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ChapterⅢ
　　InitiationofPanelProcedures
　　
　　OUTLINE
　　
　　SectionOneRoleofConsultations:Art.4
　　ITheImportanceofConsultations
　　IIIssuesConcerningthe“adequacy”ofConsultations
　　SectionTwoEstablishmentofPanels:Art.6.2
　　IIntroduction
　　IIIndicationofConsultationsProcess
　　IIIIdentificationof“thespecificmeasuresatissue”
　　IVProvisionof“abriefsummaryofthelegalbasisofthecomplaint”
　　VConcludingRemarks
　　SectionThreeTermsofReferenceofPanels:Art.7
　　IIntroduction
　　IIEffectofConsultationsonTermsofReferenceofPanels
　　IIIThe“matterreferredtotheDSB”
　　SectionFourTheMandateofCompliancePanels:Art.21.5
　　IIntroduction
　　IIClarificationof“measurestakentocomply”
　　IIIPerspectiveofReviewunderArt.21.5
　　IVExaminationoftheNewMeasureinItsTotalityandinItsApplication
　　SectionFiveThirdPartyRights:Art.10
　　IIntroduction
　　IIGenericThirdPartyRights:InterpretationofArt.10.3
　　IIIExtendedThirdPartyRights:ExerciseofPanels’Discretion
　　IVSummaryandConclusions
　　
　　
　　
　　SectionOne
　　RoleofConsultations:Art.4
　　
　　TheproceduresforconsultationsundertheWTO,significantlydifferentfromtheproceduresforgoodoffices,conciliationormediationasprescribedinArt.5oftheDSUwhichremainsvoluntaryoptionsifthepartiestothedisputesoagree,remainsamandatoryfirststepinthedisputesettlementprocessasembodiedwithtextofArt.4oftheDSU.However,astobeshownbelow,thereissomethingtobeclarifiedsoastounderstandappropriatelytheroleofconsultationsundertheWTOdisputesettlementmechanism.
　　
　　ITheImportanceofConsultations
　　ThepracticeofGATTcontractingpartiesinregularlyholdingconsultationsistestimonytotheimportantroleofconsultationsindisputesettlement.Art.4.1oftheDSUrecognizesthispracticeandfurtherprovidesthat:“MembersaffirmtheirresolvetostrengthenandimprovetheeffectivenessoftheconsultationproceduresemployedbyMembers.”AnumberofreportsmadebypanelsorbytheAppellateBodyundertheWTOhaverecognizedthevalueofconsultationswithinthedisputesettlementprocess.
　　Asnotedbyapanel,Members’dutytoconsultconcernsamatterwithutmostseriousness:“CompliancewiththefundamentalobligationofWTOMemberstoenterintoconsultationswherearequestismadeundertheDSUisvitaltotheoperationofthedisputesettlementsystem.Article4.2oftheDSUprovidesthat‘[e]achMemberundertakestoaccordsympatheticconsiderationtoandaffordadequateopportunityforconsultationregardinganyrepresentationsmadebyanotherMemberconcerningmeasuresaffectingtheoperationofanycoveredagreementtakenwithintheterritoryoftheformer’.Moreover,pursuanttoArticle4.6oftheDSU,consultationsare‘withoutprejudicetotherightsofanyMemberinanyfurtherproceedings’.Inourview,theseprovisionsmakeclearthatMembers’dutytoconsultisabsolute,andisnotsusceptibletothepriorimpositionofanytermsandconditionsbyaMember.”1
　　Anotherpaneladdressestheessenceofconsultations,andtheyruletherethat:“Indeed,inourview,theveryessenceofconsultationsistoenablethepartiesgathercorrectandrelevantinformation,forpurposesofassistingtheminarrivingatamutuallyagreedsolution,orfailingwhich,toassisttheminpresentingaccurateinformationtothepanel.”2
　　TheAppellateBodyconfirmspanels’rulingsinthisrespect.Forexample,theAppellateBodystressesthosebenefitsaffordedbyconsultationstothedisputesettlementsysteminMexico-HFCS（DS132）（21.5）as:“[…]Throughconsultations,partiesexchangeinformation,assessthestrengthsandweaknessesoftheirrespectivecases,narrowthescopeofthedifferencesbetweenthemand,inmanycases,reachamutuallyagreedsolutioninaccordancewiththeexplicitpreferenceexpressedinArticle3.7oftheDSU.Moreover,evenwherenosuchagreedsolutionisreached,consultationsprovidethepartiesanopportunitytodefineanddelimitthescopeofthedisputebetweenthem.Clearly,consultationsaffordmanybenefitstocomplainingandrespondingparties,aswellastothirdpartiesandtothedisputesettlementsystemasawhole.”3
　　
　　IIIssuesConcerningthe“adequacy”ofConsultations
　　Asnotedabove,theproceduresforconsultationsremainamandatoryfirststepinthedisputesettlementprocessundertheWTO.However,doesitmeanthatthereisarequirementfortheadequacyofconsultationsbeforeinitiatingapanelproceeding?
　　Withregardtothisissue,ontheonehand,thePanelonAlcoholicBeverages(DS75/DS84)findsthat,“theWTOjurisprudencesofarhasnotrecognizedanyconceptof‘adequacy’ofconsultations”,thePanelReportreadsinpertinentpart:4
　　“Inourview,theWTOjurisprudencesofarhasnotrecognizedanyconceptof‘adequacy’ofconsultations.TheonlyrequirementundertheDSUisthatconsultationswereinfactheld,orwereatleastrequested,andthataperiodofsixtydayshaselapsedfromthetimeconsultationswererequestedtothetimearequestforapanelwasmade.Whattakesplaceinthoseconsultationsisnottheconcernofapanel.ThepointwasputclearlybythePanelinBananasIII,whereitwasstated:
　　‘Consultationsare[…]amatterreservedfortheparties.TheDSBisnotinvolved;nopanelisinvolved;andtheconsultationsareheldintheabsenceoftheSecretariat.Whileamutuallyagreedsolutionistobepreferred,insomecasesitisnotpossibleforpartiestoagreeuponone.Inthosecases,itisourviewthatthefunctionofapanelisonlytoascertainthattheconsultations,ifrequired,wereinfactheld.[…]’
　　Wedonotwishtoimplythatweconsiderconsultationsunimportant.Quitethecontrary,consultationsareacriticalandintegralpartoftheDSU.But,wehavenomandatetoinvestigatetheadequacyoftheconsultationprocessthattookplacebetweenthepartiesandwedeclinetodosointhepresentcase.”
　　Ontheotherhand,theAppellateBodyinMexico-HFCS（DS132）（21.5）rulesthat,“asageneralmatter,consultationsareaprerequisitetopanelproceedings.However,thisgeneralpropositionissubjecttocertainlimitations.”TheAppellateBodyReportreadsthere:5
　　“Article4oftheDSUsetsforthanumberofotherprovisionswithrespecttoconsultations.Werecallthat,inourReportinBrazil-Aircraft,weobservedthat:
　　Articles4and6oftheDSU,aswellasparagraphs1to4ofArticle4oftheSCMAgreement,setforthaprocessbywhichacomplainingpartymustrequestconsultations,andconsultationsmustbeheld,beforeamattermaybereferredtotheDSBfortheestablishmentofapanel.
　　Thegeneralprocessthatwedescribedinthatcasealsoappliesindisputesbroughtunderothercoveredagreements.Thus,asagen

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