 
 
WT/AB/WP/1 WORLD TRADE  
ORGANIZATION  15 February 1996 
 
 (96-0483) 
  
Appellate Body  
 
 
  
 
   
 
     
WORKING PROCEDURES 
 
FOR  
 
APPELLATE REVIEW  
 
         
NOTE:  This version of the Working Procedures for Appellate 
Review  is no longer in force.  See the latest number in the 
WT/AB/WP document series for the current version. 
 
 WT/AB/WP/1 
Page 1 
 
Definitions  
 
1. In these Working Procedures for Appellate Review , 
 "appellant" 
means any party to the dispute that has file d a Notice of Appeal pursuant to Rule 20 or 
has filed a submission pursuant to paragraph 1 of Rule 23; 
  "appellate report" 
means an Appellate Body report as  described in Article 17 of the DSU ; 
  "appellee" 
means any party to the dispute that has filed a submission pursuant to Rule 22 or 
paragraph 3 of Rule 23; 
  "consensus" 
a decision is deemed to be made by consensus if no Member formally objects to it; 
  "covered agreements" 
has the same meaning as "covered agreemen ts" in paragraph 1 of Article 1 of the DSU ; 
  "division" 
means the three Members who are selected to serve on any one appeal in accordance 
with paragraph 1 of Article 17 of the DSU  and paragraph 2 of Rule 6; 
  "documents" 
means the Notice of Appeal and the submissions and other written statements presented 
by the participants; 
  "DSB" 
  means the Dispute Settlement Body  established under Article 2 of the DSU ; 
  
"DSU"  
means the Understanding on Rules and Procedures  Governing the Settlement of 
Disputes  which is Annex 2 to the WTO Agreement ; 
 
 
"Member"  
means a Member of the Appellate Body who has been appointed by the DSB in 
accordance with Article 17 of the DSU ; 
 "participant" 
means any party to the dispute that has filed a Notice of Appeal pursuant to Rule 20 or a 
submission pursuant to Rule 22 or paragraphs 1 or 3 of Rule 23; 
 WT/AB/WP/1 
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"party to the dispute" 
means any WTO Member who was a complaining or defending party in the panel 
dispute, but does not include a third party; 
  "proof of service" 
means a letter or other written acknowledgement  that a document has been delivered,  as 
required, to the parties to the dispute, partic ipants, 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 dispute settlement proceedings, unless the party to the dispute, participant, third party or third par ticipant has clearly indicated another address; 
  "third participant"  
means any third party that has filed a submission pursuant to Rule 24; 
  "third party" 
means any WTO Member who has notified the DSB of its substantial interest in the 
matter before the panel pursuant to paragraph 2 of Article 10 of the DSU ; 
  "WTO" 
means the World Trade Organization; 
 
 "WTO Agreement"  
means the Marrakesh Agreement Establishing the World Trade Organization , done at 
Marrakesh, Morocco on 15 April 1994; 
 WT/AB/WP/1 
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"WTO Member" 
means any State or separate customs territory 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/1 
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PART I  
 
MEMBERS  
 
 
Duties and Responsibilities  
 
2. (1) A Member shall abide by the terms and 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-gove rnmental organization or any private 
source. 
  (4) A Member shall be available at all times a nd 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 Article 17 of the DSU , decisions relating to an appeal 
shall be taken solely by the division assigned to that appeal.  Other decisions shall be 
taken by the Appellate Body as a whole.  
  (2) The Appellate Body and its divisions shall make every effort to take their decisions by 
consensus. Where, nevertheless, a decision ca nnot be arrived at by consensus, the matter 
at issue shall be decided by a majority vote. 
  
Collegiality  
 
4. (1) To ensure consistency and coherence in  decision-making, and to draw on the individual 
and collective expertise of the Members, th e Members shall convene on a regular basis 
to discuss matters of policy, practice and procedure. 
  (2) The Members shall stay abreast of di spute settlement activities and other relevant 
activities of the WTO and, in particular, each  Member shall receive all documents filed 
in an appeal.  
  (3) In accordance with the objectives set out in paragraph 1, the division responsible for 
deciding each appeal shall exchange views w ith the other Members before the division 
finalizes the appellate report for circulation to the WTO Members.  This paragraph is 
subject to paragraphs 2 and 3 of Rule 11. 
  (4) Nothing in these Rules shall be interprete d 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/1 
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Chairman  
 
5. (1) There shall be a Chairman of the Appella te Body who shall be elected by the Members. 
  (2) The term of office of the Chairman shall be  one year.  In order to ensure rotation of the 
Chairmanship, no Member shall serve as  Chairman for more than one term 
consecutively. 
  (3) The Chairman shall be responsible for the overall direction of the Appellate Body 
business, and in particular, hi s/her responsibilities shall include: 
   (a)the supervision of the internal functioning of the Appellate Body;  and 
  (b)any such other duties as the Members may agree to entrust to him/her.   (4) Where the office of the Chairman becomes vacant due to  permanent incapacity as a 
result of illness or death or by resignation or expiration of his/her term, the Members 
shall elect a new Chairman who shall serve a full term in accordance with paragraph 2. 
  (5) In the event of a temporary absence or incapacity of the Chairman, the Appellate Body 
shall authorize another Member to act as Chairman ad interim , and the Member so 
authorized shall temporarily exercise all the powers, duties and functions of the Chairman until the Chairman is capable of resuming his/her functions. 
  
Divisions  
 
6. (1) In accordance with paragraph 1 of Article 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 inte ntions to resign pursuant to Rule 14.  
  
Presiding Member of the Division  
 
7. (1) Each division shall have a Presiding Me mber, who shall be elected by the Members of 
that division. 
  (2) The responsibilities of the Presiding Member shall include:    (a) coordinating the overall conduct of the appeal proceeding;   (b) chairing all oral hearings and m eetings related to that appeal;  and 
  (c) coordinating the drafti ng of the appellate report. WT/AB/WP/1 
Page 6 
 
 (3) In the event that a Presiding Member b ecomes 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 Appella te Body adopts those provisions of the Rules of 
Conduct  for the Understanding on Rules and Proc edures Governing the Settlement of 
Disputes , attached in Annex II to these Rule s, 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 thes e 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 V:4(b)(i) of Annex II, and a Member  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 V:4(b)(ii) of Annex II. 
  (3) Where information has been submitted pursuan t to Article V:4(b)(i) or (ii) of Annex II, 
the Appellate Body shall consider whether further action is necessary. 
  (4) As a result of the Appellate Body's consid eration 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 violation is  filed by a participant pursuant to Article VII 
of Annex II, such evidence shall be confid ential and shall be s upported by affidavits 
made by persons having actual knowledge or a reasonable belief as to the truth of the 
facts stated. 
  (2) Any evidence filed pursuant to Article VII: 1 of Annex II shall be filed at the earliest 
practicable time:  that is, forthwith after the participant submitting it knew or reasonably 
could have known of the facts supporting it.  In no case shall such evidence be filed 
after the appellate report is circulated to the WTO Members.  
  (3) Where a participant fails to submit such ev idence at the earliest practicable time, it shall 
file an explanation in writing of the r easons 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 VII of A nnex II, an appeal shall be suspended for 
fifteen days or until the procedure referre d to in Article VII:14-16 of Annex II is 
completed, whichever is earlier. 
  (5) As a result of the procedure referred to in Article VII:14-16 of Annex II, the Appellate 
Body may decide to dismiss the 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 VII of Annex II. WT/AB/WP/1 
Page 7 
 
11. (1) A Member who has submitted a disclosure form with information attached pursuant to 
Article V:4(b)(i) or is the subject of evidence of a material violation pursuant to Article VII:1 of Annex II, shall not participate in any decision taken pursuant to paragraph 4 of 
Rule 9 or paragraph 5 of Rule 10. 
  (2) A Member who is excused from a divisi on pursuant to paragraph 4 of Rule 9 or 
paragraph 5 of Rule 10 shall not  take part in the exchange of views conducted in that 
appeal pursuant to paragraph 3 of Rule 4. 
  (3) A Member who, had he/she been a Memb er of a division, would have been excused 
from that division pursuant to paragraph 4 of Ru le 9, shall not take part in the exchange 
of views conducted in that appeal pur suant 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 such 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 pur suant 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 af ter the notification has been made pursuant to 
paragraph 1, unless the DSB, in consu ltation with the Appellate Body, decides 
otherwise. 
  
Transition  
 
15. A person who ceases to be a Member of the Appe llate 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 Member, a nd that person shall, for that purpose only, be 
deemed to continue to be a Member of the Appellate Body. 
   WT/AB/WP/1 
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PART II 
 
PROCESS  
 
 
General Provisions  
 
16. (1) In the interests of fairness and orderly procedure in the conduct of an appeal, where a 
procedural question arises that is not cove red by these Rules, a division may adopt an 
appropriate procedure for the purposes of th at appeal only, provided that it is not 
inconsistent with the DSU , the other covered agreements and these Rules.  Where such a 
procedure is adopted, the Division shall imme diately notify the participants and third 
participants in the appeal as well as the other Members of the Appellate Body. 
  (2) In exceptional circumstances, where strict  adherence to a time 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 documents or th e 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 di spute, participants, third parties and third 
participants in a revised working schedule. 
 
17. (1) Unless the DSB decides otherwise, in computing any time period stipulated in the DSU 
or in the special or additional provisions of the covered agreements, or in these Rules, 
within which a communication must be made or an action taken by a WTO Member to exercise or preserve its rights, the day from which the time period begins to run shall be 
excluded and, subject to paragraph 2, the la st 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 pe riod set out for filing in accordance with 
these Rules. 
  (2) Except as otherwise provided in these Ru les, 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, thir d parties and third participants in the appeal. 
  (3) A proof of service on the other parties to th e 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: 
   (a) delivering a copy of the document to the service address of the party to the 
dispute, participant, third party or third participant;  or WT/AB/WP/1 
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  (b) sending a copy of the document to the service address of the party to the 
dispute, participant, third party or thir d participant by facsimile transmission, 
expedited delivery courier or  expedited mail service. 
  (5) Upon authorization by the division, a participant or a third participant may correct 
clerical errors in any of its submissions. Such  correction shall be made within 3 days of 
the filing of the original submission and a copy  of the revised version shall be filed with 
the Secretariat and served upon the other participants and third participants. 
  
Ex Parte Communications 
 
19. (1) Neither a division nor any of its Members shall meet with or contact one participant or 
third participant in the absence of the ot her participants and third participants.  
  (2) No Member of the division may discuss any aspect of the subject matter of an appeal 
with any participant or third participant in  the absence of the other Members of the 
division. 
  (3) A Member who is not assigned to the division hearing the appeal shall not discuss any 
aspect of the subject matter of the appeal with any participant or third participant. 
  
Commencement of Appeal  
 
20. (1) An appeal shall be commenced by notifi cation in writing to the DSB in accordance with 
paragraph 4 of Article 16 of the DSU  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 facs imile numbers of the party to the dispute; 
and 
  (d) a brief statement of the nature of th e appeal, including the allegations of errors 
in the issues of law covered in the panel report and lega l interpretations 
developed by the panel. 
  
Appellant's Submission  
 
21. (1) The appellant shall, within 10 days after the date of the filing of the Notice of Appeal, 
file with the Secretariat a written submission prepared in accordance with paragraph 2 
and serve a copy of the submission on the othe r parties to the dispute and third parties. 
  (2) A written submission referre d to in paragraph 1 shall  
   (a) be dated and signed by the appellant;  and  WT/AB/WP/1 
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  (b) set out     (i) a precise statement of the gr ounds for the appeal, including the specific 
allegations of errors in the issues of law covered in the panel report and 
legal interpretations developed by th e panel, and the legal arguments in 
support thereof; 
   (ii) a precise statement of the provisions of the covered agreements and 
other legal sources relied on;  and 
   (iii) the nature of the decision or ruling sought.   
Appellee's Submission  
 
22. (1) Any party to the dispute that wishes to respond to allegations rais ed in an appellant's 
submission filed pursuant to Rule 21 may, with in 25 days after the date of the filing of 
the Notice of Appeal, file with the Secretariat a written submission prepared in accordance with paragraph 2 and serve a copy  of the submission on the appellant, other 
parties to the dispute and third parties. 
  (2) A written submission referre d to in paragraph 1 shall 
   (a) be dated and signe d 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 c overed in the panel report and legal 
interpretations developed 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 15 days after the date of the fili ng of the Notice of Appeal, a party to the dispute 
other than the original appellant may join in that appeal or appeal on the basis of other 
alleged errors in the issues of law covered in the panel report and legal interpretations 
developed by the panel. 
  (2) Any written submission made pursuant to para graph 1 shall be in the format required by 
paragraph 2 of Rule 21. 
  (3) The appellant, any appellee and any other pa rty to the dispute that wishes to respond to 
a submission filed pursuant to paragraph 1 ma y file a written submission within 25 days 
after the date of the filing of the Notice of Appeal, and any such submission shall be in 
the format required by paragraph 2 of Rule 22. 
  (4) This Rule does not preclude a party to the dispute which has not filed a submission 
under Rule 21 or paragraph 1 of this Rule fro m exercising its right of appeal pursuant to 
paragraph 4 of Article 16 of the DSU . WT/AB/WP/1 
Page 11 
 
 (5) Where a party to the dispute which has not filed a submission under Rule 21 or 
paragraph 1 of this Rule exercises its right to  appeal as set out in paragraph 4, a single 
division shall examine the appeals. 
  
Third Participants  
 
24.  Any third party may file a written submissi on, stating its intention to participate as a 
third participant in the appeal and cont aining the grounds and legal arguments in 
support of its position, within 25 days after the date of the filing of the Notice of 
Appeal. 
  
Transmittal of Record  
 
25. (1) Upon the filing of a Notice of Appeal, th e Director-General of the WTO shall transmit 
forthwith to the Appellate Body the comp lete record of the panel proceeding. 
   (2) The complete record of the panel proceeding includes, but is not limited to:    (i)  written submissions, rebuttal subm issions, and supporting evidence attached 
thereto by the parties to the dispute and the third parties; 
  (ii) written arguments submitted at the panel meetings with the parties to the 
dispute and the third parties, the record ings of such panel meetings, and any 
written answers to questions posed at such panel meetings; 
  (iii) the correspondence relating to the pa nel dispute between the panel or the WTO 
Secretariat and the parties to the dispute or the third parties; and 
  (iv) any other documentation submitted to the panel.   
Working Schedule  
 
26. (1) Forthwith after the commencement of an appeal, the division shall draw up an 
appropriate working schedule for that app eal in accordance with the time periods 
stipulated in these Rules.  
  (2) The working schedule shall set forth preci se dates for the filing of documents and a 
timetable for the division's work, including wher e 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 proceedings 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 copy of the working schedule on the appellant, 
the parties to the dispute and any third parties. 
  WT/AB/WP/1 
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Oral Hearing  
 
27. (1) A division shall hold an oral hearing, which shall be held, as a general rule, 30 days 
after the date of the filing of the Notice of Appeal. 
  (2) Where possible in the working schedule or  otherwise at the earliest possible date, the 
Secretariat shall notify all parties to the di spute, participants, third parties and third 
participants of the date for the oral hearing.  
  (3) Any third participant who has filed a s ubmission pursuant to Rule 24 may appear to 
make oral arguments or presentations at the oral hearing. 
  (4) The Presiding Member may, as necessary, set time-limits for oral arguments and 
presentations. 
  
Written Responses 
 
28. (1) At any time during the appellate proceeding, including, in particular, during the oral 
hearing, the division may address questions or ally or in writing to, or request additional 
memoranda from, any participant or third pa rticipant, and specify the time periods by 
which written responses or me moranda shall be received. 
  (2) Any such questions, responses or memora nda shall be made available to the other 
participants and third participants in the appeal, who shall be given an opportunity to 
respond. 
  
Failure to Appear  
 
29.  Where a participant fails to file a submi ssion 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 disput e 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 reports concerning prohibited subsidies under Part II 
of that Agreement . 
  (2) The working schedule for an appeal invol ving prohibited subsidies under Part II of the 
SCM Agreement  shall be as set out in Annex I to these Rules. WT/AB/WP/1 
Page 13 
 
Entry into Force and Amendment 
 
32. (1) These Rules shall enter into force on 15 February 1996.   (2) The Appellate Body may amend these Rules in compliance with the procedures set forth 
in paragraph 9 of Article 17 of the DSU . 
 
 (3) Whenever there is an amendment to the DSU  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/1 
Page 14 
 
ANNEX I 
   
TIMETABLE FOR APPEALS 
 
    Prohibited
 
 General  Subsidies   
 Appeals  Appeals  
  Day Day  Notice of Appeal
1  0 0 
  Appellant's Submission
2 10 5 
  Other Appellant(s) Submission(s)
3 15 7 
  Appellee(s) Submission(s)
4 25 12 
Third Participant(s) Submission(s)5 25 12 
  Oral Hearing
6  30 15 
  Circulation of Appellate Report 60 - 90
7 30 - 608 
  DSB Meeting for Adoption 90 - 120
9 50 - 8010 
                                                 
     1Rule 20. 
     2Rule 21. 
     3Rule 23(1). 
     4Rules 22 and 23(3). 
     5Rule 24. 
     6Rule 27. 
     7Article 17:5, DSU.  
     8Article 4:9, SCM Agreement . 
     9Article 17:14, DSU . 
     10Article 4:9, SCM Agreement . WT/AB/WP/1 
Page 15 
 
ANNEX II 
 
RULES OF CONDUCT FOR THE 
UNDERSTANDING ON RULES AND PROCEDURES 
GOVERNING THE SETTLEMENT OF DISPUTES  
 
 
 
I.  Preamble  
 
 Members,  
 Recalling  that on 15 April 1994 in Marrakesh, Minister s welcomed the stronger and clearer legal 
framework they had adopted for the conduct of inte rnational trade, including a more effective and 
reliable dispute settlement mechanism;  
 Recognizing  the importance of full adherence to the Understanding on Rules and Procedures 
Governing the Settlement of Disputes (DSU) and the principles for the management of disputes applied 
under Articles XXII and XXIII of GATT 1947, as furt her elaborated and modified by the DSU; 
 
 Affirming  that the operation of the DSU would be st rengthened by rules of  conduct designed to 
maintain the integrity, impartiality and confidentia lity of proceedings conducted under the DSU thereby 
enhancing confidence in the new dispute settlement mechanism;   
Hereby establish the following Rules of Conduct. 
   
 II.  Governing Principle   
 
 1. Each person covered by these Rules (as defi ned in Section IV belo w and hereinafter called 
"covered person") shall be i ndependent and impartial, sh all avoid direct or indirect conflicts of interest 
and shall respect the confidentiality of proceedi ngs of bodies pursuant to the dispute settlement 
mechanism, so that through the observance of such st andards of conduct the integrity and impartiality of 
that mechanism are preserved.  These Rules sha ll in no way modify the rights and obligations of 
Members under the DSU nor the rules and procedures therein.     
 III.  Observance of the Governing Principle 
 
 1. To ensure the observance of the Governing Pr inciple of these Rules, each person covered by 
them is expected (1) to adhere strictly to the provi sions of the DSU;  (2) to disclose the existence or 
development of any interest, relationship or matter that that person could reasonably be expected to 
know and that is likely to affect, or give rise to  justifiable doubts as to, that person's independence or 
impartiality; and (3) to take due care in the perform ance of their duties to fulfil these expectations, 
including through avoidance of any direct or indirect c onflicts of interest in respect of the subject matter 
of the proceedings.  WT/AB/WP/1 
Page 16 
 
 2. Pursuant to the Governing Principle, each pers on covered by these Rules,  shall be independent 
and impartial, and shall maintain confidentiality.  Moreover, such persons shall consider only issues 
raised in, and necessary to fulfil their responsibilitie s within, the dispute settlement proceeding and shall 
not delegate this responsibility to any other person.  Such person shall not incur any obligation or accept 
any benefit that would in anyway interfere with, or which could give rise to, justifiable doubts as to the 
proper performance of that person's dispute settlement duties.    
 IV.  Scope  
 
1. These Rules shall apply, as specified in the te xt, to each person serving:  (a) on a panel;  (b) on 
the Standing Appellate Body;  (c) as an arbitrator pursuant to the provisions mentioned in Annex "1a";  
or (d) as an expert participating in the dis pute settlement mechanism pursuant to the provisions 
mentioned in Annex "1b".  These Rules shall also a pply, as specified in this text and the relevant 
provisions of the Staff Regulations, to members of the Secretariat called upon to assist the panel in 
accordance with Article 27.1 of the DSU or to assist in formal arbitration proceedings pursuant to Annex 
"1a" and to Standing Appellate B ody support staff called upon to provi de the Standing Appellate Body 
with administrative or legal support in accordance with  Article 17.7 of the DSU (hereinafter "Member of 
the Secretariat or Standing Appellate Body support staff"), reflecting their acceptance of established 
norms regulating the conduct of such persons as international civil serv ants and the Governing Principle 
of these Rules.  2. The application of these Rules shall not in an y way impede the Secretariat's discharge of its 
responsibility to continue to respond to Member s' requests for assistance and information. 
   
 V.   Self-Disclosure Requirements by Covered Persons 
 
 1. (a) Each person requested to serve on a pa nel, on the Standing Appellate Body, as an 
arbitrator, or as an expert shall, at the time of th e request, receive from the Secretariat these Rules, which 
include an Illustrative List (Annex 2) of exam ples of the matters subject to disclosure. 
  (b) Any member of the Secretariat who may expect to be called upon to assist in a dispute, and Standing Appellate Body support staff, shall be familiar with these Rules. 
 2. As set out in paragraph V:4 below, all persons covered by pa ragraph V.1(a) and V.1(b) shall 
disclose any information that could reasonably be expected to be known to them at the time which, 
coming within the scope of the Governing Principle of these Rules, is likely to affect or give rise to 
justifiable doubts as to their independence or impa rtiality.  These disclosures include the type of 
information described in the Illustrative List, if relevant.  3. These disclosure requirements shall not extend to the identification of matters whose relevance 
to the issues to be considered in the proceedings woul d be insignificant.  They shall take into account the 
need to respect the personal privacy of those to  whom these Rules apply and shall not be so 
administratively burdensome as to make it impracti cable for otherwise qualified persons to serve on 
panels, the Standing Appellate Body, or  in other dispute settlement roles. 
 4. (a) All panelists, arbitrators and experts, pr ior to confirmation of their appointment, shall 
complete the form at Annex 3 of these Rules.  Such  information would be disclosed to the Chair of the 
Dispute Settlement Body (DSB) for consider ation by the parties to the dispute. 
 WT/AB/WP/1 
Page 17 
 
 (b) (i) Persons serving on the Standing A ppellate Body who, through rotation, are 
selected to hear the appeal of a partic ular panel case, shall review the factual 
portion of the Panel report and comple te the form at Annex 3.  Such 
information would be disclosed to the Standing Appellate Body for its 
consideration whether the member concer ned should hear a particular appeal. 
   (ii) Standing Appellate Body support staff shall disclose any relevant matter to the 
Standing Appellate Body, for its consider ation in deciding on the assignment of 
staff to assist in a particular appeal.  
   (c) When considered to assist in a dispute, members of the Secretariat shall disclose to the 
Director-General of the WTO the information require d under paragraph V:2 of these Rules and any other 
relevant information required under the Staff Regula tions, including the information described in the 
footnote
1. 
 5. During a dispute, each covered person shall al so disclose any new information relevant to 
paragraph V:2 above at the earliest time they become aware of it.  6. The Chair of the DSB, the Secretariat, parties to the dispute, and other individuals involved in 
the dispute settlement mechanism shall maintain the confidentiality of any information revealed through 
this disclosure process, even after the panel pr ocess and its enforcement procedures, if any, are 
completed.   
 VI.  Confidentiality  
 
1. Each covered person shall at all times main tain the confidentiality of dispute settlement 
deliberations and proceedings together with any info rmation identified by a party as confidential.  No 
covered person shall at any time use such info rmation acquired during such deliberations and 
proceedings to gain personal adva ntage or advantage for others. 
 
2. During the proceedings, no c overed person shall engage in ex parte  contacts concerning matters 
under consideration.  Subject to paragraph VI:1, no covered person shall make any statements on such 
proceedings or the issues in dispute in which that pe rson is participating, until the report of the panel or 
the Standing Appellate Body has been derestricted.   
                                                 
     1Pending adoption of the Staff Regulations, members of the Secret ariat shall make disclosures to the Director-General in 
accordance with the following draft provision to be included in the Staff Regulations: 
 " When paragraph V:4(c) of the Rules of Conduct for th e DSU is applicable, members of the Secretariat would 
disclose to the Director-General of the WTO the informati on required in paragraph V:2 of those Rules, as well as any 
information regarding their participation in earlier formal cons ideration of the specific measur e at issue in a dispute under a ny 
provisions of the WTO Agreement, including through formal le gal advice under Article 27.2 of the DSU, as well as any 
involvement with the dispute as an official of a WTO Member government or otherwise professionally, before having joined the 
Secretariat.  The Director-General shall consider any such disclosures in deciding on the assignment of members of the Secretariat 
to assist in a dispute.  When the Director-General, in the light of his considerati on, including of available Secretariat resources, decides that 
a potential conflict of interest is not sufficiently material to warrant non-assignment of a particular member of the Secretari at to 
assist in a dispute, the Director-General  shall inform the panel of his decision a nd of the relevant supporting information." WT/AB/WP/1 
Page 18 
 
 VII.  Procedures Concerning Subsequent Disclosure and Possible Material Violation s 
 1. Any party to a dispute, conducted pursuant to the WTO Agreement, who possesses or comes 
into possession of evidence of a material violation of  the obligations of independence, impartiality or 
confidentiality or the avoidance of direct or indirect  conflicts of interest by  covered persons which may 
impair the integrity, impartiality or confidentiality of the dispute settlement mechanism, shall at the 
earliest possible time and on a confidential basis, s ubmit such evidence to the Chair of the DSB, the 
Director-General or the Standing Appellate Body, as  appropriate according to the respective procedures 
detailed in paragraphs VII:5 to V II:17 below, in a written statement specifying the relevant facts and 
circumstances.  Other Members who possess or come  into possession of such evidence, may provide 
such evidence to the parties to the dispute in the interest of main taining the integrity and impartiality of 
the dispute settlement mechanism.  2. When evidence as described in paragraph VII: 1 is based on an allege d failure of a covered 
person to disclose a relevant interest , relationship or matter, that failure to disclose, as such, shall not be a 
sufficient ground for disqualification unless there is also evidence of a material violation of the obligations of independence, impartia lity, confidentiality or the avoidance of direct or indirect conflicts 
of interests and that the integrity, impartiality or  confidentiality of the dispute settlement mechanism 
would be impaired thereby.  3. When such evidence is not provided at the earliest practicable time, the party submitting the 
evidence shall explain why it did not do so earlier and th is explanation shall be taken into account in the 
procedures initiated in paragraph VII:1.  4. Following the submission of such evidence to the Chair of the DSB, the Director-General of the 
WTO or the Standing Appellate Body, as specified belo w, the procedures outlined in paragraphs VII:5 to 
VII:17 below shall be completed within fifteen working days.   
Panelists, Arbitrators, Experts  
 
5. If the person who is the subject of the evidence is a panelist, an arbitrator or an expert, the party 
shall provide such evidence to the Chair of the DSB. 
 6. Upon receipt of the evidence referred to in pa ragraphs VII:1 and VII:2, the Chair of the DSB 
shall forthwith provide the evidence to the person who is the subject of such evidence, for consideration 
by the latter.  7. If, after having consulted with the person concer ned, the matter is not resolved, the Chair of the 
DSB shall forthwith provide all the evidence, and an y additional information from the person concerned, 
to the parties to the dispute.  If the person concer ned resigns, the Chair of the DSB shall inform the 
parties to the dispute and, as the case may be , the panelists, the arbitrator(s) or experts. 
 8. In all cases, the Chair of the DSB, in consu ltation with the Director-General and a sufficient 
number of Chairs of the relevant Council or C ouncils to provide an odd number, and after having 
provided a reasonable opportunity for the views of the person concerned and the parties to the dispute to 
be heard, would decide whether a material violation of these Rules as referred to in paragraphs VII:1 and 
VII:2 above has occurred.  Where the parties agree that  a material violation of these Rules has occurred, 
it would be expected that, consistent with maintaini ng the integrity of the dispute settlement mechanism, 
the disqualification of the person concerned would be confirmed. 
 WT/AB/WP/1 
Page 19 
 
9. The person who is the subject of the evidence sh all continue to participate in the consideration 
of the dispute unless it is decided that a material violation of these Rules has occurred.  10. The Chair of the DSB shall thereafter take the necessary steps for the appointment of the person 
who is the subject of the evidence to be formally revoked, or excused from the dispute as the case may 
be, as of that time.  
 
Secretariat  
 
11. If the person who is the subject of the evidence is a member of the Secretariat, the party shall 
only provide the evidence to the Director-General of the WTO, who shall forthwith provide the evidence 
to the person who is the subject of such evidence and sh all further inform the other party or parties to the 
dispute and the panel.  12. It shall be for the Director-General to take  any appropriate action in accordance with the Staff 
Regulations.
2  
 13. The Director-General shall inform the parties to  the dispute, the panel and the Chair of the DSB 
of his decision, together with relevant supporting information.   
Standing Appellate Body  
 
14. If the person who is the subject of the evidence is a member of the Standing Appellate Body or 
of the Standing Appellate Body support staff, the part y shall provide the evidence to the other party to 
the dispute and the evidence shall thereafter be provided to the St anding Appellate Body. 
 15. Upon receipt of the evidence referred to in paragraphs VII:1 and V II:2 above, the Standing 
Appellate Body shall forthwith provide it to the person who is the subject of such evidence, for 
consideration by the latter.  16. It shall be for the Standing Appellate Body to  take any appropriate ac tion after having provided 
a reasonable opportunity for the views of the concerned person and the parties to the dispute to be heard. 
 17. The Standing Appellate Body shall inform the pa rties to the dispute and the Chair of the DSB of 
its decision, together with re levant supporting information. 
 
*** 
 18. Following completion of the procedures in paragr aphs VII:5 to VII:17, if the appointment of  
a person covered by these Rules, other than a member  of the Standing Appellate Body, is revoked or that 
person is excused or resigns, the procedures speci fied in the DSU for initial appointment shall be 
followed for appointment of a replacement, but the tim e periods shall be half those specified in the 
DSU
3.  The member of the Standing Appellate Body who, under that Body's rules, would next  
be selected through rotation to consider the dispute,  would automatically be assigned to the appeal.  
                                                 
     2Pending adoption of the Staff Regulations, the Director-Gener al would act in accordance with the following draft provision 
for the Staff Regulations: "If paragraph V II:11 of the Rules of Conduct for the DSU governing the settlement of disputes is 
invoked, the Director-General shall consu lt with the person who is the subject of the evidence and the panel and shall, if 
necessary, take appropriate disciplinary action". 
     3Appropriate adjustments would be made in the cas e of appointments pursuant to the SCM Agreement.  WT/AB/WP/1 
Page 20 
 
The panel, members of the Standing Appellate Body h earing the appeal, or the arbitrator, as the case may 
be, may then decide after consulting with the partie s to the dispute, on any necessary modifications to 
their working procedures or proposed timetable.  19. All persons and Members concerned shall resolv e matters involving possible material violations 
of these Rules as expeditiously as possible so as not  to delay the completion of proceedings, as provided 
in the DSU.  20. Except to the extent strictly necessary to ca rry out this decision, all information concerning 
possible or actual material violations of these Rules shall be kept confidential. 
  
 VIII.  Review 
 
1. These Rules of Conduct shall be reviewed w ithin two years of their adoption and a decision 
shall be taken by the Dispute Settlement Body as to  whether to continue, modify or terminate these 
Rules. WT/AB/WP/1 
Page 21 
 
 
ANNEX 1 a 
    Arbitrators acting pursuant to the following provisions:    - Articles 21.3(c); 22.6 and 22.7; 26.1(c) and 25 of the DSU;  - Article 8.5 of the SCM Agreement;  - rticles XXI.3 and XXII.3 of the GATS.        
ANNEX 1b 
   Experts advising or providing information pursuant to the following provisions:    - Article 13.1; 13.2 of the DSU;  - Article 4.5 of the SCM Agreement;  - Article 11.2 of the SPS Agreement;  - Article 14.2; 14.3 of the TBT Agreement.   WT/AB/WP/1 
Page 22 
 
ANNEX 2 
  
ILLUSTRATIVE LIST OF INFORMATION TO BE DISCLOSED  
 
 
 This list contains examples of information of the type that a person called upon to serve in a 
dispute should disclose pursuant to the Ru les of Conduct for the Understanding on Rules and 
Procedures Governing the Settlement of Disputes.  
 Each person covered by these Rules of Conduct has a continuing duty to disclose the 
information described in Section V:2 of the Ru les of Conduct which may include the following: 
  (a) financial interests (e.g. investments, lo ans, shares, interests, other debts);  business 
interests (e.g. directorship or other contractua l interests);  and property interests relevant 
to the dispute in question; 
  (b) professional interests (e.g. a past or pres ent relationship with private clients, or any 
interests the person may have in domestic or international proceedings, and their 
implications, where these involve issues sim ilar to those addressed in the dispute in 
question); 
  (c) other active interests (e.g. active partic ipation in public interest groups or other 
organisations which may have a declared age nda relevant to the dispute in question); 
  (d) considered statements of personal opinion on issues relevant to the dispute in question 
(e.g. publications, public statements); 
  (e) employment or family interests (e.g. the possibility of any indirect advantage or any 
likelihood of pressure which could arise fro m their employer, business associates or 
immediate family members). 
 WT/AB/WP/1 
Page 23 
 
ANNEX 3 
  
Dispute Number:    ________ 
    
WORLD TRADE ORGANISATION 
DISCLOSURE FORM 
   I have read the Understanding on Rules and Pr ocedures Governing the Settlement of Disputes 
(DSU) and the Rules of Conduct for the DSU.  I unde rstand my continuing duty, while participating in 
the dispute settlement mechanism, and until such tim e as the Dispute Settlement Body (DSB) makes a 
decision on adoption of a report relating to the proceed ing or notes its settlement, to disclose herewith 
and in future any information likely to affect my i ndependence or impartiality, or  which could give rise 
to justifiable doubts as to the integrity and impartia lity of the dispute settlement mechanism;  and to 
respect my obligations regarding the confid entiality of dispute settlement proceedings. 
      Signed: Dated:    
__________ 
 
 