eement.” WithregardtothewholeArt.17.6oftheDSU,asruledbytheAppellateBodyinMexico-HFCS(recoursetoArticle21.5oftheDSUbyUS)(DS132),“[w]erecentlyexaminedthisstandardofreviewinUnitedStates-Hot-RolledSteel.InourReportinthatcase,weobservedthat,pursuanttoArticle17.6(i),‘thetaskofpanelsissimplytoreviewtheinvestigatingauthorities’’establishment’and’evaluation’ofthefacts’.UnderArticle17.6(ii),panelsmust‘determinewhetherameasurerestsuponaninterpretationoftherelevantprovisionsoftheAnti-DumpingAgreementwhichispermissibleundertherulesoftreatyinterpretationinArticles31and32oftheViennaConvention’.TherequirementsofthestandardofreviewprovidedforinArticle17.6(i)and17.6(ii)arecumulative.Inotherwords,apanelmustfindadeterminationmadebytheinvestigatingauthoritiestobeconsistentwithrelevantprovisionsoftheAnti-DumpingAgreementifitfindsthatthoseinvestigatingauthoritieshaveproperlyestablishedthefactsandevaluatedthosefactsinanunbiasedandobjectivemanner,andthatthedeterminationrestsupona‘permissible’interpretationoftherelevantprovisions.”9 IIIScopeofReviewofFact-findings:Art.17.5(ii)oftheADAgreement PursuanttoArt.17.6(i)oftheDSU,panels’approachinadisputeistodeterminewhethertheestablishmentofthefactsbytheinvestigatingauthoritiesoftheimportingMemberisproperandwhethertheirevaluationofthosefactsisunbiasedandobjective.Wheretheestablishmentofthefactsisproper,panelsmustexaminewhethertheevidencebeforetheinvestigatingauthoritiesoftheimportingMemberinthecourseoftheirinvestigationandatthetimeoftheirdeterminationsissuchthatanunbiasedandobjectiveinvestigatingauthorityevaluatingthatevidencecouldhavedetermineddumping,injuryandcausalrelationship. InconnectionwithpanelsassessmentofthefactsofthematterunderADAgreement,Art.17.5(ii),withwhichArt.17.6(i)shallberead,statesthattheDSBshallestablishapaneltoexaminethematterbasedupon:“thefactsmadeavailableinconformitywithappropriatedomesticprocedurestotheauthoritiesoftheimportingMember.”ThisseemstorelatetoallofthefactsmadeavailabletotheauthoritiesoftheimportingMember.However,doesitmeanthatacomplainantWTOmembermaynotraisenewclaimsinadisputesettlementproceedingundertheADAgreementwheresuchclaimshadnotbeenraisedbeforethenationalinvestigatingauthorities? Whatevermaybeitssubstantivemerits,Art.17.5(ii)doesnotoffermuchofaguidelineinthisregard.Thentheauthormeanstoexplorebelowsomeaspectsoftheadmissibilityissue,particularindisputesrelatingtoanti-dumping. (i)OverviewoftheGATTPractice Withregardtothequestionoftheraisingofnewevidenceinadisputesettlementproceedingconcerninganti-dumping,itcameupinthreecasesundertheTokyoRoundAnti-dumpingCode:US-StainlessSteel(ADP/47of20August1990),US-Cement(ADP/182of7September1992),US-Salmon(ADP/87of30November1992).10 InUS-StainlessSteel,thepaneldidnotdeemitnecessarytodealwiththeUSclaimtothateffect.InUS-Cement,theUSclaimedthatMexicoshouldbeprecludedfromraisingtheissueof“standing”ofthepetitionersandtheissueofcumulationofMexicanandJapaneseimports,astheseissueshadnotbeenraisedduringtheadministrativeproceedings.ThepanelrejectedtheUSclaim,itconsideredthat:“ifsuchfundamentalrestrictionontherightofrecoursetotheAgreement’sdisputesettlementprocesshadbeenintendedbythedraftersoftheAgreement,theywouldhavemadeexplicitforit”.However,thepaneladded“thematterexaminedbythepanelwouldhavetobebasedonfactsraisedinthefirstinstance,inconformitywiththeappropriatedomesticprocedures,intheadministrativeproceedingsintheimportingcountry”. InUS-Salmon,theUSraisedthepreliminaryobjectionthattwoissuesraisedbyNorwaybeforethepanelhadnotbeenraisedinthenationaladministrativeproceedingsintheUS;accordingtotheUStheseissuesthereforenotadmissibleintheproceedingsbeforethepanel.Thepanelrejectedthisclaimonthegroundthatthedisputesettlementprovisionsofthe(TokyoRound)Anti-dumpingCode(Article15)didnotofferanybasisforrefusingtoconsideraclaimbyapartyinadisputesettlementmerelybecausethesubjectmatteroftheclaimhadnotbeenraisedbeforetheinvestigatingauthoritiesundernationallaw.Thepanelnotedhowever,thatitsconclusion“didnotimplythatinreviewingthemeritsofaclaimapanelshouldnottakeaccountofwhetherornottheissuestowhichtheclaimrelateswereraisedbeforetheinvestigatingauthoritiesinthedomesticanti-dumpingdutyproceeding”. ThepracticalconclusionseemstobethatthepanelsbeforewhichthisissuewasraiseddidconsiderGATTdisputesettlementproceedingsasquiteindependentfromnationalproceedings,inthesensethattheydidnotconsiderthemselvesboundtoremainwithinthelimitsofthecaseasbroughtbefore,anddealtby,nationaladministrativeauthorities.Whilethisisprobablytobewelcomed,someoftheargumentsputforwardinsupportofthecontraryviewarenotwithoutmeritandarelikelytocomeupinanotherguise.11Astobeshownbelow,evenpanelscalledbytheDSBhaveissuedcontradictoryreportsinthisrespect. (ii)ConcerningRulingsinReportsIssuedbyWTOPanels WithregardtoArt.17.5(ii)oftheADAgreement,thePanelinEC-BedLinen(DS141)rulesthat,it“doesnotrequire,however,thatapanelconsiderthosefactsexclusivelyintheformatinwhichtheywereoriginallyavailabletotheinvestigatingauthority.Indeed,theverypurposeofthesubmissionsofthepartiestothePanelistomarshaltherelevantfactsinanorganizedandcomprehensiblefashioninsupportoftheirargumentsandtoelucidatetheparties’positions”.12 However,contradictingtherulingabove,thePanelinUS-Hot-rolledSteel(DS184)takestheimplicationsofArt.17.5(ii)oftheADAgreementasthebasisofevidentiaryrulingsandrefusetoacceptnewevidencethatisnotbeforethedomesticinvestigatingauthoritiesatthetimeofdetermination,theyrule:13 “ApanelisobligatedbyArticle11oftheDSUtoconduct‘anobjectiveassessmentofthematterbeforeit’.Inthiscase,wemustalsoconsidertheimplicationsofArticle17.5(ii)oftheADAgreementasthebasisofevidentiaryrulings…Itseemscleartousthat,underthisprovision,apanelmaynot,whenexaminingaclaimofviolationoftheADAgreementinaparticulardetermination,considerfactsorevidencepresentedtoitbyapartyinanattempttodemonstrateerrorinthedeterminationconcerningquestionsthatwereinvestigatedanddecidedbytheauthorities,unlesstheyhadbeenmadeavailableinconformitywiththeappropriate 上一页 [6] [7] [8] [9] [10] [11] [12] [13] [14] 下一页
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