WORLD TRADE  
ORGANIZATION  WT/AB/WP/W/10 
12 January 2010 
 (10-0104) 
 Original:   English 
 
 
PROPOSED AMENDMENTS TO THE 
WORKING PROCEDURES FOR APPELLATE REVIEW  
 
Communication from the Appellate Body  
  
 The following communication, dated 16 December  2009, from the Chairman of the Appellate 
Body, addressed to the Chairman of the Dispute Se ttlement Body, is circulated in accordance with 
Article 17.9 of the Understanding on Rules and Procedures Governing the Settlement of Disputes . 
 
_______________ 
 
  I write, on behalf of the Appellate Body and pur suant to Article 17.9 of the DSU, to seek your 
views and your assistance in obtaining the views of WTO Members regarding certain amendments that we are proposing to the Working Procedures for Appellate Review (the " Working Procedures ").   
 
 The Appellate Body considers that the Working Procedures , adopted prior to the lodging of 
the first appeal in 1996 and last revised in 2004,  have operated smoothly and effectively.  
Nevertheless, our experience has revealed some areas where these provisions might be improved .  
Accordingly, we believe that the time is ripe  to consider, again, certain revisions to the Working 
Procedures .   
 
 In Annex A to this letter, we set out an expl anation of particular issues that we consider 
should be addressed, as well as how we propose to d eal with each issue through amendment of the 
existing rules.  We also attach, as Annex B to this letter, the text of the current Working Procedures  
with the amendments we are propos ing shown as tracked changes.   
 
 We propose the following three amendments to the Working Procedures :   
 
• First, we suggest that an appellant's writte n submission be filed when an appeal is 
commenced, namely, on the same day as the filing of a Notice of Appeal, and that all other deadlines for written submissions, the Notice of Other Appeal and third-party notifications be advanced accordingly.   
• Secondly, we propose to explicitly authorize, subject to certain conditions, the 
electronic filing and service of documents.   
• Thirdly, we propose to introduce a procedur e for consolidating appellate proceedings 
where two or more disputes share a high degree of commonality and are closely related in time.   
  Article 17.9 of the DSU provides for the Appellate  Body to draw up its working procedures in 
consultation with the Chairman of the DSB and the Director-General, and Rule 32(2) of the Working 
Procedures  specifies that the same procedures apply in the event of amendments to those working WT/AB/WP/W/10 
Page 2  
 
  procedures.  The DSB has also adopted procedures for consultations between the Chairperson of the 
DSB and WTO Members with respect to amendments to the Working Procedures .
1   
  We welcome your views on these proposed amendments.  We would also appreciate your assistance in obtaining the views of WTO Members,  who have considerable experience with the 
operation of the Working Procedures .  We are also informing the Director-General that we are 
considering amending the Working Procedures  and are providing him with a copy of the amendments 
we are proposing.  We intend to consult with hi m, and with you, in the light of any comments 
received from WTO Members.  
                                                     
 
1WT/DSB/31.  The text of this decision, along with that of Article 17.9 of the DSU and Rule 32(2) of 
the Working Procedures , is set out in full in Annex A to this letter.  WT/AB/WP/W/10 
 Page 3 
 
 
  ANNEX A 
General Background 
 We wish briefly to recall the legal frame work within which any amendments to the Working 
Procedures would eventually be made.  Article 17.9 of the Understanding on Rules and Procedures 
Governing the Settlement of Disputes  (the "DSU") provides: 
 
Working procedures shall be drawn up by the Appellate Body in 
consultation with the Chairman of the DSB and the Director-General, 
and communicated to the Members for their information.  
Rule 32(2) of the Working Procedures  provides: 
The Appellate Body may amend these Rules in compliance with the 
procedures set forth in paragraph 9 of Article 17 of the DSU. 
 Furthermore, in December 2002, the DSB a dopted the following additional procedures for 
consultations between WTO Members and the Chairper son of the DSB with respect to amendments to 
the Working Procedures2:  
 
1. The Chairperson of the Dispute Se ttlement Body (DSB) shall inform WTO 
Members at the earliest opportunity when the Appellate Body requests 
consultations, pursuant to Article 17. 9 of the Understanding on Rules and 
Procedures Governing the Settlement of Disputes, regarding proposed amendments to the Working Procedures for Appellate Review.  
2. The Chairperson of the DSB shall in form the Appellate Body that he will 
seek the views of Members on the proposed amendments and that he will convey any such views to the Appellate Body.  
3. The Chairperson of the DSB shall pr ovide Members with an opportunity to 
comment on the proposed amendments, including in writing.  The 
Chairperson shall place an item on the agenda of an appropriate DSB meeting 
in which Members can discuss in that  context the proposed amendments. 
4. The Chairperson of the DSB shall prom ptly convey to the Appellate Body the 
views expressed by Members on the proposed amendments and request the Appellate Body to take them into account. 
 
 We explain below three propo sals for amendments to the Working Procedures  in order to 
provide for:  (i) the filing of the appellant's su bmission on the same day as the Notice of Appeal, and 
consequential changes to the dead lines for the filing of the Notice of Other Appeal, all other written 
submissions and third-party notifications;  (ii) author ization, subject to certain  conditions, to file and 
to serve documents electronically;  and (iii) a pro cedure for consolidating appellate proceedings where 
two or more disputes share a high degree of comm onality and are closely related in time.   
                                                     
 
2WT/DSB/31. WT/AB/WP/W/10 
Page 4  
 
  THE TIMELINE FOR WRITTEN SUBMISSIONS 
B
ACKGROUND  
Rule 20(1) of the Working Procedures  provides that an appeal shall be commenced by 
notification in writing to the DSB and simultaneous filing of a Notice of Appeal with the Appellate Body Secretariat.  Rule 20(2)(d) specifies that a Notice of Appeal shall include a  brief statement of 
the nature of the appeal, including identification of th e alleged errors by the panel, a list of the legal 
provisions of the covered agreemen ts, and an indicative list of the paragraphs of the panel report 
containing the alleged errors. 
Rule 21(1) of the Working Procedures  provides that, within 7 days after the date of the filing 
of the Notice of Appeal, the appellant shall file with the Secretariat a written submission and serve a 
copy of the submission on the other parties to the dispute and third parties.  According to 
Rule 21(2)(b), a written submission shall 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 interpreta tions developed by the panel, 
and the legal arguments in support thereof; 
(ii) a precise statement of the provisions of the covered agreements 
and other legal sources relied on;  and 
(iii) the nature of the decision or ruling sought. 
R
EASONS FOR CHANGE  
 In contrast to the Notice of Appeal, which includes only a brief statement  of the nature of the 
appeal, an appellant's written submission elaborat es on each error allegedly committed by the panel.  
In practice, an appellant's written submission typically  provides in-depth analysis of the issues of law 
and legal interpretations concerne d by the allegations, sets out deta iled arguments in support of the 
appellant's position, and spells out the recommend ations and rulings requested.  The appellant's 
submission not only provides an important basis for the preparation by the other parties and third 
parties of their detailed responses, but also enhanc es the ability of the Appellate Body Members to 
analyze the issues raised on appeal and to engage  fully in substantive discussions and internal 
deliberations.   According to the current Rules 20 and 21 of the Working Procedures , however, an appellant's 
written submission is not filed until 7 days after the commencement of an appeal.  This means that the 
Appellate Body Members, as well as the other parties and the third parties to the dispute, must wait 
for a week before knowing the appellant's detailed  arguments in support of its allegations.  Given 
the 90-day limit for appellate proceedings stipul ated under Article 17.5 of DSU, such a "waiting 
period" during an appeal does not appear to be  the most efficient allocation of the limited time 
available.  The 7-day "waiting period" seems particular ly inefficient in the light of the fact that the 
Appellate Body currently has only around 10 days after it receives all written submissions to prepare 
for the oral hearing, which typically takes place 35 to  45 days after the appeal has been filed.  In 
certain exceptionally large and complex appeals over the past three years, these problems have been 
further amplified by the increased length of appellants' submissions.
3   
                                                      
3Between 2006 and the beginning of 2009, the average length of an appellant's submission has 
increased from 90 pages to over 120 pages.  Appe llants' submissions are typically the longest written 
submissions in an appeal.  WT/AB/WP/W/10 
 Page 5 
 
 
  PROPOSED AMENDMENTS  
 We, therefore, propose that an appellant's written submission be filed when an appeal is 
commenced, that is, on the same day as the filing of a Notice of Appeal.  The proposed change is 
intended to allow the Appellate Body and the othe r WTO Members participating in the appeal to 
focus on the substance of the specific points of law appealed as soon as possible, thus contributing to 
a more efficient use of time during the 90-day appeal period.   
  We emphasize that, in making this proposal, we  neither intend to, nor believe that we will, 
increase the burden placed upon appellants in the prep aration of their submissions.  We note that, 
before filing a Notice of Appeal, a party will alrea dy have had many weeks to read and analyze the 
final panel report and commence its preparations for the appeal.  More specifically, the final version 
of a panel report is sent to the parties before its circulation to all WTO Members, pending translation 
of the report into the official languages of the WTO—a process that normally takes several weeks.
4  A 
panel report may not be considered for adoption until 20 days after it has been circulated, as stipulated 
in Article 16.1 of the DSU.  In addition, parties ty pically wait until the latter part of the 60-day period 
in which to appeal a panel report before placing the adoption of the report on the agenda of a DSB 
meeting or filing a Notice of Appeal.5  Thus, a party will have had weeks, if not months, to decide 
whether to appeal a panel report and to prepare its  appellant's submission.  This is confirmed by 
empirical research, which shows that, as of November 2009, the average length of time between distribution of a panel report to the parties and the filing of the Notice of Appeal is 92.8 days.
6  
 
 In making this proposal, we do not intend to e liminate the Notice of Appeal.  On the contrary, 
the Notice of Appeal remains necessary because it tri ggers an appeal and, together with a Notice of 
Other Appeal, serves the important function of demar cating the scope of appellate review in a specific 
dispute.  In addition, the Notice of Appeal in a given dispute is the only public document notifying 
WTO Members of the commencement of an appeal  and informing the Members of its nature.  
Therefore, the proposed change would not affect the requirement, set out in Rule 20 of the Working 
Procedures , to notify the DSB of an appeal and to file  a Notice of Appeal with the Appellate Body 
Secretariat.     As a consequence of the proposed amendment, the subsequent deadlines for the filing of the 
Notice of Other Appeal, the other appellant's subm ission, and the appellees' submissions would also 
be adjusted, as set out in the text of proposed amendm ents attached in Annex B.  In the interest of 
fairness and equity, we also propose that, just as the deadlines for the Notice of Appeal and appellant's 
submission would fall on the same day, the deadlin es for filing the Notice of Other Appeal and the 
other appellant's submission would also fall on the same date.  Both documen ts would thus be due 
five days after the Notice of Appeal and the appellant's submission are filed.
7  Appellee(s)' 
submissions would be due 15 days after the fili ng of the Notice of Appeal and the appellant's 
                                                      
4The average length of time between the issuance of the final panel report to the parties and the 
circulation of that report to all WTO Members is approx imately 51 days as of November 2009.  Moreover, even 
before receiving the final report, parties are also sent an interim panel report containing the panel's reasoning 
and findings and conclusions.  The average length of time between the issuance of the interim and final panel 
reports to the parties is approximately 44 days as of November 2009. (Data retrieved from WTO dispute settlement database at: http://ada-mssql-db2 /dsweb2/ Home.aspx)  These figures only concern original 
proceedings. 
5The average length of time between circulation of a panel report to all Members and filing of the 
Notice of Appeal is approximately 43 days as of Nove mber 2009. (Data retrieved from WTO dispute settlement 
database at: http://ada-mssql-db2/dsweb2 /Home.aspx)  This figure only concerns original proceedings. 
6Data retrieved from WTO dispute settlement data base at: http://ada-mssql-db2/dsweb2/Home.aspx.  
Moreover, on average, there has been a period of approximately 139 days between issuance of an interim report 
and notification of the appeal as of November 2009.  This figure only concerns original proceedings. 
7Currently, the Notice of Other Appeal has to be filed five days after the appellant's submission is filed. WT/AB/WP/W/10 
Page 6  
 
  submission.  This would redress somewhat the im balance resulting from the fact that—currently—an 
appellee's submission is due 18 days after the filin g of the appellant's submission, whereas an other 
appellee's submission is due 10 days after the filing of the other appellant's submission.  Finally, in 
order to afford third participants an opportunity to respond to the arguments made by the appellee(s), 
the proposed amendments envisage that third particip ants' submissions and notifications would be due 
on a day separate from, and three days after, the filing date for appellee(s)' submissions.  Currently, 
the fact that third participants' submissions are due  on the same day as appellee(s)' submissions means 
that third participants are in practice unable to respond in their written submissions to the appellees' 
submissions.  Overall, the proposal seeks to afford participants, third participants and the Appellate 
Body more time to consider, reflect upon, and react to the detailed arguments and analysis contained 
in written submissions by eliminating the seven-day period between the filing of the Notice of Appeal 
and the appellant's submission, and the three-day period between the filing of the Notice of Other 
Appeal and the other appellant's submission.  A tracked-changes version of the Timetable for 
Appeals, showing all proposed modifi cations to filing dates, is included at page 26 of this document.   
 ELECTRONIC FILING AND SERVICE OF DOCUMENTS 
B
ACKGROUND  
 Rule 18(1) of the Working Procedures  provides that "[n]o document is considered filed with 
the Appellate Body unless the document is received by the Secretariat within the time-period set out 
for filing in accordance with these Rules."  In add ition, pursuant to Rules 18(2) and 18(4) of the 
Working Procedures , each document filed with the Appellate  Body must be served on each of the 
other parties, third parties, participants, and third participants8 to the dispute "by the most expeditious 
means of delivery or communication available", in cluding by delivering a copy to the relevant 
missions, sending a copy via facsimile transmission, or sending a copy by expedited mail or courier service.  Thus, the Working Procedures  contemplate that documents will be submitted to the 
Appellate Body, and served to the other parties/par ticipants and third parti es/third participants, in 
paper form.  However, the evoluti on of technology, and the practice of  Members have, to some extent, 
moderated the emphasis on paper c opies contained in the current Working Procedures .  
 R
EASONS FOR CHANGE  
 In recent years, a practice has developed whereb y the participants and third participants send 
an electronic version of their documents to the e- mail address of the Appellate Body Registry on the 
day the documents are due, followed by delivery of th e paper copies to the A ppellate Body Secretariat 
on the same day.  Other parties/participants and thir d parties/third participants are copied on the e-
mail sent to the Appellate Body Registry and are ser ved the paper copies on the same day.  Given that 
the practice has operated smoothly and the use of  e-mail has become increasingly commonplace, we 
consider it appropriate, and practi cal, to explicitly allow electronic filing of documents in appellate 
proceedings.  Under the proposed amendment, documen ts and notifications sent by e-mail within the 
prescribed time-limits would, subject to certain c onditions, be considered duly filed.  We anticipate 
that authorizing the submission of documents el ectronically would assist participants and third 
participants in the filing process and better accord  with their actual working practices.  Moreover, 
allowing electronic filing accords with trends in do mestic and international tribunals, many of which 
have successfully implemented filing systems under which submissions of documents by electronic 
means are authorized or required.  
 
                                                      
8Pursuant to the Working Procedures , a "participant" means any party to the dispute that has filed a 
Notice of Appeal, a Notice of Other Appeal, or an appellee's submission, and "third participant" means any third 
party that has filed a written submission or that appears at the oral hearing.  WT/AB/WP/W/10 
 Page 7 
 
 
  In proposing to expressly authorize a sp ecific type of electronic filing in the Working 
Procedures  we do not, at this time, intend to eliminate th e need to file paper copies with the Appellate 
Body Secretariat.  Rather, we anticipate that documents sent by e-mail will be followed by paper 
copies thereof, so that the Appellate Body Me mbers and Secretariat will have hard copies of 
submissions.  In addition,  Members who do not wish to file documents through electronic means 
could elect to file paper copies within the prescrib ed time limits, as currently contemplated pursuant 
to Rule 18(1) of the Working Procedures .  Finally, Rules 18(2) and 18( 4) will be amended to allow 
documents to be served by e-mail on other parties, pa rticipants, third parties and third participants.  
However, Rule 18(5) on requests by a participant or  third participant for authorization to correct 
clerical errors in any of its documents, and Rule 29 on Failure to Appear would remain unchanged. 
PROPOSED AMENDMENTS  
We, therefore, propose a new Rule 18(1) bis in the Working Procedures , which reads: 
Documents may be submitted to the Appe llate Body through electronic mail to 
the Appellate Body Registry's email address.  Where a party chooses to submit a document through electronic mail, the document shall be sent by 5 p.m. on the 
day it is due in accordance with paragraph (1).  The Appellate Body Secretariat 
will confirm, by electronic email, the receipt of the document.  A document  sent by electronic mail is not considered  duly filed unless paper copies of the 
document are delivered to the Appellate Body no later than 11 a.m. the following day, accompanied by a signed certification stating that the paper copies are identical to the electronic copy .  In case of any discrepancy between 
the electronic copy and the paper copies, only the electronic copy will be taken 
into account by the Appellate Body. 
We further propose that Rules 18(2) and 18(4) be revised to expressly authorize electronic 
service of documents on a party to the dispute, a par ticipant, a third party or a third participant.  A 
tracked-changes version of Rules 18(2) and 18(4), s howing all proposed modifications, is included at 
page 19 of this document.   
CONSOLIDATION OF APPELLATE PROCEEDINGS 
B
ACKGROUND  
Pursuant to Rule 16(1) of the Working Procedures , the Appellate Body may "adopt an 
appropriate procedure for the purposes of [a given] appeal only, provided that  it is not inconsistent 
with the DSU, the other covered agreements and [the Working Procedures "].  In accordance with this 
Rule, where it has deemed this to be appropriate, the Appellate Body has consolidated appeals of 
separate panel reports into single appellate pr oceedings by establishing a single division and 
conducting a single oral hearing.9  Where appellate proceedings we re consolidated, the Appellate 
                                                      
9Such consolidation refers to cases in which merg ed appellate proceedings were conducted regarding 
separate disputes that were not consolidated before a single panel, including cases in which the timetables for 
separate panel proceedings were harmonized pursuant to Article 9.3 of the DSU.  It thus differs from cases in 
which the same appellate proceedings we re conducted with respect to separa te panel reports issued by a single 
panel established pursuant to Articles 9.1 and 9.2 of the DSU, namely, European Communities – Regime for the 
Importation, Sale and Distribution of Bananas  (DS27), European  Communities – Customs Classification of 
Frozen Boneless Chicken Cuts  (DS269, DS286), European Communities – Export Subsidies on Sugar  (DS265, 
DS266, DS283), United States – Definitive Safeguard Measur es on Imports of Certain Steel Products  (DS248, 
DS249, DS251, DS252, DS253, DS254, DS258, DS259/AB/R), and China – Measures Affecting Imports of 
Automobile Parts  (DS339, DS340, DS342).   WT/AB/WP/W/10 
Page 8  
 
  Body usually issued a single Appellate Body report.
10  In certain disputes, the Appellate Body issued 
separate reports in the form of a single document11, or issued separate reports at the request of a 
party.12 
Consolidation of appellate proceedings has o ccurred where separate disputes were reviewed 
by separate panels composed of the same individua ls, even though the panels' timetables were not 
always harmonized in the separate disputes.13  In such cases, the Appellate Body decided to 
consolidate appellate proceedings where the measur es, the claims and arguments, and the panels' 
reasoning and conclusions were largely similar, and the timing of the circulation of the panel reports 
so permitted.  For example, in United States – Anti-Dumping Act of 1916 , the Appellate Body 
explained that "[i]n view of the close similarity of the issues raised in the two appeals, it was decided, 
after consultation with the parties, that a single di vision would hear and decide both appeals" filed by 
the United States.14  More recently, in EC – Bananas III (Article 21.5 – Ecuador II) / EC – 
Bananas III (Article 21.5 – US) , after consultations with the parti es, the Appellate Body decided to 
consolidate the appellate proceedings in respect of  the European Communities' appeals of the Ecuador 
and US Panel Reports "due to the substantia l overlap in the content of the disputes".15   
In consolidated appellate proceedings, the A ppellate Body has ensured that the distinct 
aspects of the disputes were properly dealt with, and due process respected throughout the appellate 
proceedings.  Thus, third participants have been re quested to address only the issues that arose in the 
dispute in which they were third parties before th e panel.  Moreover, where a single Appellate Body 
report was issued, the distinct aspects of the disput es were duly reflected in the report by, for example,
                                                      
10See United States – Measures Relating to Shrimp from Thailand  (DS343) / United States – Customs 
Bond Directive for Merchandise Subject to Anti-Dumping/Countervailing Duties  (DS345), and United States – 
Anti-Dumping Act of 1916  (DS136, DS162). 
11See European Communities – Regime for the Importation, Sale and Distribution of Bananas 
(DS27)  – Second Recourse to Article 21.5 of the DSU by Ecuador  and European Communities – Regime for the 
Importation, Sale and Distribution of Bananas  (DS27) – Recourse to Article 21.5 of the DSU by the United 
States . 
12See United States – Continued Suspension of Obligations in the EC – Hormones Dispute  (DS320) 
and Canada – Continued Suspension of Obligations in the EC – Hormones Dispute  (DS321). 
13The panels' timetables were harmonized in the disputes in United States – Measures Relating to 
Shrimp from Thailand  (DS343) and United States – Customs Bond Directive for Merchandise Subject to Anti-
Dumping/Countervailing Duties  (DS345), and in United States – Continued Suspension of Obligations in the 
EC – Hormones Dispute  (DS320) and Canada – Continued Suspension of Obligations in the EC – Hormones 
Dispute  (DS321).  In European Communities – Regime for the Importation, Sale and Distribution of Bananas  
(DS27) – Second Recourse to Article 21.5 of the DSU by Ecuador ;  European Communities – Regime for the 
Importation, Sale and Distribution of Bananas  (DS27) – Recourse to Article 21.5 of the DSU by the United States ;  
EC Measures Concerning Meat and Meat Products (Hormones)  (DS26, DS48);  and United States – Anti-
Dumping Act of 1916  (DS136, DS162), the panels in each case did not share the same timetables.   
14Appellate Body Report, United States – Anti-Dumping Act of 1916 , WT/DS136/AB/R, 
WT/DS162/AB/R, adopted 26 September 2000, DSR 2000:X, 4793, para. 7. 
15Appellate Body Reports, European Communities – Regime for the Importation, Sale and Distribution 
of Bananas – Second Recourse to Article 21.5 of the DSU by Ecuador , WT/DS27/AB/RW2/ECU, adopted 
11 December 2008, and Corr.1, and European Communities – Regime for the Importation, Sale and Distribution 
of Bananas – Recourse to Article 21.5 of the DSU by the United States , WT/DS27/AB/RW/USA and Corr.1, 
adopted 22 December 2008, para. 23.  WT/AB/WP/W/10 
 Page 9 
 
 
  setting out findings and conclu sions specific to each panel report subject to appeal16;  in other cases, 
upon request of a participant, separate reports we re issued in a single document or in multiple 
documents.17   
REASONS FOR CHANGE  
Where two or more disputes share a high degr ee of commonality, consolidation of appellate 
proceedings has proven to be a pragmatic way of c onducting appeals, as it maximizes the efficient use 
of resources available to the parties, third parties and the Appellate Body, a nd fosters consistency in 
decision-making.  To date, decisions to consolidat e appellate proceedings have been made on an ad 
hoc basis in consultation with the parties.  In th e light of the frequent resort to consolidated 
proceedings in our recent experience18, we consider it appropriate to codify this practice by adding a 
rule on consolidation to the Working Procedures .  Such a rule would streamline the procedures where 
consolidation of appellate proceedings is anticip ated, and would provide guidance to WTO Members 
in future disputes, thereby ensuring predic tability of the dispute settlement system. 
PROPOSED AMENDMENTS  
We, therefore, propose a new Rule 16(1) bis of the Working Procedures , as follows: 
When more than one panel report is circ ulated and/or appealed at or around the 
same time and there is substantial overl ap in the content of those reports, the 
Appellate Body may, upon request by a party or on its own initiative, and after 
consultations with the parties, decide to consolidate the appellate proceedings 
before a single division.  The Appellate Body may take such a decision if it considers that a substantial overlap in th e content of the appeals is likely, and 
provided that consolidation of the appellate proceedings can be done 
consistently with due process and with th e requirements of the DSU.  Unless the 
participants agree otherwise, third participants will address only the issues 
arising in the dispute(s) to which they were third parties in the panel 
                                                     
 
16See, for example, Appellate Body Report, United States – Measures Relating to Shrimp from 
Thailand  / United States – Customs Bond Directive for Merchandise Subject to Anti-Dumping/Countervailing 
Duties , WT/DS343/AB/R, WT/DS345/AB/R, adopted 1 August 2008, paras. 320 and 323. 
17See Appellate Body Reports, European Communities – Regime for the Importation, Sale and 
Distribution of Bananas – Recourse to Article 21.5 of the DSU by the United States , WT/DS27/AB/RW/USA and 
Corr.1, and European Communities – Regime for the Importation, Sale and Distribution of Bananas – Second 
Recourse to Article 21.5 of the DSU by Ecuador , WT/DS27/AB/RW2/ECU and Corr.1, and Appellate Body 
Reports, United States – Continued Suspension of Obligations in the EC – Hormones Dispute , 
WT/DS320/AB/R, and Canada – Continued Suspension of Obligations in the EC – Hormones Dispute , 
WT/DS321/AB/R. 
18In 2008, for example, the Appe llate Body conducted three conso lidated proceedings in appeals 
concerning six separate panel reports. WT/AB/WP/W/10 
Page 10  
 
  proceedings.  The single division will orga nize its examination of the appeals in 
such a manner that the time-limit described in Article 17.5 of the DSU is respected for each dispute.  Upon completion of the consolidated appellate proceedings, the Appellate Body will issu e a single report, unless, following a 
request of a participant, it considers that  there are good reasons to issue separate 
reports.  Separate reports may be issued  in a single document, or in multiple 
documents.    WT/AB/WP/W/10 
 Page 11 
 
 
  
ANNEX B 
 WORLD TRADE  
ORGANIZATION  WT/AB/WP/5  6 * 
4 January 2005  
[12 January 2010]  
 (00-0000) 
Appellate Body  
   
 
    
 
  
WORKING PROCEDURES 
 
FOR 
 
APPELLATE REVIEW 
 
 
 
    
 
  This document replaces the Working Procedures for Appellate Review  circulated 1 May 2003
 
4 January 2005 .  It is a consolidated, revised version, a nd reflects amendments to Rules 1, 18(5), 20, 
21, 23, 27 and Annex I   18, 21, 22, 23, 24 and 27 and Annexes I and III , as well as the addition of a 
new Rule 23 bis  and a new Annex III  new Rules 16(1) bis and 18(1) bis, as discussed in 
[WT/AB/WP/W/8  10] and WT/AB/WP/W/9 .  The Working Procedures for Appellate 
Review  consolidated in this document will be app lied to appeals initiated after 1 January 2005  [2010 ]. 
 
 
*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  6, dated 19 December 2002  9 April 2003 .  For technical reasons (explained in 
WT/AB/WP/W/9), that Communication has been re-issued as document WT/AB/WP/W/6  7. 
 WT/AB/WP/W/10 
Page 12  
 
 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 selecte d to serve on any one appeal in accordance 
with paragraph 1 of Article 17 of th e DSU and paragraph 2 of Rule 6; 
 "documents"  
  means the Notice of Appeal, 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 Procedures Governing the Settlement of 
Disputes  which is Annex 2 to the  WTO Agreement ; 
 "Member" 
  means a Member of the Appellate Body  who has been appointed by the DSB in 
accordance with Article 17 of the DSU; 
 "other appellant"    means any party 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 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 complaining or defending party in the panel 
dispute, but does not include a third party; 
  WT/AB/WP/W/10 
 Page 13 
 
 
  
"proof of service"   means a letter or other written acknowledge ment that a document has been delivered,  
as required, to the parties to the dispute, par ticipants, third parties or third participants, 
as the case may be; 
 
"Rules"   means these Working Procedures for Appellate Review;  
 "Rules of Conduct " 
  means the Rules of Conduct for the Understanding on Rules and Procedures 
Governing the Settlement of Disputes  as attached in Annex II to these Rules; 
 "SCM Agreement " 
  means the Agreement on Subsidies and Countervailing Measures  which is in 
Annex 1A to the WTO Agreement;  
 "Secretariat"   means the Appellate Body Secretariat;  "service address" 
  means the address of the party to the dispute, participant, third party or third 
participant as generally used in WTO di spute settlement proceedings, unless the party 
to the dispute, participant, third party or third participant has clearly indicated another 
address; 
 
"third participant" 
  means any third party that has 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; 
 "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/10 
Page 14  
 
 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- governmental organization or any private 
source. 
  (4) A Member shall be available at all tim es and on short notice and, to this end, shall 
keep the Secretariat informed of his/her whereabouts at all times. 
  
Decision-Making 
 
3. (1) In accordance with paragraph 1 of Arti cle 17 of the DSU, decisions relating to an 
appeal shall be taken solely by the divisi on assigned to that appeal.  Other decisions 
shall be taken by the Appellate Body as a whole. 
 
(2) The Appellate Body and its divisions shall make every effort to take their decisions 
by consensus.  Where, nevertheless, a deci sion cannot be arrived at by consensus, the 
matter at issue shall be decided by a majority vote. 
  
Collegiality 
 
4. (1) To ensure consistency and coheren ce in decision-making, and to draw on the 
individual and collective expertise of the Members, the Members shall convene on a 
regular basis to discuss matters of policy, practice and procedure. 
 
(2) The Members shall stay abreast of dis pute settlement activities and other relevant 
activities of the WTO and, in particular, each Member shall receive all documents filed in an appeal.  
 
(3) In accordance with the obj ectives set out in paragraph 1, the division responsible for 
deciding each appeal shall exchange view s with the other Members before the 
division finalizes the appellate report for circulation to the WTO Members.  This paragraph is subject to paragr aphs 2 and 3 of Rule 11.  
 (4) Nothing in these Rules shall be interp reted as interfering with a division's full 
authority and freedom to hear and decide an  appeal assigned to it in accordance with 
paragraph 1 of Article 17 of the DSU. 
  WT/AB/WP/W/10 
 Page 15 
 
 
 Chairman 
 
5. (1) There shall be a Chairman of the A ppellate Body who shall be elected by the 
Members. 
 
(2) The term of office of the Chairman of the Appellate Body shall be one year.  The 
Appellate Body Members may decide to exte nd the term of office for an additional 
period of up to one year.  However, in orde r to ensure rotation of the Chairmanship, 
no Member shall serve as Chairman for more than two consecutive terms. 
 
(3) The Chairman shall be responsible for the overall direction of the Appellate Body 
business, and in particular, his/her responsibilities shall include: 
 
(a) the supervision of the internal f unctioning of the Appellate Body;  and 
(b) any such other duties as the Member s may agree to entrust to him/her. 
 
(4) Where the office of the Chairman become s 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.  
  
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:  WT/AB/WP/W/10 
Page 16  
 
 (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 be comes incapable of performing his/her duties, 
the other Members serving on that division and the Member selected as a replacement 
pursuant to Rule 13 shall elect one of their number to act as the Presiding Member. 
  
Rules of Conduct 
 
8. (1) On a provisional basis, the Appellate Body adopts those provisions of the Rules of 
Conduct  for the Understanding on Rules and Procedures Governing the Settlement of 
Disputes , attached in Annex II to these Rules,  which are applicable to it, until Rules 
of Conduct  are approved by the DSB.  
 
(2) Upon approval of  Rules of Conduct  by the DSB, such Rules of Conduct  shall be 
directly incorporated and become part of  these Rules and shall supersede Annex II. 
 
9. (1) Upon the filing of a Notice of Appeal, each Member shall take the steps set out in 
Article VI:4(b)(i) of Annex II, and a Memb er may consult with the other Members 
prior to completing the disclosure form. 
 
(2) Upon the filing of a Notice of Appeal, the professional staff of the Secretariat 
assigned to that appeal shall take the steps set out in Article VI:4(b)(ii) of Annex II. 
 
(3) Where information has been submitted pur suant to Article VI:4(b)(i) or (ii) of 
Annex II, the Appellate Body shall consid er whether further action is necessary. 
 (4) As a result of the Appellate Body's consideration of the matter pursuant to 
paragraph 3, the Member or the professional staff member concerned may continue to 
be assigned to the division or may be excused from the division. 
 
10. (1) Where evidence of a material viola tion is filed by a participant pursuant to 
Article VIII of Annex II, such evidence sh all be confidential and shall be supported 
by affidavits made by persons having ac tual knowledge or a reasonable belief as to 
the truth of the facts stated. 
 
(2) Any evidence filed pursuant to Article VIII: 1 of Annex II shall be filed at the earliest 
practicable time:  that is, forthwith afte r the participant submitting it knew or 
reasonably could have known of the fact s supporting it.  In no case shall such 
evidence be filed after the appellate report  is circulated to the WTO Members.  
 
(3) Where a participant fails to submit such evidence at the earliest practicable time, it 
shall file an explanation in writing of the reasons why it did not do so earlier, and the 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. 
  WT/AB/WP/W/10 
 Page 17 
 
 
 (5) As a result of the procedure referred to in Article VIII:14-16 of Annex II, the 
Appellate Body may decide to dismiss th e allegation, to excuse the Member or 
professional staff member concerned from being assigned to the division or make such other order as it deems necessary in accordance with Article VIII of Annex II. 
 
11. (1) A Member who has submitted a disclosur e form with information attached pursuant 
to Article VI:4(b)(i) or is the subject of evidence of a material violation pursuant to Article VIII:1 of Annex II, shall not par ticipate in any decision taken pursuant to 
paragraph 4 of Rule 9 or paragraph 5 of Rule 10. 
 
(2) A Member who is excused from a 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. 
  
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. 
  WT/AB/WP/W/10 
Page 18  
 
 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.  
  
PART II 
 
PROCESS 
 
 
General Provisions 
 16. (1) In the interests of fairness and orderly procedure in the conduct of an appeal, where a 
procedural question arises that is not cove red by these Rules, a division may adopt an 
appropriate procedure for the purposes of that appeal only, provided that it is not inconsistent with the DSU, the other c overed agreements and these Rules.  Where 
such a procedure is adopted, the division sh all immediately notify the parties to the 
dispute, participants, third parties and thir d participants as well as the other Members 
of the Appellate Body. 
 
16(1) bis
 When more than one panel report is circulated and/or appealed at or around the 
same time and there is substantial overlap  in the content of those reports, the 
Appellate Body may, upon request by a pa rty or on its own initiative, and after 
consultations with the parties, decide to consolidate the appellate proceedings 
before a single division.  The Appellate Body may take such a decision if it 
considers that a substantial overlap in the content of the appeals is likely, and 
provided that consolidation of the appellate  proceedings can be done consistently 
with due process and with the requirements of the DSU.  Unless the participants 
agree otherwise, third participants will address only the issues arising in the 
dispute(s) to which they were third parti es in the panel proceedings.  The single 
division will organize its examination of the appeals in such a manner that the 
time-limit described in Article 17.5 of the DSU is respected for each dispute.  
Upon completion of the consolidated a ppellate proceedings, the Appellate Body 
will issue a single report, unless, following a request of a participant, it considers 
that there are good reasons to issue separ ate reports.  Separate reports may be 
issued in a single document, or in multiple documents.  
 
(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  WT/AB/WP/W/10 
 Page 19 
 
 
 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 with  the Appellate Body unless the document is 
received by the Secretariat within the time- period set out for filing in accordance with 
these Rules.   
 
18(1) bis  Documents may be submitted to the Appe llate Body through electronic mail to 
the Appellate Body Registry's email a ddress.  Where a party chooses to submit a 
document through electronic mail, the docu ment shall be sent by 5 p.m. on the 
day it is due in accordance with paragr aph (1).  The Appellate Body Secretariat 
will confirm, by electronic mail, the receipt  of the document.  A document sent by 
electronic mail is not considered duly f iled unless paper copies of the document 
are delivered to the Appellate Body no later than 11 a.m. the following day, 
accompanied by a signed certification stating that the paper copies are identical 
to the electronic copy.  In case of any discrepancy between the electronic copy 
and the paper copies, only the electronic copy will be taken into account by the 
Appellate Body.  
(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 , in accordance with paragraph (4) . 
 (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. 
 
(4) A document shall be served by the most expeditious means of delivery or 
communication available, including by on the day it is due in accordance with 
paragraph (1) through one or more of the following means : 
 
(a) delivering a copy of the document to  the service address of the party to the 
dispute, participant, third party or third participant;  or  
(b) sending a copy of the document to the service address of the party to the 
dispute, participant, third party or thir d participant by facsimile transmission, 
expedited delivery courier or expedited mail service.  ;  or 
(c) sending a copy via electronic mail, followed by paper copies of 
the document no later than the following day.  
 
(5) Upon authorization by the division, a participant 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 WT/AB/WP/W/10 
Page 20  
 
 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 a ny 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 facsimile 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; 
(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
 on the same day as  the date of the filing of 
the Notice of Appeal, file with the Secr etariat 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  WT/AB/WP/W/10 
 Page 21 
 
 
 (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 raised in an appellant's 
submission filed pursuant to Rule 21 may, within 25
 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 and serve a copy 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. 
  
Multiple Appeals 
 23. (1) Within 12
 5 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:  WT/AB/WP/W/10 
Page 22  
 
 (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
 5 days after the date of the filing of the Notice of 
Appeal, file with the Secretariat a writte n 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
 
15 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. 
  
Amending Notices of Appeal 
 23bis. (1) The division may authorize an original a ppellant 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 th e 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 fu ll 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, any reasons why the proposed amended 
Notice of Appeal or Notice of Other A ppeal was not or could not have been 
filed on its original date, and any other considerations that may be 
appropriate.    WT/AB/WP/W/10 
 Page 23 
 
 
  
 (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
 18 days 
after the date of the filing of the Notice of Appeal. 
 
(2) A third party not filing  a written submission shall, within the same period of 25  
18 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  pursuan t 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. 
  
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: 
 
(a) written submissions, rebuttal submissi ons, and supporting evidence attached 
thereto by the parties to the dispute and the third parties; 
(b) 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; 
(c) 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 
(d) 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.  
 WT/AB/WP/W/10 
Page 24  
 
 (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
 30 and 40  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.  
  (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 memora nda shall be made available to the other 
participants and third participants in the a ppeal, who shall be given an opportunity to 
respond. 
 
 (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. 
   WT/AB/WP/W/10 
 Page 25 
 
 
 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 appellant may withdraw its appeal by notifying the 
Appellate Body, which shall forthwith notify the DSB.  
 
(2) Where a mutually agreed solution to a dispute which is the subject of an appeal has 
been notified to the DSB pursuant to paragraph 6 of Article 3 of the DSU, it shall be notified to the Appellate Body. 
 
 
Prohibited Subsidies 
 
31. (1) Subject to Article 4 of the SCM Agreement , the general provisions of these Rules 
shall apply to appeals relating to panel re ports concerning prohibited subsidies under 
Part II of that Agreement . 
 
(2) The working schedule for an appeal involving prohibited subsidies under Part II of 
the SCM Agreement  shall be as set out in Annex I to these Rules. 
 
 
Entry into Force and Amendment 
 
32. (1) These Rules shall enter in to force on 15 February 1996. 
 
(2) The Appellate Body may amend these Ru les in compliance with the procedures set 
forth in paragraph 9 of Article 17 of the DSU. 
 (3) Whenever there is an amendment to the DS U or to the special or additional rules and 
procedures of the covered agreements, th e Appellate Body shall examine whether 
amendments to these Rules are necessary. 
 WT/AB/WP/W/10 
Page 26  
 
  
ANNEX I 
 
TIMETABLE FOR APPEALS
1 
 
 General Appeals  Prohibited Subsidies Appeals  
 Day Day 
Notice of Appeal2 0 0 
Appellant's Submission3  7   0 4   0 
Notice of Other Appeal4 12   5 6   2 
Other Appellant(s) Submission(s)5 15   5 7   2 
Appellee(s) Submission(s)6 
Third Participant(s) Submission(s)7 
Third Participant(s) Notification(s)8 25  15 
25  18 
25  18 12  7 
12  9 
12  9 
Oral Hearing9 35  - 45  30 – 40  17 - 23  15 – 20  
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/10 
 Page 27 
 
 
 ANNEX II 
 
RULES OF CONDUCT FOR THE 
UNDERSTANDING ON RULES AND PROCEDURES 
GOVERNING THE SETTLEMENT OF DISPUTES 
 
 
[omitted because no changes proposed] 
 WT/AB/WP/W/10 
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 24 July 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/6  [2010]  Rules 16(1) bis, 18, 
18(1) bis, 21, 22, 23, 
24, and 27, and 
Annexes I and III  WT/AB/WP/W/10  [2010]  
 
  
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