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- THE DEVELOPMENT OF THE ASEAN
TRADE DISPUTE SETTLEMENT
MECHANISM: FROM DIPLOMACY
TO LEGALISM KOESRIANTI
- THE DEVELOPMENT OF THE ASEAN TRADE DISPUTE
SETTLEMENT MECHANISM: FROM DIPLOMACY TO LEGALISM
KOESRIANTI
A thesis submitted in accordance with the requirements for the award of
the Degree of Doctor of Philosophy,
Faculty of Law, University of New South Wales
2005
- ABSTRACT
In the late twentieth century international trade moved from a political multi-polar
system based on the nation-state to a system featuring unified regional trading regimes. An
inevitable feature of increased cooperation through bilateral, regional and international
arrangements is the emergence of disputes over the interpretation and implementation of
the agreed upon commitments. Accordingly, reliable mechanisms for the settlement of
trade related disputes have become necessary to ensure the effective and continued
functioning of these arrangements. Over the years these dispute settlement mechanisms
have evolved from the relatively simple, diplomacy based structures called for in the
GATT, to the detailed, legalistic, adjudication based mechanism found in the WTO.
Bilateral and regional initiatives, such as NAFTA and MERCOSUR, as well as the EU,
have similarly adopted dispute settlement mechanisms which adopt, in varying degrees,
legalistic adjudicatory processes. Since 1967 ASEAN has spearheaded the creation of a
regional trading bloc in the South East Asian region. As in other trading blocs, this has
inevitable led to the need to develop effective and workable dispute settlement
mechanisms.
This thesis examines the development of trade dispute settlement mechanisms in
ASEAN tracing its development from a model based on pragmatic diplomacy to a legalistic
adjudicatory system with particular reference to the ASEAN context. It examines the
extent to which the ASEAN context has influenced the content and the adoption of trade
dispute settlement mechanisms in the region, as well as the extent to which the recently
adopted 2004 Enhanced Protocol on Dispute Settlement can adequately address trade
disputes in the region while remaining sensitive and responsive to the ASEAN context.
Based on a comparative examination of dispute settlement mechanisms in other
trade agreements, a range of key procedural issues are identified and examined with a view
to identifying the prospects and challenges which ASEAN faces in the implementation of
its dispute settlement mechanism. The thesis analyses the prospects and challenges of
implementation the 2004 Enhanced Protocol on DSM.
II
- Acknowledgements
I acknowledge my gratitude to my supervisors, Associate Professor Rosemary
Rayfuse and Mr Bryan Mercurio for their encouragement, patience and invaluable
guidance. Also, I would like to thank the following: Professor David Dixon, Associate
Dean (Research) and Mr Angus Corbett, Associate Dean (Coursework) of the Law Faculty
the University of New South Wales for their support during the writing of my thesis; Kerry
Daley, Dawesh Chand, Gaha Reef, Annabel Sutherland, Tony Antoniou, and Reg Potter for
their assistance on administrative and IT support: Emily McCarron and Nikki Chong for
their assistance in proof reading this thesis; Mr Smara Dahana for information on ASEAN.
I also thank Mr Machsoen Ali, Dean of the Law Faculty of the Airlangga University
and his staff for their support during my study; my friends, Laylee Tang, Dan Svantesson,
Robin Huang, Marie Ange, Scot Calnan, Cathy Hunter and Cassandra Goldie for making
the Julius Stone PG room like home. I wish to record my gratitude to my friends, including
but not limited to, Umi, Maria and Sony, Diah, Zaafri and Ayu, Made Andi, Srie and
Richard, Nurul and Yudi, and Nestri for their support in making my stay in Sydney as a
PhD student as enjoyable and lively as possible. Thanks also go to my friend Dina
Sunyowati and my sisters and brothers, in particular, my sister Tri Andjarwati for their help
while I was away from home. Finally, special thanks go to my beloved husband, Saiffudin
Zuhri and my inspiring children, Andin and Avi who have supported me throughout my
study. They are everything to me.
III
- ABSTRACT............................................................................................................. II
ACKNOWLEDGEMENTS ...................................................................................... III
FIGURES ................................................................................................................X
FLOWCHART .........................................................................................................X
APPENDICES .........................................................................................................X
LIST OF SELECTED ABBREVIATIONS ...............................................................XI
TABLE OF CASES ..............................................................................................XIII
ASEAN TIME LINES........................................................................................... XVI
TABLE OF TREATIES AND DECLARATIONS................................................. XVII
INTRODUCTION..................................................................................................... 1
FORMULATION OF THE PROBLEM ........................................................................................................ 1
THE OBJECTIVE OF THE STUDY ............................................................................................................. 3
THE FRAMEWORK FOR ENQUIRY.......................................................................................................... 4
THE OUTLINE AND SCOPE OF THE STUDY .......................................................................................... 4
CHAPTER 1 – THE HISTORY, DEVELOPMENT AND STRUCTURE OF ASEAN 7
1.0 Introduction ................................................................................................................................................ 7
1.1 The ‘South East Asian’ Area ..................................................................................................................... 8
1.1.1 Early History ....................................................................................................................................... 8
1.1.2 The meaning of ‘South East Asia’ ................................................................................................... 10
1.1.3 The development of a ‘South East Asian’ identity- the SEATO Years ........................................ 11
1.2. The Formation of ASEAN ...................................................................................................................... 13
1.2.1 The early years .................................................................................................................................. 13
1.2.2 The Bangkok Declaration, 1967 ...................................................................................................... 14
1.2.3. The Bali Summit of 1976 ................................................................................................................. 15
1.3 The ASEAN Profile .................................................................................................................................. 17
1.4 The Organizational Structure of ASEAN............................................................................................... 24
1.4.1 The ASEAN Heads of Government Meeting (ASEAN Summit Meeting) ................................... 25
1.4.2 Ministerial Level Meetings............................................................................................................... 26
IV
- 1.4.3 ASEAN Standing Committee (ASC) ............................................................................................... 28
1.4.4 ASEAN Secretariat ........................................................................................................................... 29
1.4.5 The ASEAN National Secretariats .................................................................................................. 30
1.4.6 Other Organs .................................................................................................................................... 31
1.4.7 ASEAN committees in third countries (‘Dialogue Partners’) ....................................................... 31
1.5 Decision making in ASEAN ..................................................................................................................... 32
1.5.1 The musyawarah and muafakat ....................................................................................................... 32
1.5.2 The ASEAN Way: Consensus in ASEAN ....................................................................................... 34
1.5.3 Implementation of decisions ............................................................................................................ 39
1.6 The legal personality of ASEAN.............................................................................................................. 41
1.7 Conclusion................................................................................................................................................. 49
CHAPTER 2 – ASEAN AS A REGIONAL ECONOMIC ORGANIZATION ........... 52
2.0 Introduction .............................................................................................................................................. 52
2.1. The Beginnings of Trade Liberalization in ASEAN ............................................................................. 53
2.1.1 The Bali Concord I 1976 .................................................................................................................. 53
2.1.2 ASEAN Industrial Project, the ASEAN Industrial Complementation Scheme and the ASEAN
Industrial Joint Venture............................................................................................................................ 55
2.1.3 ASEAN Preferential Trading Arrangements Agreement 1977 .................................................... 58
2.1.4. Formation of the ASEAN Free Trade Area (AFTA) .................................................................... 61
2.1.5. The ASEAN Industrial Cooperation Scheme (AICO) .................................................................. 66
2.1.6 The ASEAN Investment Area (AIA) ............................................................................................... 68
2.1.7. The ASEAN Framework Agreement on Services (AFAS) ........................................................... 71
2.2 Development of the ASEAN Economic Region...................................................................................... 73
2.2.1 The Asian financial crisis ................................................................................................................. 73
2.2.2 The ASEAN Vision 2020 .................................................................................................................. 76
2.2.3 The Hanoi Plan of Action (HPA) (1997-2004) and its succeeding plans ...................................... 78
2.3 Free Trade Agreements with external countries ................................................................................... 85
2.4 Towards an ASEAN Economic Community .......................................................................................... 87
2.4.1 The Bali Concord II of 2003............................................................................................................. 87
2.4.2 The ASEAN Security Community (ASC) ....................................................................................... 88
2.4.3 The ASEAN Socio-Cultural Community (ASCC) ......................................................................... 91
2.4.4 The ASEAN Economy Community (AEC) ..................................................................................... 92
2.4.5 The deadline for the establishment of the ASEAN Community ................................................... 97
2.5 Conclusion................................................................................................................................................. 99
CHAPTER 3 – DISPUTE SETTLEMENT MECHANISMS IN OTHER MAJOR
ECONOMIC ORGANIZATIONS ......................................................................... 102
3.0 Introduction ............................................................................................................................................ 102
3.1 The European Community (EC) ........................................................................................................... 104
3.1.1 Brief Introduction to the organisation and its goals .................................................................... 104
3.1.2 The EC dispute settlement system ........................................................................................... 106
V
- 3.1.3 Permanent vs. ad hoc panels .......................................................................................................... 107
3.1.4 Independence of judicial officers ................................................................................................... 109
3.1.5 Private party rights to appear ....................................................................................................... 110
3.1.6 The precedential value of decisions ............................................................................................... 112
3.1.7 The adoption of decisions ............................................................................................................... 113
3.1.8 The enforceability of decisions....................................................................................................... 114
3.2 The General Agreement on Tariffs and Trade (GATT) ..................................................................... 117
3.2.1 Brief introduction to the organisation and its goals..................................................................... 117
3.2.2 The GATT dispute settlement system ........................................................................................... 119
3.2.3 Permanent vs. ad hoc panels .......................................................................................................... 122
3.2.4 The independence of panellists ...................................................................................................... 123
3.2.5 Private party rights to appear ....................................................................................................... 125
3.2.6 The precedential value of decisions ............................................................................................... 125
3.2.8 The enforceability of decisions....................................................................................................... 127
3.3 The World Trade Organization (WTO) ............................................................................................... 128
3.3.1 Brief introduction to the organisation and its goals..................................................................... 128
3.3.2 The WTO dispute settlement system ....................................................................................... 129
3.3.3 Permanent vs. ad hoc panels .......................................................................................................... 130
3.3.4 The independence of panellists ...................................................................................................... 132
3.3.5 Private party rights to appear ....................................................................................................... 133
3.3.6 The precedential value of decisions ............................................................................................... 134
3.3.7 The adoption of decisions ............................................................................................................... 135
3.3.8 The enforceability of decisions....................................................................................................... 136
3.4 North American Free Trade Agreement (NAFTA)............................................................................. 137
3.4.1 Brief introduction of the organisation and its goals..................................................................... 137
3.4.2 The NAFTA dispute settlement system......................................................................................... 138
3.4.3 Permanent vs. ad hoc panels .......................................................................................................... 139
3.4.4 The independence of panellists ...................................................................................................... 141
3.4.5 Private party rights to appear ....................................................................................................... 143
3.4.6 The precedential value of decisions ............................................................................................... 144
3.4.7 The adoption of decisions ............................................................................................................... 146
3.4.8 The enforceability of decisions....................................................................................................... 147
3.5 The Mercado Comun del Sur or Common Market of the Southern Cone (MERCOSUR) ............. 148
3.5.1 Brief introduction to the organisation and its goals..................................................................... 148
3.5.2 The MERCOSUR dispute settlement system ............................................................................... 149
3.5.3 Permanent vs. ad hoc panels .......................................................................................................... 151
3.5.4 The independence of panellists ...................................................................................................... 152
3.5.5 Private party rights to appear ....................................................................................................... 153
3.5.6 The precedential value of decisions ............................................................................................... 154
3.5.7 The adoption of the decisions ......................................................................................................... 155
3.5.8 The enforceability of decisions....................................................................................................... 155
3.6 Conclusion............................................................................................................................................... 156
CHAPTER 4 – KEY PROCEDURAL ISSUES OF DISPUTE SETTLEMENT
MECHANISMS: TOWARDS A RELIABLE MECHANISM.................................. 158
4.0 Introduction ............................................................................................................................................ 158
4.1 Diplomatic dispute settlement processes .............................................................................................. 160
VI
- 4.1.1 Consultation .................................................................................................................................... 160
4.1.2 Good offices, conciliation and mediation ...................................................................................... 163
4.2 Adjudication Dispute Settlement Processes ......................................................................................... 164
4.2.1 Ad hoc vs. Permanent Panels ......................................................................................................... 164
4.2.2 Qualifications of panellists ............................................................................................................. 170
4.2.3 The independence of panellists ...................................................................................................... 172
4.3 The Issue of Transparency..................................................................................................................... 174
4.3.1 Transparency in trade organisations ............................................................................................ 174
4.3.2 Transparency in panel proceedings .............................................................................................. 176
4.3.3 Transparency and the parties’ submissions ................................................................................. 178
4.3.4 Transparency and public meetings ............................................................................................... 179
4.4 Participation of private individuals ...................................................................................................... 181
4.4.1 As counsel ........................................................................................................................................ 181
4.4.2 As litigant......................................................................................................................................... 183
4.4.3 As amicus curiae ............................................................................................................................. 186
4.4.4 As third party intervenor ............................................................................................................... 196
4.5 The Precedential effect of decisions ...................................................................................................... 199
4.5.1 Stare decisis and the Doctrine of Precedence ................................................................................ 199
4.5.2 Precedential effect of decisions ...................................................................................................... 201
4.6 The Desirability of appeal processes ..................................................................................................... 203
4.7 Enforceability of Decisions .................................................................................................................... 205
4.7.1 Adoption of decisions ...................................................................................................................... 205
4.7.2 The binding effect of decisions ....................................................................................................... 205
4.7.3 Implementation of decisions .......................................................................................................... 210
4.7.4 The effect of non-compliance with decisions ................................................................................ 211
4.8 Conclusion............................................................................................................................................... 219
CHAPTER 5 – TRADE DISPUTE SETTLEMENT IN ASEAN UP TO AFTA AND
THE 1996 PROTOCOL ....................................................................................... 222
5.0 Introduction ............................................................................................................................................ 222
5.1 The Early Approach to Trade Dispute Settlement in ASEAN ........................................................... 223
5.2 Dispute settlement under AFTA ........................................................................................................... 229
5.2.1 The need for trade dispute settlement mechanism....................................................................... 229
5.2.2 The AFTA dispute settlement regime ........................................................................................... 230
5.2.3. The AFTA dispute settlement machinery .................................................................................... 233
5.2.4 An Assessment of the AFTA regime.............................................................................................. 234
5.3. The 1996 Protocol on Dispute Settlement Mechanism (the 1996 Protocol) ...................................... 237
5.3.1. Consultations .................................................................................................................................. 239
5.3.2 Good Offices, Conciliation and Mediation ................................................................................... 241
5.3.3 Panels ............................................................................................................................................... 241
5.3.4 Appellate Review ............................................................................................................................ 245
5.3.5 The Implementation of Recommendations/Rulings and Time Limits ....................................... 246
VII
- 5.3.6 An assessment of the 1996 Protocol............................................................................................... 246
5.6 Conclusion............................................................................................................................................... 249
CHAPTER 6 – THE ASEAN PROTOCOL ON ENHANCED DISPUTE
SETTLEMENT MECHANISM (THE 2004 PROTOCOL)..................................... 250
6.0 Introduction ............................................................................................................................................ 250
6.1 Dispute resolution under the Bali Concord II...................................................................................... 250
6.1.1 ASEAN Legal Unit (Advisory Mechanisms) ................................................................................ 252
6.1.2. The ASEAN Consultation to Solve Trade and Investment Issues (ACT) stage (Consultative
mechanisms) ............................................................................................................................................. 253
6.1.3 The ASEAN Compliance Monitoring Body (ACMB) or the ASEAN Compliance Board (ACB) -
(Compliance mechanisms) ...................................................................................................................... 254
6.2 An assessment of the dispute settlement mechanisms under the Bali Concord II ............................ 255
6.3 The ASEAN Protocol on Enhanced Dispute Settlement Mechanism (the 2004 Protocol) ............... 256
6.3.1 Consultations ................................................................................................................................... 257
6.3.2 The Panel Process ........................................................................................................................... 260
6.4 Appeal procedure ................................................................................................................................... 267
6.4.1 Appeal review process .................................................................................................................... 269
6.4.2 Adoption of appellate review report ............................................................................................. 271
6.5 Transparency .......................................................................................................................................... 272
6.5.1 Written submissions ....................................................................................................................... 273
6.5.2 Public meetings ............................................................................................................................... 275
6.5.3 Amicus Curiae ................................................................................................................................. 276
6.6 Implementation....................................................................................................................................... 278
6.6.1 The surveillance of implementation of findings and recommendations..................................... 278
6.6.2 Compensation and the suspension of concessions ........................................................................ 279
6.6.3 Arbitration ...................................................................................................................................... 281
6.6.4 Surveillance ..................................................................................................................................... 281
6.6.5 Fund/Cost ........................................................................................................................................ 282
6.6.6 Time Frame ..................................................................................................................................... 283
6.6.8 The independence of the system .................................................................................................... 284
6.7 Conclusion............................................................................................................................................... 285
CHAPTER 7 – CONCLUSION ............................................................................ 287
APPENDIX I ........................................................................................................ 301
APPENDIX II ....................................................................................................... 308
APPENDIX III ...................................................................................................... 318
VIII
- BIBLIOGRAPHIES ............................................................................................. 335
IX
- Figures
Figure 1: ASEAN Organization Structure ----------------------------------------------- 23
Figure 2: ASEAN Secretariat Organization Structure --------------------------------- 29
Flowchart
Flowchart Dispute Settlement Mechanism in ASEAN --------------------------------247
Appendices
Appendix I: The Bali Concord II - -------------------------------------------------------- 301
Appendix II: The 1996 Protocol ----------------------------------------------------------- 308
Appendix III: The 2004 Protocol ---------------------------------------------------------- 318
X
- List of selected abbreviations
AC ASEAN Community
ACB ASEAN Compliance Board
ACMB ASEAN Compliance Monitoring Body
ACP African Caribbean Pacific
ACT ASEAN Consultative to Solve Trade and Investment issues
AD/CVD Anti Dumping/Countervailing Duty
ADF ASEAN Development Fund
AEC ASEAN Economic Community
AEM ASEAN Economic Ministers
AFAS ASEAN Framework Agreement on Services
AFMM ASEAN Finance Ministerial Meeting
AFTA ASEAN Free Trade Area
AHG ASEAN Head Government
AIA ASEAN Investment Area
AIC ASEAN Industrial Complementation Scheme
AICO ASEAN Industrial Cooperation Scheme
AIJV ASEAN Industrial Joint Venture
AIP ASEAN Industrial Project
AMM ASEAN Ministerial Meeting
ANZERTA Australia and New Zealand Economic Relations
APT ASEAN Plus Three
ARF ASEAN Regional Forum
ASA Association for Southeast Asia
ASC ASEAN Standing Committee
ASC ASEAN Security Community
ASCC ASEAN Social Cultural Community
ASFOM ASEAN Senior Finance Official Meeting
BBC Brand to Brand Complementation
CEP Closer Economic Partnership
CEPT Common Effective Preferential Tariff Scheme
CFI Court of First Instance
CFSP Common Foreign and Security Policy
CLMV Cambodia, Laos, Myanmar and Vietnam
CMG Common Market Group
DSB Dispute Settlement Body
DSU Dispute Settlement Understanding/Understanding on Rules &
Procedures Governing the Settlement of Dispute
EC European Community
ECC Extraordinary Challenge Committee
ECJ European Court of Justice
ECSC European Coal and Steel Community
EEC European Economic Community
EMU Economic and Monetary Union
XI
- EU European Union
EURATOM European Atomic Energy Community
FTAA Free Trade Area of America
GATS General Agreement on Trade and Services
GATT General Agreement on Tariffs and Trade
HLTF High Level Task Force
HPA Hanoi Plan of Action
IAI Initiative for ASEAN Integration
ICJ International Court of Justice
ICSID International Centre fore the Settlement of Investment Dispute
ITO International Trade Organization
JHA Justice and Home Affairs
MAPHILINDO Malaya, Philippines and Indonesia
MERCOSUR Mercado Comun de Sur/Common Market of the Southern Cone
MFN Most Favoured Nation
NAFTA North American Free Trade Agreement
NGOs Non-government Organization
OECD Organization for Economic Cooperation and Development
PTAs Preferential Trading Arrangement
RIA Roadmap for the Integration of ASEAN
SEATO South East Asia Treaty Organization
SEOM Senior Economic Officials Meeting
SOM Senior Official Meeting
TAC Treaty of Amity and Cooperation
UNCITRAL United Nations Commission on International Trade Law
VAP Vientiane Action Program
WTO World Trade Organization
XII
- Table of cases
A. The European Union
C-387/97, Court of Justice of the EC, (4 July 2000) (Directives 75/442/EEC)
C-394/96 [1998] ECR I-4185 (Brown v Rentokil)
Case 106/77, Amministrazione Delle Finanze Dello Stato v Simmenthal SPA, [1978] ECR
629; [1978] 3 CMLR 263
Case 141/78 France v United Kingdom [1979] ECR 2923
Case 25/62, Plaumann v Commission [1963] ECR 106
Case 6/64 (1964) European Court Reports (ECR) 585 at 593
Keck and Mithouard case, Joined cases C-267/91 and C-268//91 [1993] ECR I-6097
Larsson v Fotex Supermarked, case C-400/95 [1997] ECR I-2757
Merck and Others v Primecrown and Others and Beecham and Europharm, joined cases C-
267/95 and C-268/95 [1996] ECR I-6285
Merck v Stephar and Exler, case 187/80 [1981] ECR 2063
B. GATT/WTO
Panel Report, European Communities – Measures Concerning Meat and Meat Products
(Hormones), WT/DS26/R/USA, 18 August 1997; Appellate Body Report, WTO Doc.
WT/DS26/AB/R, WT/DS48/AB/R, adopted 13 February 1998; Arbitration Art. 21.3 (c)
WT/DS26/15, WT/DS48/13, 29 May 1998; Recourse to Art. 22.6 Arbitration Report, WTO
Doc. WT/DS26/ARB adopted, 12 July 1999
Brazil-Measures Affecting Patent Protection, WT/DS199/4, 19 July 2001
European Communities- Regime for the Importation, Sale and Distribution of Bananas,
WTO Panel Report, WT/DS27/R/ECU (22 May 1997);Appellate Body Report,
WT/DS27/AB/R, 9 Sept 1997; Arbitration Art 21.3 (c), WT/DS27/15, 7 January 1998;
Arbitration Art 21.5, WT/DS27/RW/EEC and Corr 1, 12 April 1999; Recourse to
Arbitration by the European Communities under Art.22.6, WTO Doc. WT/DS27/ARB, 9
April 1999
European Communities-Measures Affecting Asbestos and Asbestos-Containing Products,
Panel Report, WT/DS135/R, 18 Sep 2000, Appellate Body Report, WTO Doc.
WT/DS135/AB/R, 12 March 2001
European Communities-Trade Description of Sardines, Panel Report, WTO Doc.
WT/DS231/R, 29 May 2002, Report of the Appellate Body, WTO Doc. WT/DS231/AB/R,
26 September 2002
Helms-Burton Case, The US-The Cuban Liberty and Democratic Solidarity Act,
WT/DS38/2/Corr.1 (Oct.14, 1996); the Helms-Burton Act or Cuban Liberty and
Democratic Solidarity Act of 1996, Pub.L.No.104-14, 110 Stat. 785 (1996)
XIII
- Japan-Taxes on Alcoholic Beverages, Appellate Body Report, WTO Doc. WT/DS8, 10,
11/AB/R, 4 October 1996
Korea – Definitive Safeguard Measure on Import of Certain Dairy Products, Panel Report,
WTO Doc. WT/DS98/1 (21 June 1999); Appellate Body Report, WT/DS98/R (14
December 1999)
Panel report, Korea-Taxes on Alcoholic Beverages, Panel Report WT/DS75/R,
WT/DS84/R, adopted 17 September 1998, as modified by the Appellate Body Report,
WT/DS75/AB/R, WT/DS84/AB/R, 18 Jan 1999
The Australian Subsidy case (complaint by Chile), Report adopted by the CONTRACTING
PARTIES, Australia-Subsidy on Ammonium Sulphate (Apr 3, 1950) GATT B.I.S.D (2d
Supp, 188 (1952)
The Brazil measures affecting desiccated coconut- Report of the Appellate Body,
WT/DS22/AB/R, 21 Feb 1997
The US-Final Dumping Determination on Softwood Lumber from Canada, WTO Doc.
WT/DS264/R, 22 March 2004 (Report of the Panel), adopted as modified by the Appellate
Body Aug 31, 2004; Arbitration Art 21.5, WTO Doc. WT/DS277/RW, 15 November 2005
United States-Standards for Reformulated and Conventional Gasoline, the WTO Panel
Report WT/DS2/R, 29 January 1996; Appellate Body Report, WT/DS2/AB/R, 29 April
1996
United States-Anti Dumping Duty on DRAMs of One Megabit or Above From Korea, WTO
Doc. WT/DS99/R (29 January 1999); WTO Article 21.5 Panel Report, US- DRAMs,
Recourse to Art 21.5 DSU, WT/DS99/RW (7 November 2000)
US-Shrimp/Turtle, United States- Import Prohibition of Certain Shrimp and Shrimp
Products, WT/DS58/R; WTO Panel Report, US-Shrimp/Turtle, WT/DS58/AB/RW (15 may
1998); WTO Appellate Body Report, US-Shrimp/Turtle, WT/DS58/AB/R (6 November
1998); WTO Article 21.5 Panel Report, US – Shrimp/Turtle Recourse to Article 21.5 of the
DSU by Malaysia, WT/DS58/RW (15 June 2001); WTO Article 21.5 Appellate Body
Report, US – Shrimp/Turtle Recourse to Article 21.5 of the DSU by Malaysia,
WT/DS58/RW (21 November 2001)
WTO Panel Report, United States-Imposition of Countervailing Duties on Certain Hot-
Rolled Lead and Bismuth Carbon Steel Products Originating in the United Kingdom,
WT/DS138/R (23 December 1999); (WT/DS138/R/Corr.2); WTO Appellate Body Report,
US-Lead Bismuth WT/DS138/AB/R (10 May 2000)
WTO Panel Report, Indonesia-Certain Measures Affecting the Automobile Industry,
WT/DS54/R, WT/DS55/R, WT/DS59/R, WT/DS64/R, (2 July 1998)
XIV
- Malaysia and Singapore, WTO Documents: WT/DS1/1, request for consultation, 10
January 1995
C. NAFTA
In re High Fructose Corn Syrup from U.S.A., Mex-USA-98-1904-01 (August 3, 2001)
available at http://www.nafta-sec-alena.org/images/pdf/ma98010e.pdf
Cross-Border Trucking Services (US v. Mex), Arbitral Panel Established Pursuant to
Chapter 20 of the NAFTA, No. USA-Mex-98-2008-01 (2001),
- ASEAN Time Lines
1967 : ASEAN was established by the ASEAN Declaration 1967
: The 1st ASEAN Summit (ASEAN signed the Bali Concord I, the Treaty of
1976
Amity and Cooperation in Southeast Asia/TAC, and established the
Secretariat)
1977 : ASEAN issued the ASEAN Preferential Trade Arrangements (PTAs)
1984 : Brunei Darussalam is formally admitted as the ASEAN Member
1992 : ASEAN formally agreed to establish AFTA
1995 : The signing of ASEAN Framework Agreement on Services (AFAS)
1995 : Viet Nam was admitted as a member of ASEAN
1996 : The ASEAN leaders signed the ASEAN Industrial Cooperation Scheme
(AICO) and the ASEAN Protocol on Dispute Settlement Mechanism (the
ASEAN DSM)
1997 : ASEAN leaders adopted the ASEAN Vision 2020
1997 : Laos and Myanmar were admitted as members of ASEAN
1998 : ASEAN adopted the ASEAN Investment Area (AIA)
1997-1999 : Asian financial crisis
1999 : The ASEAN leaders adopted the Hanoi Plan of Action (HPA) (1999-2004)
1999 : Cambodia was admitted as a member of ASEAN
2000 : The Initiatives for ASEAN Integration (IAI)
2003 : The Roadmap for Integration of ASEAN (RIA)
: The 9th ASEAN Summit (the Bali Concord II)
2003
The ASEAN Leaders agreed to establish ASEAN Community (AC)
comprises of ASEAN Security Community (ASC), ASEAN Economic
Community (AEC) and the ASEAN Socio-Cultural Community (ASCC) by
the year 2020
2004 : ASEAN adopted the Vientiane Action Programme (VAP/2004-2008)
2004 : ASEAN signed the ASEAN Protocol on Enhanced Dispute Settlement
Mechanism (the 2004 Protocol)
XVI
- Table of Treaties and Declarations
Treaty of Rome establishing the European Economic Community, 25 March 1957, 298
UNTS 11, < http://europa.eu.int/abc/obj/treaties/en/entoc05.htm >
Treaty establishing the European Atomic Energy Community, 25 March 1957, 298 UNTS
167, < http://europa.eu.int/abc/obj/treaties/en/entoc38.htm>
Treaty of Paris establishing the ECSC, 18 April 1951, 261 UNTS 140;
Treaty on EU, done at Maastricht February 7, 1992 and entered into force November 1,
1993, 31 I L M 247 (1992), commonly as the Maastricht Treaty or Treaty on European
Union, < http://europa.eu.int/en/record/mt/top.html>
GATT preamble, < http://www.wto.org/english/docs_e/legal_e/gatt47_01_e.htm >
Marakesh Agreement establishing the WTO, 15 April 1994, <
http://www.wto.org/english/docs_e/legal_e/04-wto.doc
DSU Review: Decision on the Application and Review of the Understanding on Rules and
Procedures Governing the Settlement of Disputes, Apr. 15, 1994, 33 I.L.M.1125,1259 or
DSU Review: Ministerial Declaration (Doha Declarations) of 2001, paragraph 30 (dispute
settlement),
http://www.wto.org/english/thewto_e/minist_e/min01_e/mindecl_e.htm#dispute
NAFTA Documents relating to Dispute Settlement Procedures, December 17, 1992, at 32
ILM 289 (1993) (preamble to chapter 10), 32 ILM 605 (1993) (chapter 10 to Errata table),
reprinted in Ralp H Folson, Michael W Gordon and John A Spanogle, Handbook of NAFTA
Dispute Settlement, (1998)
North American Agreement on Environment Cooperation, Sept 14, 1993, Can-Mex-US, 32
I.L.M. 1480
North American Agreement on Labor Cooperation, Sept 14, 1993, Can-Mex-US, 39 I.L.M
1499
ASEAN Declaration 1967, text at http://www.aseansec.org/1212.htm
Treaty of Amity and Cooperation in South East Asia (TAC), signed at the Bali Conference,
1st ASEAN Summit, February 24, 1976, see http://www.aseansec.org/1654.htm
XVII
- Declaration of ASEAN Concord (Bali Concord I), done at Bali, 24 February 1976, see
http://www.aseansec.org/1216.htm
Declaration of ASEAN Concord II (Bali Concord II), done at Bali, 10 October 2003 see
http://www.aseansec.org/15160.htm
Agreement between the Government of Indonesia and ASEAN Relating to the Privileges
and Immunities of the ASEAN Secretariat, 20 January 1979, at
http://www.aseansec.org/1268.htm
Singapore Declaration of 1992, Jan 28, 1992, see http://www.aseansec.org/1396.htm or 31
I.L.M 498 (1992)
The Treaty of Asuncion, Mar. 26, 1991, art 1, (1991) 30 International Legal Materials
1041
Additional Protocol to the Treaty of Asuncion on the Institutional Structure of
MERCOSUR (“Protocol of Ouro Preto”), date of signature, 17 December 1994, entry into
force, 15 December 1995, see, (1995) 34 International Legal Materials 1244.
The Olivos Protocol for the Settlement of Disputes in MERCOSUR, done February 18,
2002, 42 I.L.M.2 (2003)
The Brasilia Protocol for the Settlement of Disputes, 36 I.L.M. 691 (1997
Protocol Colonia and Buenos Aires
- INTRODUCTION
FORMULATION OF THE PROBLEM
The late twentieth century saw a new wave of regionalism sweep the world, as
international trade moved from a political multi-polar system based on the nation-state to a
system featuring unified regional trading regimes as evidenced in the formation of new
trading blocs around globe, such as the European Union (the EU), the North American Free
Trade Area (NAFTA), the Mercado Comun del Sur (MERCOSUR), and the Association of
South East Asian Nations (ASEAN). This shift followed on from the development of the
multilateral trading system beginning in the years following World War II in the form of
the General Agreement on Tariffs and Trade (GATT) and culminating in the agreement to
establish the World Trade Organization (the WTO) in 1995. But multilateralism has not
worked entirely as anticipated, and increased membership and ‘consensus’ decision-making
has slowed progress and stalled the liberalisation process. Thus, many states begin to
believe that by entering into regional trade blocs as well as international trade agreements
states would be able to increase their competitive advantages as well as their internal and
international market share. While the merits of bilateral and regional trade are still being
debated, it is clear that these agreements share similar objectives to that of the multilateral
system of each other, namely to raise living standards through expanding production and
trade in goods and services.
An inevitable feature of increased cooperation through bilateral, regional and
international arrangements is the emergence of disputes over the interpretation and
implementation of the agreed upon commitments. In particular, disputes have arisen due to
conflicting interests, needs, or opinions of participating states. Accordingly, reliable
mechanisms for the settlement of trade related disputes have become necessary to ensure
the effective and continued functioning of these arrangements. Over the years these dispute
settlement mechanisms have evolved from the relatively simple, diplomacy based
structures called for in the GATT which consisted of a mere two short paragraphs of treaty
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