Article 22 Compensation and the Suspension of Concessions第22条 补偿和中止减让

1. Compensation and the suspension of concessions or other obligations are temporary measures available in the event that the recommendations and rulings are not implemented within a reasonable period of time. However, neither compensation nor the suspension of concessions or other obligations is preferred to full implementation of a recommendation to bring a measureinto conformity with the covered agreements. Compensation is voluntary and, if granted, shall be consistent with the covered agreements.

1．补偿和中止减让或其他义务属于在建议和裁决未在合理期限内执行时可获得的临时措施。但是，无论补偿还是中止减让或其他义务均不如完全执行建议以使一措施符合有关适用协定。补偿是自愿的，且如果给予，应有关适用协定相一致。

 

2. If the Member concerned fails to bring the measure found to be inconsistent with a covered agreement into compliance therewith or otherwise comply with the recommendations and rulings within the reasonable period of time determined pursuant to paragraph 3 of Article 21, such Member shall, if so requested, and no later than the expiry of the reasonable period of time, enter into negotiations with any party having invoked the dispute settlement procedures, with a view to developing mutually acceptable compensation. If no satisfactory compensation has been agreed within 20 days after the date of expiry of the reasonable period of time, any party having invoked the dispute settlement procedures may request authorization from the DSB to suspend the application to the Member concerned of concessions or other obligations under the covered agreements.

2．如有关成员未能使被认定与一适用协定不一致的措施符合该协定，或未能在按照第21条第3款确定的合理期限内符合建议和裁决，则该成员如收到请求应在不迟于合理期限期满前，与援引争端解决程序的任何一方进行谈判，以期形成双方均可接受的补偿。如在合理期限结束期满之日起20天内未能议定令人满意的补偿，则援引争端解决程序的任何一方可向ＤＳＢ请求授权中止对有关成员实施适用协定项下的减让或其他义务。

 

3. In considering what concessions or other obligations to suspend, the complaining party shall apply the following principles and procedures:

(a) the general principle is that the complaining party should first seek to suspend concessions or other obligations with respect to the same sector(s) as that in which the panel or Appellate Body has found a violation or other nullification or impairment;

(b) if that party considers that it is not practicable or effective to suspend concessions or other obligations with respect to the same sector(s), it may seek to suspend concessions or other obligations in other sectors under the same agreement;

(c) if that party considers that it is not practicable or effective to suspend concessions or other obligations with respect to other sectors under the same agreement, and that the circumstances are serious enough, it may seek to suspend concessions or other obligations under another covered agreement;

3．在考虑中止哪些减让或其他义务时，起诉方应适用下列原则和程序：

    （ａ）总的原则是，起诉方应首先寻求对与专家组或上诉机构认定有违反义务或其他造成利益丧失或减损情形的部门相同的部门中止减让或其他义务；

 

    （ｂ）如该方认为对相同部门中止减让或其他义务不可行或无效，则可寻求中止对同一协定项下其他部门的减让或其他义务；

（ｃ）如该方认为对同一协定项下的其他部门中止减让或其他义务不可行或无效，且情况足够严重，则可寻求中止另一适用协定项下的减让或其他义务；

 

(d) in applying the above principles, that party shall take into account:

(i) the trade in the sector or under the agreement under which the panel or Appellate Body has found a violation or other nullification or impairment, and the importance of such trade to that party;

(ii) the broader economic elements related to the nullification or impairment and the broader economic consequences of the suspension of concessions or other obligations;

(e) if that party decides to request authorization to suspend concessions or other obligations pursuant to subparagraphs (b) or (c), it shall state the reasons therefor in its request. At the same time as the request is forwarded to the DSB, it also shall be forwarded to the relevant Councils and also, in the case of a request pursuant to subparagraph (b), the relevant sectoral bodies;

（ｄ）在适用上述原则时，该方应考虑：

    （ｉ）专家组或上诉机构认定有违反义务或其他造成利益丧失或减损情形的部门或协定项下的贸易，及此类贸易对该方的重要性；

    （ｉｉ）与利益丧失或减损相关的更广泛的经济因素及中止减让或其他义务的更广泛的经济后果；

（ｅ）如该方决定按照（ｂ）项或（ｃ）项请求授权中止减让或其他义务，则应在请求中说明有关理由。在请求送交ＤＳＢ的同时，还应送交有关理事会，在按照（ｂ）项提出请求的情况下，还应转交有关部门性机构；

 

(f) for purposes of this paragraph, "sector" means:

(i) with respect to goods, all goods;

(ii) with respect to services, a principal sector as identified in the current "Services Sectoral Classification List" which identifies such sectors;

(iii) with respect to trade-related intellectual property rights, each of the categories of intellectual property rights covered in Section 1, or Section 2, or Section 3, or Section 4, or Section 5, or Section 6, or Section 7 of Part II, or the obligations under Part III, or Part IV of the Agreement on TRIPS;

(g) for purposes of this paragraph, "agreement" means:

(i) with respect to goods, the agreements listed in Annex 1A of the WTO Agreement, taken as a whole as well as the Plurilateral Trade Agreements in so far as the relevant parties to the dispute are parties to these agreements;

(ii) with respect to services, the GATS;

(iii) with respect to intellectual property rights, the Agreement on TRIPS.

（ｆ）就本款而言，“部门”一词：

    （ｉ）对于货物，指所有货物；

    （ｉｉ）对于服务，指用于确认此类部门的现行“服务部门分类清单”中所确认的主要部门；

       （ｉｉｉ）对于与贸易有关的知识产权，指《ＴＲＩＰＳ协定》第二部分第1节、第2节、第3节、第4节、第5节、第6节或第7节所涵盖的知识产权的每一类别，或第三部分或第四部分下的义务。

    （ｇ）就本款而言，“协定”一词：

    （ｉ）对于货物，指《ＷＴＯ协定》附录1Ａ所列各项协定的总体，以及诸边贸易协定，只要有关争端方属这些协定的参加方；

    （ｉｉ）对于服务，指ＧＡＴＳ；

（ｉｉｉ）对于知识产权，指《ＴＲＩＰＳ协定》。

 

4. The level of the suspension of concessions or other obligations authorized by the DSB shall be equivalent to the level of the nullification or impairment.

5. The DSB shall not authorize suspension of concessions or other obligations if a covered agreement prohibits such suspension.

4．ＤＳＢ授权的中止减让或其他义务的程度应等于利益丧失或减损的程度。

5．如适用协定禁止此类中止，则ＤＳＢ不得授权中止减让或其他义务。

 

6. When the situation described in paragraph 2 occurs, the DSB, upon request, shall grant authorization to suspend concessions or other obligations within 30 days of the expiry of the reasonable period of time unless the DSB decides by consensus to reject the request. However, if the Member concerned objects to the level of suspension proposed, or claims that the principles and procedures set forth in paragraph 3 have not been followed where a complaining party has requested authorization to suspend concessions or other obligations pursuant to paragraph 3(b) or (c), the matter shall be referred to arbitration. Such arbitration shall be carried out by the original panel, if members are available, or by an arbitrator appointed by the Director-General and shall be completed within 60 days after the date of expiry of the reasonable period of time. Concessions or other obligations shall not be suspended during the course of the arbitration.

6．如发生第2款所述情况，则应请求，ＤＳＢ应在合理期限结束后30天内，给予中止减让或其他义务的授权，除非ＤＳＢ经协商一致决定拒绝该请求。但是，如有关成员反对提议的中止程度，或声称在一起诉方提出请求根据第3款（ｂ）项或（ｃ）项授权中止减让或其他义务时，第3款所列原则和程序未得到遵守，则该事项应提交仲裁。如原专家组成员仍可请到，则此类仲裁应由原专家组作出，或由经总干事任命的仲裁人（注15）作出，仲裁应在合理期限结束之日起60天内完成。减让或其他义务不得在仲裁过程中予以中止。

 

7. The arbitrator acting pursuant to paragraph 6 shall not examine the nature of the concessions or other obligations to be suspended but shall determine whether the level of such suspension is equivalent to the level of nullification or impairment. The arbitrator may also determine if the proposed suspension of concessions or other obligations is allowed under thecovered agreement. However, if the matter referred to arbitration includes a claim that the principles and procedures set forth in paragraph 3 have not been followed, the arbitrator shall examine that claim. In the event the arbitrator determines that those principles and procedures have not been followed, the complaining party shall apply them consistent with paragraph 3. The parties shall accept the arbitrator's decision as final and the parties concerned shall not seek a second arbitration. The DSB shall be informed promptly of the decision of the arbitrator and shall upon request, grant authorization to suspend concessions or other obligations where the request is consistent with the decision of the arbitrator, unless the DSB decides by consensus to reject the request.

7．按照第6款行事的仲裁人（注16）不得审查拟予中止的减让或其他义务的性质，而应确定此类中止的程度是否等于利益丧失或减损的程度。仲裁人还可确定在适用协定项下是否允许拟议的中止减让或其他义务。但是，如提交仲裁的问题包括关于第3款所列原则和程序未得到遵循的主张，则仲裁人应审议此项主张。如仲裁人确定这些原则和程序未得到遵循，则起诉方应以与第3款相一致的方式适用这些原则和程序。各方应将仲裁人的决定视为最终决定予以接受，有关各方不得寻求第二次仲裁。仲裁人的决定应迅速通知ＤＳＢ，应请求，ＤＳＢ应授权中止减让或其他义务，除非ＤＳＢ经协商一致决定拒绝该请求。

 

8. The suspension of concessions or other obligations shall be temporary and shall only be applied until such time as the measure found to be inconsistent with a covered agreement has been removed, or the Member that must implement recommendations or rulings provides a solution to the nullification or impairment of benefits, or a mutually satisfactory solution is reached. In accordance with paragraph 6 of Article 21, the DSB shall continue to keep under surveillance the implementation of adopted recommendations or rulings, including those cases where compensation has been provided or concessions or other obligations have been suspended but the recommendations to bring a measure into conformity with the covered agreements have not been implemented.

8．减让或其他义务的中止应是临时性的，且只应维持至被认定与适用协定不一致的措施已取消，或必须执行建议或裁决的成员对利益丧失或减损已提供解决办法，或已达成双方满意的解决办法。依照第21条第6款，ＤＳＢ应继续监督已通过的建议或裁决的执行，包括那些已提供补偿或已中止减让或其他义务、而未执行旨在使一措施符合有关适用协定的建议的案件。

 

9. The dispute settlement provisions of the covered agreements may be invoked in respect of measures affecting their observance taken by regional or local governments or authorities within the territory of a Member. When the DSB has ruled that a provision of a covered agreement has not been observed, the responsible Member shall take such reasonable measures as may be available to it to ensure its observance. The provisions of the covered agreements and this Understanding relating to compensation and suspension of concessions or other obligations apply in cases where it has not been possible to secure such observance.

9．如一成员领土内的地区或地方政府或主管机关采取了影响遵守适用协定的措施，则可援引适用协定中的争端解决规定。如ＤＳＢ已裁决一适用协定中的规定未得到遵守，则负有责任的成员应采取其可采取的合理措施，保证遵守该协定。适用协定及本谅解有关补偿和中止减让或其他义务的规定适用于未能遵守协定的案件。（注17）

 

Article 23 Strengthening of the Multilateral System第23条  多边体制的加强

1. When Members seek the redress of a violation of obligations or other nullification or impairment of benefits under the covered agreements or an impediment to the attainment of any objective of the covered agreements, they shall have recourse to, and abide by, the rules and procedures of this Understanding.

1．当成员寻求纠正违反义务情形或寻求纠正其他造成适用协定项下利益丧失或减损的情形，或寻求纠正妨碍适用协定任何目标的实现的情形时，它们应援用并遵守本谅解的规则和程序。

 

2. In such cases, Members shall: 2．在此种情况下，各成员应：

(a) not make a determination to the effect that a violation has occurred, that benefits have been nullified or impaired or that the attainment of any objective of the covered agreements has been impeded, except through recourse to dispute settlement in accordance with the rulesand procedures of this Understanding, and shall make any such determination consistent with the findings contained in the panel or Appellate Body report adopted by the DSB or an arbitration award rendered under this Understanding;

(b) follow the procedures set forth in Article 21 to determine the reasonable period of time for the Member concerned to implement the recommendations and rulings; and (c) follow the procedures set forth in Article 22 to determine the level of suspension of concessions or other obligations and obtain DSB authorization in accordance with those procedures before suspending concessions or other obligations under the covered agreements in response to the failure of the Member concerned to implement the recommendations and rulings within that reasonable period of time.

    （ａ）不对违反义务已发生、利益已丧失或减损或适用协定任何目标的实现已受到妨碍作出确定，除非通过依照本谅解的规则和程序援用争端解决，且应使任何此种确定与ＤＳＢ通过的专家组或上诉机构报告所包含的调查结果或根据本谅解作出的仲裁裁决相一致；

    （ｂ）遵循第21条所列程序，以确定有关成员执行建议和裁决的合理期限；以及

（ｃ）遵循第22条所列程序，确定中止减让或其他义务的程度，并针对有关成员未能在该合理期限内执行建议和裁决的情况，在中止适用协定项下的减让或其他义务之前，依照这些程序获得ＤＳＢ的授权。

 

Article 24 Special Procedures Involving Least-Developed Country Members

第24条  涉及最不发达国家成员的特殊程序

1. At all stages of the determination of the causes of a dispute and of dispute settlement procedures involving a least-developed country Member, particular consideration shall be given to the special situation of least-developed country Members. In this regard, Members shall exercise due restraint in raising matters under these procedures involving a least-developed country Member. If nullification or impairment is found to result from a measure taken by a least-developed country Member, complaining parties shall exercise due restraint in asking for compensation or seeking authorization to suspend the application of concessions or other obligations pursuant to these procedures.

1．在确定涉及一最不发达国家成员争端的起因和争端解决程序的所有阶段，应特别考虑最不发达国家的特殊情况。在此方面，各成员在根据这些程序提出涉及最不发达国家的事项时应表现适当的克制。如认定利益的丧失或减损归因于最不发达国家成员所采取的措施，则起诉方在依照这些程序请求补偿或寻求中止实施减让或其他义务的授权时，应表现适当的克制。

 

2. In dispute settlement cases involving a least-developed country Member, where a satisfactory solution has not been found in the course of consultations the Director-General or the Chairman of the DSB shall, upon request by a least-developed country Member offer their good offices, conciliation and mediation with a view to assisting the parties to settle the dispute, before a request for a panel is made. The Director-General or the Chairman of the DSB, in providing the above assistance, may consult any source which either deems appropriate.

2．在涉及一最不发达国家成员的争端解决案件中，如在磋商中未能找到令人满意的解决办法，则应最不发达国家成员请求，总干事或ＤＳＢ主席应进行斡旋、调解和调停，以期在提出设立专家组的请求前，协助各方解决争端。总干事或ＤＳＢ主席在提供以上协助时，可向自己认为适当的任何来源进行咨询。

 

Article 25 Arbitration第25条  仲裁

1. Expeditious arbitration within the WTO as an alternative means of dispute settlement can facilitate the solution of certain disputes that concern issues that are clearly defined by both parties. 2. Except as otherwise provided in this Understanding, resort to arbitration shall be subject to mutual agreement of the parties which shall agree on the procedures to be followed.

Agreements to resort to arbitration shall be notified to all Members sufficiently in advance of the actual commencement of the arbitration process.

1．ＷＴＯ中的迅速仲裁作为争端解决的一个替代手段，能够便利解决涉及有关双方已明确界定问题的争端。

2．除本谅解另有规定外，诉诸仲裁需经各方同意，各方应议定将遵循的程序。诉诸仲裁的一致意见应在仲裁程序实际开始之前尽早通知各成员。

 

3. Other Members may become party to an arbitration proceeding only upon the agreement of the parties which have agreed to have recourse to arbitration. The parties to the proceeding shall agree to abide by the arbitration award. Arbitration awards shall be notified to the DSB and the Council or Committee of any relevant agreement where any Member may raise any point

relating thereto.

4. Articles 21 and 22 of this Understanding shall apply mutatis mutandis to arbitration awards.

     3．只有经已同意诉诸仲裁的各方同意，其他成员方可成为仲裁程序的一方。诉讼方应同意遵守仲裁裁决。仲裁裁决应通知ＤＳＢ和任何有关适用协定的理事会或委员会，任何成员均可在此类机构中提出与之相关的任何问题。

4．本谅解第21条和第22条在细节上作必要修改后应适用于仲裁裁决。

 

Article 26 Non-Violation Complaint 第26条 非违反起诉

1. Non-Violation Complaints of the Type Described in Paragraph 1(b) of Article XXIII of GATT 1994 Where the provisions of paragraph 1(b) of Article XXIII of GATT 1994 are applicable to a covered agreement, a panel or the Appellate Body may only make rulings and recommendations where a party to the dispute considers that any benefit accruing to it directly or indirectly under the relevant covered agreement is being nullified or impaired or the attainment of any objective of that Agreement is being impeded as a result of the application by a Member of any measure, whether or not it conflicts with the provisions of that Agreement. Where and to the extent that such party considers and a panel or the Appellate Body determines that a case concerns a measure that does not conflict with the provisions of a covered agreement to which the provisions of paragraph 1(b) of Article XXIII of GATT 1994 are applicable, the procedures in this Understanding shall apply, subject to the following:

    1．ＧＡＴＴ1994第23条第1款（ｂ）项所述类型的非违反起诉

如ＧＡＴＴ1994第23条第1款（ｂ）项的规定适用于一适用协定，则专家组和上诉机构只有在一争端方认为由于一成员实施任何措施而造成其根据有关适用协定直接或间接获得的任何利益丧失或减损，或此种措施妨碍该协定任何目标的实现时，方可作出裁决和建议，无论该措施与该协定的规定是否产生抵触。如该方认为且专家组或上诉机构确定，一案件所涉及的措施与ＧＡＴＴ1994第23条第1款（ｂ）项规定所适用的适用协定的规定不产生抵触，则应适用本谅解的程序，但需遵守下列规定：

 

(a) the complaining party shall present a detailed justification in support of any complaint relating to a measure which does not conflict with the relevant covered agreement;

(b) where a measure has been found to nullify or impair benefits under, or impede the attainment of objectives, of the relevant covered agreement without violation thereof, there is no obligation to withdraw the measure. However, in such cases, the panel or the Appellate Body shall recommend that the Member concerned make a mutually satisfactory adjustment;

（ａ）该起诉方应提供详细的正当理由，以支持任何就一项不与适用协定产生抵触的措施而提出的起诉；

（ｂ）如一措施被认定造成有关适用协定项下的利益丧失或减损，或此种措施妨碍该协定目标的实现，但并未违反该协定，则无义务撤销该措施。但在此种情况下，专家组或上诉机构应建议有关成员作出使双方满意的调整；

 

(c) notwithstanding the provisions of Article 21, the arbitration provided for in paragraph 3 of Article 21, upon request of either party, may include a determination of the level of benefits which have been nullified or impaired, and may also suggest ways and means of reaching a mutually satisfactory adjustment; such suggestions shall not be binding upon the parties to the dispute;

（ｃ）尽管有第21条的规定，但是应双方中任何一方的请求，第21条第3款所规定的仲裁可包括对利益丧失或减损程度的确定，也可建议达成令双方满意的调整的方法：此类建议不得对争端各方具有约束力；

 

(d) notwithstanding the provisions of paragraph 1 of Article 22, compensation may be part of a mutually satisfactory adjustment as final settlement of the dispute.

（ｄ）尽管有第22条第1款的规定，但是补偿可以成为作为争端最后解决办法的令双方满意的调整的一部分。

 

2. Complaints of the Type Described in Paragraph 1(c) of Article XXIII of GATT 1994

2．ＧＡＴＴ1994第23条第1款（ｃ）项所述类型的起诉

 

Where the provisions of paragraph 1(c) of Article XXIII of GATT 1994 are applicable to a covered agreement, a panel may only make rulings and recommendations where a party considers that any benefit accruing to it directly or indirectly under the relevant covered agreement is being nullified or impaired or the attainment of any objective of that Agreement is being impeded as a result of the existence of any situation other than those to which the provisions of paragraphs 1(a) and 1(b) of Article XXIII of GATT 1994 are applicable. Where and to the extent that such party considers and a panel determines that the matter is covered by this paragraph, the procedures of this Understanding shall apply only up to and including the point in the proceedings where the panel report has been circulated to the Members. The dispute settlement rules and procedures contained in the Decision of 12 April 1989 (BISD 36S/61-67) shall apply to consideration for adoption, and surveillance and implementation of recommendations and rulings. The following shall also apply:

(a) the complaining party shall present a detailed justification in support of any argument made with respect to issues covered under this paragraph;

(b) in cases involving matters covered by this paragraph, if a panel finds that cases also involve dispute settlement matters other than those covered by this paragraph, the panel shall circulate a report to the DSB addressing any such matters and a separate report on matters falling under this paragraph.

     如ＧＡＴＴ1994第23条第1款（ｃ）项的规定适用于一适用协定，则专家组只有在一方认为由于存在任何不属ＧＡＴＴ1994第23条第1款（ａ）项和（ｂ）项规定所适用的情况而造成其根据有关适用协定直接或间接获得的任何利益丧失或减损，或此种情况妨碍该协定任何目标的实现时，方可作出裁决和提出建议。如该方认为且专家组确定本款已涵盖该事项，则本谅解的程序仅适用至有关程序中专家组报告散发各成员为止。《1989年4月12日决定》（ＢＩＳＤ36册61至67页）所含争端解决规则和程序适用于建议和裁决的审议通过、监督和执行。下列规定也应适用：

    （ａ）该起诉方应提供详细理由，以支持就本款涵盖问题所提出的任何论据；

（ｂ）在涉及本款所涵盖事项的案件中，如专家组认定案件还涉及本款所涵盖事项之外的争端解决事项，则专家组应向ＤＳＢ提交针对任何此类事项的报告，并提交一份属本款范围内事项的单独报告。

 

Article 27 Responsibilities of the Secretariat第27条  秘书处的职责

1. The Secretariat shall have the responsibility of assisting panels, especially on the legal, historical and procedural aspects of the matters dealt with, and of providing secretarial and technical support.

2. While the Secretariat assists Members in respect of dispute settlement at their request, there may also be a need to provide additional legal advice and assistance in respect of dispute settlement to developing country Members. To this end, the Secretariat shall make available a qualified legal expert from the WTO technical cooperation services to any developing country Member which so requests. This expert shall assist the developing country Member in a manner ensuring the continued impartiality of the Secretariat.

3. The Secretariat shall conduct special training courses for interested Members concerning these dispute settlement procedures and practices so as to enable Members' experts to bebetter informed in this regard.

    1．秘书处应特别在所处理事项的法律、历史和程序方面负责协助专家组，并提供秘书和技术支持。

    2．在秘书处应成员请求在争端解决方面协助成员时，可能还需在争端解决方面向发展中国家成员提供额外的法律建议和协助。为此，秘书处应使提出请求的发展中国家成员可获得ＷＴＯ技术合作部门一名合格法律专家的协助。该专家在协助发展中国家成员时应保证秘书处继续保持公正。

3．秘书处应为利害关系成员提供有关争端解决程序和做法的特殊培训课程，以便各成员的专家能够更好地了解这方面的情况。

 

APPENDIX 1 AGREEMENTS COVERED BY THE UNDERSTANDING

关于争端解决规则与程序的谅解——附录1  本谅解的适用协定

 

APPENDIX 2 SPECIAL OR ADDITIONAL RULES AND PROCEDURES CONTAINED IN THE COVERED AGREEMENTS

关于争端解决规则与程序的谅解——附录2  适用协定所含特殊或附加规则与程序

 

APPENDIX 3 WORKING PROCEDURES

关于争端解决规则与程序的谅解——附录3  工作程序

 

APPENDIX 4 EXPERT REVIEW GROUPS附录4  专家审议小组