate ChangeConvention and the Convention on Biological Diversity.WT/CTE/W/197
Page 13
/g167 Author:
Wiser, Glenn M.
Title:
Compliance Systems under Multilateral Agreements – A Survey for the Benefit of Kyoto Protocol
Policy Makers
Publishing Information:
Center for International Environmental Law (CIEL) (1999)
Abstract:
This paper primarily focuses on the compliance systems under the climate change regime.
Furthermore, it surveys other MEAs, as well as regimes that regulate different activities, including
arms control, human rights, labour relations, commodities, and international trade and finance.  The
survey examines the rules, procedures, and institutions established under the various agreements.  Thepaper mainly builds on the distinction of compliance information and compliance response systems.
/g167 Author:
Young, Oran
Title:
Two Models of Effectiveness
Publishing Information:
Remarks in Plenary Session on Implementation, Compliance and Effectiveness, American Society of
International Law, Proceedings of the 91
st Annual Meeting (1997), p. 50
Abstract:
The author seeks to break apart the issue of compliance and effectiveness and to compare two models
of effectiveness.  Firstly, he elaborates on the interrelationship between compliance and effectiveness.
Secondly, he proposes a standard regulatory model of effectiveness and an alternative "social practice
model," which takes into account institutional frameworks that give rise to social practices.
II. COMPLIANCE AND/OR DISPUTE SETTLEMENT IN THE WTO
A. BOOKS
/g167 Author:
Cameron, James & Campbell , Karen (Eds.)
Title:
Dispute Resolution in the World Trade Organization
Publishing Information:
Cameron May (1998) London
Abstract:
This book compiles several essays on different aspects of dispute settlement.  It is divided into five
parts.  The first part gives an overview of the DSU;  the second part focuses on the form and function
of the Appellate Body and the third part includes cases and sectoral analysis.  The next partconcentrates on perspectives.  The last part incorporates international trade law reports, summaries
and commentaries.
/g167 Author:
Croome , John
Title:
Guide to the Uruguay Round Agreements
Publishing Information:
Kluwer Law International (1999), The Hague
Abstract:
This book is the official and comprehensive WTO explanation of the Uruguay Round treaties.  It
explains each agreement with cross-references to associated decisions, as well as concise introductoryWT/CTE/W/197
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notes explaining each Agreement's purpose and providing background information.  The book
includes the WTO Secretariat's analysis of the significant impact of the commitments in the goods and
service schedules.
/g167 Author:
Petersmann, Ernst-Ulrich
Title:
The GATT/WTO Dispute Settlement System
Publishing Information:
Kluwer Law International (1997), London-The Hague-Boston
Abstract:
The book gives an introduction to the GATT and the WTO dispute settlement systems.  Firstly, it
explains the GATT dispute settlement system and describes the case law on trade-related
environmental measures.  The author then elaborates on non-violation complaints and situation
complaints and questions their legitimate function.  After introducing the dispute settlement system of
the WTO Agreement, the future of the dispute settlement system is focused on.  The Annexes include
a useful collection of relevant texts and tables of GATT and WTO case law.
/g167 Author:
Weiss, Friedl (ed.)
Title:
Improving WTO Dispute Settlement Procedures
Issues and Lessons from the Practice of Other International Courts and Tribunals
Publishing Information:
Cameron May (2000), London
Abstract:
The book consists of a collection of essays and follows the idea that the insights and lessons to be
derived from the practice of other international cour ts may contribute to a reform of the GATT/WTO
system.  The essays, written by specialists, academics and legal practitioners, examine a wide range of
procedural aspects of the dispute settlement system in the WTO.
B. ARTICLES
/g167 Author:
Bello, Judith H.
Title :
The WTO Dispute Settlement Understanding:  Less is More
Publishing Information:
American Journal of International Law (1996), p. 416
Abstract:
The article addresses the question of whether the WTO dispute settlement provisions subordinate non-
trade policy objectives.  The author focuses on the flexibility of the new system and concludes that the
less the WTO requires any real transfer of power from national governments to the Secretariat, the
more effectively it encourages international economic cooperation.
/g167 Author:
Bello, Judith H. & Holmer, Alan F.
Title:
U.S Trade Law and Policy Series No. 24:  Dispute Resolution in the New World Trade Organization:
Concerns and Net Benefits
Publishing Information:
The International Lawyer (1994), p. 1095WT/CTE/W/197
Page 15
Abstract:
The article identifies the major concerns about the WTO dispute settlement procedures and explains
the reasons why the United States should benefit from them.  Firstly, it describes the background of
the dispute settlement system, and illustrates some domestic concerns in this respect.  Further, the
authors emphasize the net benefits of an effective dispute settlement system, and reach the conclusionthat economic interests benefit substantially from the dispute settlement system.
/g167 Author:
Bourgeois, Jacques H.J.
Title:
Some Reflections on the WTO Dispute Settlement  System from a Practitioner's Perspective
Publishing Information:
Journal of International Economic Law (2001), p. 145
Abstract:
The author advocates the establishment of a st anding body or standing WTO Dispute Settlement
panels.  The article also discusses some deficiencies with regard to a procedural nature, such as
standing, preliminary rulings, scope of disputes, judicial economy and appeals, and the review offactual findings on appeal.  The paper suggests specific improvements to the dispute settlement
system and raises the question of whether interim relief should be provided.
/g167 Author:
Bütler, Monika & Hauser, Hans
Title:
The WTO Dispute Settlement System:  A First Assessment from an Economic Perspective
Publishing Information:
Journal of Law, Economics & Organization (2000), p. 503
Abstract:
The authors discuss the incentives that countries face in trade litigation within the WTO dispute
settlement system.  They offer various predictions and base them on empirical evidence.  The authors
conclude that the current WTO dispute settlement system makes trade restrictions less attractive than
under the old system.  The article also focuses on the effects of the possibility of appealing a panel
decision, as well as the implementation system, which they consider to be too weak.  The authors also
state that bilateral settlements are more likely at an early stage in the process, and would be biased
toward the expected outcome of the formal dispute settlement procedure.
/g167 Author:
Davey, William J.
Title :
The WTO Dispute Settlement System
Publishing Information:
Journal of International Economic Law (2000), p. 15
Abstract:
The author, who served as the Director of the Legal Affairs Division of the WTO between 1995 and
1999, reviews the first four years of the WTO dispute settlement and gives some of his preliminaryjudgements about the new WTO dispute settlement procedures.
/g167 Author:
Dunoff, Jeffrey L.
Title:
Institutional Misfits:  The GATT, the ICJ and Trade-Environment Disputes
Publishing Information:
Michigan Journal of International Law (1994), p. 1043WT/CTE/W/197
Page 16
Abstract:
This article addresses possible tensions between international trade, sustainable development and the
environment.  The author concludes that neit her trade bodies nor adjudicatory bodies like the
International Court of Justice (ICJ) ought to resolve this issue.  An alternative mechanism for the
resolution of trade-environment conflicts is proposed, according to which international environmentaldisputes, including conflicts involving internatio nal trade issues, should be resolved in a non-
adjudicatory way.
/g167 Author:
Kohona, Palitha T.B.
Title:
Dispute Resolution under the World Trade Organization – An Overview
Publishing Information:
Journal of World Trade (1994), p.23
Abstract:
The author, who was a member of the Uruguay R ound team of the Australian delegation, describes
the negotiations and development of the WTO dispute settlement system.  Further, he focuses onissues, such as the limits on law-making through interpretation, restraints on the use of the dispute
settlement process, as well as the position of the developing countries and least-developed countries.
The article also explains the functioning of the dispute settlement system, starting from a description
of good offices and conciliation, through the panel and Appellate Body processes to further issues
such as compensation and retaliation.
/g167 Author:
Jackson, John H.
Title:
The Role and Effectiveness of the WTO Dispute Settlement Mechanism
Publishing Information:
Brookings Trade Forum (2000), p. 219, available at http://muse.jhu.edu/demo/btf/2000.1jackson.html
Abstract:
The article explains the structure of the WTO and its dispute settlements system.  In this context, it
also deals with the caseload of the system and the difficulties regarding implementation.  The second
part of the article continues to examine the role of  the system within a "WTO constitution".  Finally,
the author gives some reform proposals and prospects.
/g167 Author:
Jackson, John H.
Title:
Dispute Settlement and the WTO:  Emerging Problems
Publishing Information:
Journal of International Economic Law (1998), p. 329
Abstract:
Firstly, the author explains the developing jurisprudence of the WTO dispute settlement system and
then deals with the Appellate Body approach.  In this  context, the author addresses the issue ofdeference to national government regulatory decisions.  Further, the author expresses the dangers with
respect to relying too much on the WTO dispute settlement system.
/g167 Author:
Kuijper, Pieter-Jan
Title:
The New WTO Dispute Settlement System
Publishing Information:
Journal of World Trade, Vol. 28 No. 2 (April 1994), p. 50WT/CTE/W/197
Page 17
Abstract:
The article outlines the possible impact of the WTO dispute settlement system on the
European Community.  At the outset, the author explains the character of the dispute settlement
system and focuses on the compulsory and binding system, the deadlines, the possibilities to appeal
and the clear rules on implementation.  In addition, he elaborates on the issue of access to the system,as well as the issues of prevention of panels against the EC and the handling of "lost panels".  The
paper also describes the impact on intra-EC dispute settlement and, in this context, discusses the
problem of direct effects and exhaustion of local remedies.  Finally, the article deals with the relation
with member State legislation.
/g167 Author:
Marceau, Gabrielle
Title:
A Call for Coherence in International Law
Publishing Information:
Journal of World Trade (1999), p. 87
Abstract:
This article treats the complex issue of WTO trade disputes involving environmental policies.  Section
II of the article discusses environment-related disputes under the GATT system and examines the
interpretation and reach of Article XX of GATT.  The third Section addresses cases in which WTO
Members do not take any further negotiated action to address trade and environmental issues at the
WTO.   The article raises arguments for and against using principles of public international law tointerpret WTO rights and obligations.  The last section examines the different legal instruments that
could be negotiated by WTO Members with a view to reducing the potential for disputes involving
environmental policies.
/g167 Author:
Mavroidis, Petros C.
Title:
Remedies in the WTO Legal System:  Between a Rock and a Hard Place
Publishing Information:
European Journal of International Law (2000), p.763
Abstract:
The author examines the effectiveness of the WTO dispute settlement system.  By using
representative case law from the WTO, the paper concludes that the effectiveness of the WTO
remedies also depends on the relative persuasive powers of the WTO Member threatening the
countermeasures.
/g167 Author:
Palmeter, David & Mavroidis, Petros C.
Title :
The WTO Legal System:  Sources of Law
Publishing Information:
The American Journal of International Law (1998), p. 398
Abstract:
The article discusses the sources of law in the WTO.  The dispute settlement system under the WTO
is explained in brief and the reports of prior panels and the Appellate Body are discussed.
Furthermore, reference is made to other sources of international law.  The authors conclude that the
WTO legal system cannot be considered to be entirely self-contained, but constitutes an importantpart of the larger system of public international law.WT/CTE/W/197
Page 18
/g167 Author:
Petersmann, Ernst-Ulrich
Title:
From the Hobbesian International Law of Coexistence to Modern Integration Law:  The WTO
Dispute Settlement System
Publishing Information:
Journal of International Environmental Law (1998), p.175
Abstract:
The article seeks to address the WTO dispute settlement system in the broad context of international
law and to discuss some of the interrelationships  between international law, international economic
law and WTO law.
/g167 Author:
Rosas, Allan
Title:
Implementation and Enforcement of WTO Dispute Settlement Findings :  An EU Perspective
Publishing Information:
Journal of International Economic Law (2001), p. 131
Abstract:
The article discusses various alternatives for e nhancing implementation and enforcement, including
the possibility of strengthening the rights of private parties and shortening and re-designing the
deadlines for implementation and compliance panel procedures.  The article concludes that while inthe present global trade system the intergovernmental character of the WTO must be preserved, there
is room for some shortening of deadlines, for making the panel system more permanent and
professional, and for increasing the resources of the Appellate Body.
/g167 Author:
Trachtman, Joel P.
Title:
The Domain of WTO Dispute Resolution
Publishing Information:
Harvard International Law Journal (1999), p. 333
Abstract:
This article addresses the question of where in the WTO institutional structure power should be
exercised and suggests the reasons why dispute resolution would be the appropriate place to
determine the relationship between trade and the envi ronment.  It first analyzes the function of a
vocation of WTO dispute resolution and examines analytical techniques of law and economics in an
attempt to suggest the reasons for the assignment of competence to WTO dispute resolution.  Finally,
the author applies the proposed techniques to the conflict exemplified in the Shrimp/Turtle case andthe problem of non-violation in the Japan Film dispute.
/g167 Author:
Winter, Ryan L.
Title :
Reconciling the GATT and WTO with Multilateral  Environmental Agreements:  Can We Have Our
Cake and Eat It Too?
Publishing Information:
Colorado Journal of International Law and Policy (2000), p. 223
Abstract:
The article describes the nature of the trade and environment conflict.  It concentrates on issues such
as the effect of the GATT/WTO on environmental protection,  the construction of Article XX of the
GATT, the trade and environment conflict in the WTO, and the decisions in the Shrimp-Turtle case.
Finally, the article presents approaches to reconciliation and addresses reinterpretation of substantiveWT/CTE/W/197
Page 19
GATT provisions, exemptions for MEAs through waivers, amending the GATT, the development
criteria to guide adjudication, procedural changes under GATT/WTO.  The issues of a change of
forum and the development of a global environmental organization are also discussed.
C. PAPERS/SPEECHES
/g167 Author:
Davey, William J.
Title:
Issues of WTO Dispute Settlement
Publishing Information:
American Society of International Law, Proceedings of the 91st Annual Meeting (1997), p. 279
Abstract:
The author addresses several important issues of WTO dispute settlement, including the selection of
panelists, fact-finding, multiple Parties, interim stage reviews and transparency.  Further, he discusses
the drawbacks of merely ordering compliance for the future and the effectiveness of compensation
and suspension of concessions.  Finally, he raises the issue of internal remedies and addresses the
situation in which laws, decrees or EU regulations or directives have been declared incompatible withWTO law.
/g167 Author:
Hoekman, Bernard M., World Bank and CEPR & Mavroidis, Petros C.
Title:
WTO Dispute Settlement, Transparency and Surveillance
Publishing Information:
World Bank, November (1999), available at http://www.cid.harvard.edu/cidtrade/Issues/dispute.html
Abstract:
The authors of this paper argue that although there is a general sense of satisfaction with the WTO
dispute settlement system, there is a need to ameliorate the ability of developing countries to use the
mechanisms to enforce market access and to enhance incentives for compliance.  The paper deals with
developing country concerns regarding enforcement,  the strengthening of enforcement, the issue of
resources and the enhancement of transparency.
/g167 Author:
South Center
Title :
Issues Regarding the Review of the WTO Dispute Settlement Mechanism
Publishing Information:
Trade-Related Agenda, Development and Equ ity (T.R.A.D.E.) Wo rking Papers (1999)
Abstract:
The paper attempts to analyse problems that have been encountered by developing countries in
relation to the operation of the WTO Dispute Settlement Understanding (DSU).  The paper starts with
a review of the experience of developing countries under GATT 1947 in respect of dispute settlement,
and points out the differences and similarities between the past and present situation.  The text then
focuses on issues of process related to the operation of the current DSU.
__________