WT/AB/22  
 
16 April 2014  
(14-2380)  Page: 1/2  
   
 
 POST-EMPLOYMENT GUIDELINES 
COMMUNICATION FROM THE APPELLATE BODY 
 
 
The Appellate Body and its Secretariat are bound by various rules of conduct in their work. For 
example, Articles 17.10 and 18.2 of the Understa nding on Rules and Procedures Governing the 
Settlement of Disputes (DSU), together with para graphs II and VII:1 of the Rules of Conduct for 
the Understanding on Rules and Procedures Governing the Settlement of Disputes (Rules of Conduct) and WTO Staff Regulation 1.7 provide fo r the comprehensive protection of confidential 
information relating to appellate proceedings. In respect of certain obligations of conduct, in 
particular those relating to confidentiality, the Rules of Conduct and WTO Staff Regulations 
expressly provide that such obligations continue ev en after the individual concerned has ceased to 
serve as an Appellate Body Member or as part of the Appellate Body Secretariat.  
In order  to facilitate compliance with relevant obligations and  to set clear expectations for 
individuals involved in WTO dispute settlement following a term of service as an Appellate Body Member, or in the Appellate Body Secretariat, the Appellate Body has decided to adopt post-
employment guidelines in respect of former Appellate Body Members, former Appellate Body 
Secretariat staff, and former interns at the Appellate Body Secretariat.  
The guidelines articulate limitations on the abilit y of these individuals to serve as advisers or 
panelists in disputes in which they were involved while serving the Appellate Body, or disputes in 
which the same measures are challenged and the same claims are raised (the same "matter"), as 
well as limitations on the ability of such individual s to attend an oral hearing in an appeal for some 
period following their departure (a so-called "cooling-off" period). Apart from the limitation on 
advising or serving as a panelist in the same dispute or matter, which is prohibited indefinitely for 
all former Appellate Body Members, former Appellate Body Secretariat staff, and former interns at the Appellate Body Secretariat, the limitations are applied for different lengths of time to each of 
these classes of individuals, based on the degree of  their involvement in a given case. In addition, 
the guidelines call upon former Appellate Body Members not to accept any appointment as a panelist for a period of two years following their term of office. 
The guidelines seek to safeguard the independence of the Appellate Body and secure its reputation 
by guarding against actual and perceived conflicts of  interests and risks of bias. The guidelines also 
seek to minimize the likelihood that former Appe llate Body Members, Secretariat staff, and interns 
will be placed in circumstances where incentives or pressure could be brought to bear on them to 
divulge confidential information regarding their work with, or the inner workings of, the Appellate 
Body. At the same time, the guidelines aim to strike a balance between promoting these institutional considerations and safeguarding the independence of the Appellate Body, on the one 
hand, and avoiding undue or unreasonable restrictio ns on the future employment of the individuals 
concerned, on the other hand. 
The Appellate Body requests the cooperation of WTO Members in facilitating compliance with these 
guidelines. WT/AB/22 
 
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__________  
 POST-EMPLOYMENT GUIDELINES IN RESPECT OF FORMER APPELLATE BODY MEMBERS,  
FORMER APPELLATE BODY SECRETARIAT STAFF, AND FORMER INTERNS AT  
THE APPELLATE BODY SECRETARIAT 
The Appellate Body expects the individuals concer ned to abide by, and requests WTO Members to 
assist in the respect of, the guidelines below.  
 1. A former Appellate Body  Member shall not: 
a. be involved as an adviser or panelist in any dispute or matter the same as one that was 
before the Appellate Body during his or her te rm of office as an Appellate Body Member. 
A former Appellate Body Member may, however, accept appointment as an arbitrator in 
an arbitration under Article 21.3(c) of the DSU in respect of any dispute;  
b. for a period of three years following the end of  his or her term of office, attend the oral 
hearing in any appeal before the Appellate Body as a member of a delegation of a 
participant or third participant; 
c. for a period of two years following the end of his or her term of office, accept 
appointment as a panelist in any WTO dispute. 
2. A former member of sta ff of the Appellate Body Secretariat shall not: 
a. be involved as an adviser or panelist in any dispute or matter the same as one in which 
he or she had a significant degree of involvement as part of his or her responsibilities at the Appellate Body Secretariat;  
b. for a period of one year following the cessation of his or her service, attend the oral 
hearing in any appeal before the Appellate Body as a member of a delegation of a 
participant or third participant. 
3. A former intern in the Appellate  Body Secretariat shall not: 
a. be involved as an adviser or panelist in  any dispute or matter when, during the 
internship period, he or she carried out substantive tasks or attended meetings in connection with an appeal in the same dispute or matter as part of his or her responsibilities at the Appellate Body Secretariat;  
b. for a period of one year following the completion of his or her internship, attend the oral 
hearing in any appeal before the Appellate Body as a member of a delegation of a participant or third participant unless he or she has obtained prior written authorization from the Director of the Appellate Body Secr etariat. Such authorization will be granted 
unless the specific circumstances of the appeal are such that the Director of the 
Appellate Body Secretariat reasonably considers that the former intern's attendance at the oral hearing is likely to give rise to an actual or perceived conflict of interest or risk 
of bias. 
4. A short-term staff member who was employed by the Appellate Body Secretariat for a total 
period of less than two years shall abide by the guidelines applicable to interns. A short-term 
staff member who was employed by the Appellate Body Secretariat for a total period of two 
years or more shall abide by the guidelines applicable to Appellate Body Secretariat staff. 
5. For purposes of these guidelines, a "dispute" includes original proceedings, as well as any 
proceedings under Articles 21.3(c), 21.5, 22.6, and 25 of the DSU. 
6. For purposes of these guidelines, a "matter" consists of two elements: a specific legal basis 
of the complaint (claim) and a specific measure at issue. (See Appellate Body Report, Guatemala – Anti-Dumping Investigation Regarding Portland Cement from Mexico , para. 72) 
Thus, the same claim brought against the same measure of a Member would constitute the 
same "matter", even if the claim were brought by a WTO Member other than the original complaining party.