Chapter Ⅲ
Initiation of Panel Procedures


OUTLINE

Section One Role of Consultations: Art. 4
I The Importance of Consultations
II Issues Concerning the “adequacy” of Consultations
Section Two Establishment of Panels: Art. 6.2
I Introduction
II Indication of Consultations Process
III Identification of “the specific measures at issue”
IV Provision of “a brief summary of the legal basis of the complaint”
V Concluding Remarks
Section Three Terms of Reference of Panels: Art. 7
I Introduction
II Effect of Consultations on Terms of Reference of Panels
III The “matter referred to the DSB”
Section Four The Mandate of Compliance Panels: Art. 21.5
I Introduction
II Clarification of “measures taken to comply”
III Perspective of Review under Art.21.5
IV Examination of the New Measure in Its Totality and in Its Application
Section Five Third Party Rights : Art. 10
I Introduction
II Generic Third Party Rights: Interpretation of Art. 10.3
III Extended Third Party Rights: Exercise of Panels’ Discretion
IV Summary and Conclusions





Section One
Role of Consultations: Art. 4

The procedures for consultations under the WTO, significantly different from the procedures for good offices, conciliation or mediation as prescribed in Art. 5 of the DSU which remains voluntary options if the parties to the dispute so agree, remains a mandatory first step in the dispute settlement process as embodied with text of Art. 4 of the DSU. However, as to be shown below, there is something to be clarified so as to understand appropriately the role of consultations under the WTO dispute settlement mechanism.

I The Importance of Consultations
The practice of GATT contracting parties in regularly holding consultations is testimony to the important role of consultations in dispute settlement. Art. 4.1 of the DSU recognizes this practice and further provides that: “Members affirm their resolve to strengthen and improve the effectiveness of the consultation procedures employed by Members.” A number of reports made by panels or by the Appellate Body under the WTO have recognized the value of consultations within the dispute settlement process.
As noted by a panel, Members’ duty to consult concerns a matter with utmost seriousness: “Compliance with the fundamental obligation of WTO Members to enter into consultations where a request is made under the DSU is vital to the operation of the dispute settlement system. Article 4.2 of the DSU provides that ‘[e]ach Member undertakes to accord sympathetic consideration to and afford adequate opportunity for consultation regarding any representations made by another Member concerning measures affecting the operation of any covered agreement taken within the territory of the former’. Moreover, pursuant to Article 4.6 of the DSU, consultations are ‘without prejudice to the rights of any Member in any further proceedings’. In our view, these provisions make clear that Members' duty to consult is absolute, and is not susceptible to the prior imposition of any terms and conditions by a Member.” 1
Another panel addresses the essence of consultations, and they rule there that: “Indeed, in our view, the very essence of consultations is to enable the parties gather correct and relevant information, for purposes of assisting them in arriving at a mutually agreed solution, or failing which, to assist them in presenting accurate information to the panel.”2
The Appellate Body confirms panels’ rulings in this respect. For example, the Appellate Body stresses those benefits afforded by consultations to the dispute settlement system in Mexico-HFCS（DS132）（21.5）as: “[…] Through consultations, parties exchange information, assess the strengths and weaknesses of their respective cases, narrow the scope of the differences between them and, in many cases, reach a mutually agreed solution in accordance with the explicit preference expressed in Article 3.7 of the DSU. Moreover, even where no such agreed solution is reached, consultations provide the parties an opportunity to define and delimit the scope of the dispute between them. Clearly, consultations afford many benefits to complaining and responding parties, as well as to third parties and to the dispute settlement system as a whole.”3

II Issues Concerning the “adequacy” of Consultations
As noted above, the procedures for consultations remain a mandatory first step in the dispute settlement process under the WTO. However, does it mean that there is a requirement for the adequacy of consultations before initiating a panel proceeding?
With regard to this issue, on the one hand, the Panel on Alcoholic Beverages (DS75/DS84) finds that, “the WTO jurisprudence so far has not recognized any concept of ‘adequacy’ of consultations”, the Panel Report reads in pertinent part:4
“In our view, the WTO jurisprudence so far has not recognized any concept of ‘adequacy’ of consultations. The only requirement under the DSU is that consultations were in fact held, or were at least requested, and that a period of sixty days has elapsed from the time consultations were requested to the time a request for a panel was made. What takes place in those consultations is not the concern of a panel. The point was put clearly by the Panel in Bananas III, where it was stated:
‘Consultations are […] a matter reserved for the parties. The DSB is not involved; no panel is involved; and the consultations are held in the absence of the Secretariat. While a mutually agreed solution is to be preferred, in some cases it is not possible for parties to agree upon one. In those cases, it is our view that the function of a panel is only to ascertain that the consultations, if required, were in fact held. […]’
河南省濮阳市人民政府


濮阳市人民政府关于印发濮阳市城镇退役士兵自谋职业优待办法的通知

濮政〔2011〕50号


各县（区）人民政府，高新区、工业园区管委会，市人民政府各部门：
《濮阳市城镇退役士兵自谋职业优待办法》已经市政府同意，现印发给你们，请认真贯彻执行。



二〇一一年六月十六日






濮阳市城镇退役士兵自谋职业优待办法

第一条 根据《中华人民共和国兵役法》、《国务院退伍义务兵安置条例》和《河南省退伍义务兵安置条例实施细则》，结合我市实际，为鼓励城镇退役士兵自谋职业，制定本办法。
第二条 本办法中所称城镇退役士兵，系指按照国家政策规定应在城镇安置就业的人民解放军和武装警察部队的退役义务兵、复员士官和转业士官（以下统称退役士兵）。
第三条 城镇退役士兵自谋职业坚持个人自愿、政府扶持的原则，政府对自谋职业的城镇退役士兵给予经济补助和政策优惠。
第四条 县级以上人民政府应加强对城镇退役士兵自谋职业工作的领导，根据退役士兵安置工作的实际情况，在本级财政预算中安排自谋职业专项经费，用于一次性经济补助，并组织有关部门共同做好退役士兵自谋职业工作。
第五条 申请自谋职业的退役士兵，应在市直及各县（区）规定的时间内向退伍安置部门提出书面申请，经退伍安置部门审查批准后，签订协议书，领取一次性扶持自谋职业经济补助。
第六条 下列退役士兵可申请享受自谋职业相关优待：
（一）退役义务兵入伍前系非农业户口且在户口所在地入伍，并占本地非农指标入伍的；
（二）复员士官入伍前系非农业户口，服现役满第一期或第二期规定年限的；
（三）在部队服役期间，经部队批准为5至8级残疾军人并在河南省民政厅备案的；
（四）在部队服役期间获得大军区（含大军区以上单位）授予荣誉称号和荣立二等功以上的；
（五）转业士官经省级安置部门批准接收并移交的。
第七条 自谋职业一次性经济补助标准：
（一）城镇退伍义务兵服役满2年，每人补助30000元，然后根据服役年限，从第3年起，每增加1年军龄增加3000元；
（二）转业士官服役满10年，每人补助50000元，然后从第11年起，每增加1年军龄增加3000元；
（三）服役期间荣立个人一等功的增发3000元，荣立个人二等功的增发2000元，荣立个人三等功的增发1000元；
（四）5至8级残疾军人，增加1000元；
以上标准适用于市直退役士兵，各县（区）可根据当地的经济情况自行制订。
第八条 已安置的退役士兵和转业士官，要求自谋职业的，一律不予批准。
第九条 自谋职业退役士兵的档案，由退伍安置部门移交到人社保障部门免费为其保管。
第十条 退役士兵自谋职业经济补助专项资金的来源：
（一）地方财政拨款。退役士兵自谋职业补助经费，由同级财政列入预算；
（二）实行安置任务有偿转移的资金；
（三）经济处罚。对应该完成安置任务，但拒绝接收，又不按规定落实有偿转移安置的单位，按每个安置人员6万元从其单位银行帐户中划拨或申请人民法院强制执行，纳入退役士兵安置任务有偿转移资金财政专户管理使用。
第十一条 安置任务有偿转移资金存入专户，实行收支两条线管理，专款专用。年终结余，可跨年度使用。
第十二条 城镇退役士兵自谋职业享受如下优惠政策：
（一）对城镇退役士兵自谋职业从事个体经营的，有关部门要简化手续，优先办理证照，优先安排场地和摊位；
（二）城镇退役士兵自谋职业从事个体经营的，工商、税务、文化、公安、卫生、烟草、交通、城建、技术监督等有关部门除收取证照工本费外，从办理营业执照之日起，3年内免收各项行政性收费；
（三）退役士兵自谋职业，从事个体经营或提供独立劳务服务的，按照财政部、国家税务总局《关于扶持城镇退役士兵自谋职业有关税收优惠政策的通知》（财税〔2004〕93号）的有关规定享受有关税收优惠政策；
（四）城镇退役士兵自谋职业，按国家有关规定参加养老、医疗、失业等社会保险，缴纳社会保险费，享受社会保险待遇；
（五）城镇退役士兵自谋职业，其军龄视为社会保险缴费年限，并和实际缴费年限合并计算；
（六）城镇退役士兵自谋职业，如被用人单位录用，无论单位所有制性质和组织形式，均应按国家有关规定享受同工种、同岗位、同工龄职工的福利待遇，其军龄计算为连续工龄；
（七）公安机关应允许自谋职业的城镇退役士兵配偶和子女按现行户籍管理政策在城镇落户，教育部门应帮助其解决子女入学问题；
（八）自谋职业的城镇退役士兵的党、团组织关系由乡（镇）、街道办事处接收管理；
（九）对自谋职业的城镇退役士兵，机关、企业、事业单位在招工、招聘人员时，在同等条件下应优先录用；
自谋职业的退役士兵，申请办理有关减免手续及申请享受优惠政策时，应当提供《城镇退役士兵自谋职业证》和《退伍证》。
第十三条 本办法自发布之日起施行。