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The World Trade Organization Law, Practice, and Policy

by: Matsushita, Mitsuo; Schoenbaum, Thomas J.; Mavroidis, Petros C.

The World Trade Organization Law, Practice, and Policy

by: Matsushita, Mitsuo; Schoenbaum, Thomas J.; Mavroidis, Petros C.

ISBN 13:
9780199284566
ISBN 10:
0199284563
Edition: 2nd
Format: Hardcover
Copyright: 06/01/2006
Publisher: Oxford University Press
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Summary

"This comprehensively revised new edition of the acclaimed work by an outstanding team of WTO law specialists, provides a complete overview of the law and practice of the WTO."--BOOK JACKET.

Index of WTO Panels

xxxviii

Index of GATT Panels

liii

Tables of WTO and GATT Decisions

lxvi

Tables of Court and Administrative Decisions

xcviii

1. The World Trade Organization

(18)

1. Bretton Woods and the failure of the International Trade Organization

(1)

2. The GATT becomes an international organization

(1)

3. A summary of GATT obligations

(2)

4. The GATT tariff negotiating rounds

(1)

5. The creation of the WTO

(3)

6. The WTO: functions and structure

(5)

6.1 Membership, accession and withdrawal

(1)

6.2 Decision-making

(2)

6.2.1 General decision-making

(1)

6.2.2 Interpretations

(1)

6.2.3 Waivers

(1)

6.2.4 Amendments

(1)

6.3 The WTO as an international organization

(1)

7. Suggestions for improving the WTO

(2)

8. Current Work: The Doha Development Agenda

(3)

2. Sources of Law and Their Interpretative Elements

(70)

1. WTO: a hybrid system

(5)

2. Setting the scene for discussion: three preliminary observations

(11)

2.1 Classification through interpretation: the method, and its influences and repercussions

(6)

2.1.1 The Vienna Convention on the Law of Treaties enters the WTO

(4)

2.1.2 External considerations stemming from the interpretative process

(1)

2.1.2.1 Identifying the interpretative elements

(1)

2.1.2.2 Prejudging the legal value through interpretation

(1)

2.2 The long road from identification to classification

(5)

2.2.1 WTO adjudicating bodies have identified, but rarely classified

(1)

2.2.2 An attempt at classification: understanding the benchmarks

(4)

3. Sources of law

(21)

3.1 The covered agreements

(17)

3.1.1 Travaux préparatoires of the WTO agreement: legally relevant to ascertain

(1)

3.1.1.1 The content of the travaux préparatoires

(1)

3.1.1.2 Conditions for recourse to travaux préparatoires in practice

(3)

3.1.2 Subsequent practice

(1)

3.1.3 Subsequent agreements

(1)

3.2 International agreements reflected in the covered agreements

(4)

3.2.1 The Havana Charter

(1)

3.2.2 Agreements reflected in the TRIPS agreement

(1)

3.2.3 Agreements reflected in the SCM agreement

(1)

3.2.4 The legal relevance of the agreements mentioned in the WTO agreement

(2)

4. Interpretative elements

(29)

4.1 GATT panel reports

(3)

4.1.1 Adopted GATT reports

(1)

4.1.2 Un-adopted GATT reports

(1)

4.2 WTO panel and Appellate Body reports

(3)

4.3 Decisions and recommendations by various WTO organs

(3)

4.3.1 Decisions and recommendations by WTO Committees

(2)

4.3.2 WTO Working Party reports

(1)

4.4 International agreements not reflected in the WTO agreement

(4)

4.4.1 The Tokyo round agreements

(1)

4.4.2 Other international agreements

(1)

4.4.2.1 Agreements referred to in WTO decisions

(1)

4.4.2.2 Bilateral agreements among WTO Members

(1)

4.4.2.3 Multilateral agreements

(2)

4.5 Acts adopted by various international organizations

(1)

4.5.1 United Nations (UN) Resolutions

(1)

4.5.2 ITU Recommendations

(1)

4.5.3 OECD Guidelines

(1)

4.6 Decisions by international courts

(1)

4.7 Domestic law and practice

(1)

4.8 Unilateral declarations by WTO Members

(3)

4.8.1 Unilateral declarations outside panel proceedings

(2)

4.8.2 Unilateral declarations made during panel proceedings

(1)

4.9 Customary international law

(5)

4.10 General principles of law

(5)

4.10.1 The nature of general principles

(1)

4.10.2 Estoppel

(1)

4.10.3 Good Faith (Bona Fides)

(1)

4.10.4 Error

(1)

4.10.5 Res judicata

(1)

4.10.6 In dubio mitius

(1)

4.10.7 Non adimplenti contractus

(1)

4.11 Doctrine

(1)

5. Conclusions

(2)

3. WTO Law and Domestic Law

(14)

1. Introduction

(2)

2. The United States

(4)

2.1 Overview of U.S. law

(1)

2.2 The relationship between WTO law and U.S. law

(3)

3. The European Community

(4)

3.1 External relations and the EU/EC

(2)

3.2 The relationship between WTO law and the laws of the EC and its Member States

(2)

4. Japan

(4)

4.1 Overview of Japanese law

(4)

4. Dispute Settlement

103

(30)

1. Introduction

104

(1)

2. Dispute settlement in the GATT

105

(2)

3. WTO dispute settlement

107

(26)

3.1 General considerations

108

(1)

3.2 Institutions

108

(1)

3.3 Scope of application

109

(2)

3.4 The legal effect of panel and Appellate Body reports

111

(1)

3.5 Dispute resolution procedures

112

(3)

3.5.1 Objectives

112

(1)

3.5.2 Initiation: request for consultations

113

(1)

3.5.3 Standing to bring claims

113

(1)

3.5.4 Good offices, conciliation, and mediation

114

(1)

3.5.5 Arbitration

115

(1)

3.6 The panel process

115

(2)

3.7 The appeal process

117

(1)

3.8 Implementation

3.8.1 Reasonable period for implementation

117

(1)

3.8.2 Compliance and the -sequencing" problem

118

(1)

3.9 Compensation for failure to comply and retaliation

119

(2)

3.10 Special dispute resolution procedures

121

(2)

3.10.1 Non-violation complaints

121

(1)

3.10.2 Situation complaints

122

(1)

3.11 Adverse inference

123

(1)

3.12 Amicus curiae

124

(1)

3.13 Burden of proof

125

(2)

3.14 Judicial economy

127

(1)

3.15 Standard of review

128

(3)

3.16 Critique of the DSU

131

(2)

4. Trade retaliation under national laws

133

(8)

4.1 The European Union

133

(1)

4.2 Japan

134

(1)

4.3 The United States

135

(3)

4.4 Critique of trade retaliation under national laws

138

(3)

5. Enforcement of WTO Obligations: Remedies and Compliance

141

(60)

1. Enforcing WTO obligations

143

(1)

2. The types of complaint available

144

(1)

3. Recommendations and suggestions by WTO adjudicating bodies

145

(9)

3.1 Recommendations

146

(2)

3.1.1 The substantive content of a recommendation

147

(1)

3.1.2 The function of a recommendation

147

(1)

3.1.3 The legal force of a recommendation

147

(1)

3.2 Suggestions

148

(6)

3.2.1 The substantive content of a suggestion

148

(1)

3.2.2 The function of a suggestion

148

(1)

3.2.3 Requesting a suggestion

149

(1)

3.2.3.1 Requests for suggestions must be specific

149

(1)

3.2.3.2 Discretion as to suggestion, even when requested

149

(1)

3.2.3.3 The dominant case for suggestions (when requested): no other way to implement

151

(2)

3.2.4 Un-requested suggestions

153

(1)

3.2.4.1 Legislative "suggestion": the case of export subsidies

153

(1)

3.2.4.2 Other cases

154

(1)

3.2.5 Suggestions are not binding

154

(1)

4. Reasonable period of time (RPT)

154

(6)

4.1 Bilateral definition of the RPT

155

(1)

4.2 Multilateral definition of the RPT

155

(5)

4.2.1 The regulatory framework

155

(1)

4.2.2 The task of the Arbitrator

155

(1)

4.2.3 Measuring the RPT under Art 21.3c DSU

156

(1)

4.2.3.1 The function of the 15 month guideline

156

(1)

4.2.3.2 Attendant Circumstances

157

(3)

5. Compliance panels

160

(5)

5.1 The mechanics

160

(1)

5.2 The rationale for compliance panels and the sequencing issue

161

(2)

5.3 The mandate of compliance panels

163

(2)

5.4 Compliance panel reports can be appealed

165

(1)

5.5 More than one compliance panel on the same dispute?

165

(1)

6. Requesting countermeasures

165

(31)

6.1 The right to request countermeasures

165

(1)

6.2 The function of compensation, suspension of concessions or other obligations

166

(2)

6.3 The form of countermeasures

168

(1)

6.4 The procedure to be followed

169

(6)

6.5 The legal constraint of Art 22.4 DSU

175

(1)

6.6 Agreement between the parties

175

(1)

6.7 Disagreement between the parties

176

(29)

6.7.1 Compulsory submission to the Arbitrators

176

(1)

6.7.2 The task of the Arbitrators

176

(2)

6.7.3 The burden of proof

178

(1)

6.7.4 The Arbitrators' decision: first and last resort

179

(1)

6.7.5 Calculating the level of suspension of concessions

180

(1)

6.7.5.1 Economics matter

180

(1)

6.7.5.2 Standard of review

182

(1)

6.7.5.3 No room for punitive damages

183

(1)

6.7.5.4 Retroactive or prospective remedies?

185

(1)

6.7.5.5 Indirect benefits

187

(1)

6.7.5.6 Only added value matters

189

(1)

6.7.5.7 Litigation costs are not recoverable

190

(1)

6.7.5.8 Calculating countermeasures following a GATS-violation

190

(1)

6.7.5.9 The special case of prohibited subsidies

191

(5)

7. Compliance following the adoption of countermeasures

196

(1)

8. To conclude ...

196

(5)

6. The Most-Favoured Nation Clause (MFN)

201

(32)

1. MFN: some basic economic concepts and institutional realities

202

(3)

2. The MFN regime as enshrined in Art I GATT

205

(14)

2.1 The coverage summarized

205

(1)

2.2 The policies (conferring an advantage) covered

206

(3)

2.2.1 Border measures of a fiscal character

206

(2)

2.2.2 Border measures of a non-fiscal character

208

(1)

2.2.3 Internal measures

209

(1)

2.3 The original beneficiary of the advantage

209

(1)

2.4 The extension of the advantage of WTO membership

209

(8)

2.4.1 Extension to like products

209

(2)

2.4.2 Like products originating in WTO Member States

211

(1)

2.4.3 Extending MFN-treatment immediately and unconditionally

212

(5)

2.5 The standard of review

217

(2)

2.5.1 De jure and de facto discrimination covered

217

(1)

2.5.2 No demonstration of effects or intent required

218

(1)

2.5.3 No rebalancing permitted

219

(1)

3. Exceptions to the MFN clause

219

(14)

3.1 Special and differential treatment for developing countries

220

(9)

3.1.1 The Enabling clause

220

(1)

3.1.2 Some historical features

221

(5)

3.1.3 The placement of the Enabling clause in the WTO legal order

226

(1)

3.1.4 An exception to Art I GATT

226

(1)

3.1.5 Non discrimination in the context of the Enabling clause

227

(2)

3.1.6 Allocation of burden of proof

229

(1)

3.2 Discriminatory quotas (Art XIV GATT)

229

(2)

3.3 Waivers

231

(2)

7. The National Treatment Principle

233

(24)

1. What is the national treatment principle?

234

(2)

2. National treatment: some key issues

236

(9)

2.1 "Like" products

236

(4)

2.1.1 Article III:2, first sentence

237

(1)

2.1.2 Article III:2, second sentence

237

(1)

2.1.3 Article III:4

238

(1)

2.1.4 The aim and effects test

239

(1)

2.2 The product-process distinction

240

(1)

2.3 Technical regulations and sanitary and phytosanitary measures

241

(1)

2.4 Application of Article III to state-trading monopolies

242

(1)

2.5 Application of Article III national treatment obligations to sub-federal units of WTO Members

243

(1)

2.6 The relationship between Article III and Article XI of the GATT

244

(1)

3. Taxes

245

(4)

3.1 Scope

246

(1)

3.2 Border tax adjustment

246

(1)

3.3 The non-discrimination principle

247

(2)

4. Government regulations

249

(3)

5. De facto discrimination

252

(4)

6. Article XX exceptions

256

(1)

8. Tariffs, Quotas and Other Barriers to Market Access

257

(30)

1. Introduction

258

(1)

2. Tariffs and customs rules

259

(10)

2.1 The nature of a tariff

259

(1)

2.2 Welfare effects of tariffs

259

(2)

2.3 Tariff modifications

261

(1)

2.4 Reclassification

262

(1)

2.5 Valuation

263

(2)

2.6 Rules of origin

265

(2)

2.7 Customs laws and procedures

267

(1)

2.8 Customs fees and formalities

268

(1)

2.9 Preshipment inspection (PSI)

268

(1)

3. Quotas

269

(6)

3.1 The nature of a quota

269

(1)

3.2 Welfare effects of quotas

270

(1)

3.3 Prohibition on quotas and other measures that restrain trade

270

(2)

3.4 Exceptions to the prohibition on quotas and other measures

272

(2)

3.5 Licensing

274

(1)

4. State-trading enterprises

275

(3)

5. Technical barriers to trade

278

(2)

6. Sanitary and phytosanitary measures

280

(1)

7. Sectoral market access agreements

281

(6)

7.1 Agriculture

281

(1)

7.2 Textiles and clothing

282

(2)

7.3 Information technology

284

(1)

7.4 Electronic commerce

284

(3)

9. Agriculture

287

(44)

1. Trading farm products in the GATT era

288

(4)

1.1 The legal framework

288

(3)

1.2 The reality

291

(1)

2. The Uruguay round brings change

292

(3)

2.1 Negotiators with export interest pushed...

292

(1)

2.2 ...and internal (EC) reform helped as well...

293

(1)

2.3 ...to make a start

294

(1)

3. The WTO Agreement on Agriculture summarized

295

(4)

3.1 How to liberalize farm trade

295

(1)

3.2 The AG Agreement in context

296

(1)

3.3 Absence of hierarchy? The AG Agreement and the national schedules of concession

297

(2)

3.4 Product-specific coverage of the AG Agreement

299

(1)

4. The restrictions on domestic subsidies

299

(16)

4.1 The obligation to convert existing process into tariffs

299

(2)

4.2 Calculating the level of protection

301

(8)

4.2.1 The AMS is the benchmark for commitments

301

(2)

4.2.2 The extent of the AMS

303

(2)

4.2.3 Exemptions from the AMS

305

(1)

4.2.3.1 De minimis thresholds

305

(1)

4.2.3.2 Production limiting programmes (Blue box)

306

(1)

4.2.3.3 Support to low-income producers in developing countries

306

(1)

4.2.3.4 Minimal, or non-trade-distorting schemes (Green box)

307

(2)

4.3 The resulting perspective: tariff peaks, no ad valorem duties

309

(6)

5. Export subsidy commitments

315

(12)

5.1 What is an "export subsidy"?

315

(3)

5.1.1 Export subsidies explicitly mentioned

315

(3)

5.1.2 De facto export subsidies

318

(1)

5.2 The restrictions with respect to export subsidies

318

(6)

5.2.1 The regime summarized

318

(1)

5.2.1.1 Scheduled goods, schemes covered by Art 9.1 AG

322

(1)

5.2.1.2 Unscheduled goods, schemes covered by Art 9.1 AG

322

(1)

5.2.1.3 Scheduled and unscheduled goods, schemes not covered by Art 9.1AG

322

(1)

5.2.2 The standard of review for violations of export subsidy commitments (Art 3.3 AG)

323

(1)

5.2.3 The standard of review for violations of the anti-circumvention provision (Art 10 AG)

323

(1)

5.3 WTO Members' commitments on export subsidies

324

(3)

6. Other commitments

327

(2)

6.1 Due restraint (Peace Clause)

327

(1)

6.2 Export prohibition

327

(1)

6.3 Transparency requirements

327

(1)

6.4 Least developed and net food-importing developing countries

328

(1)

7. Agriculture in the development round

329

(2)

10. Subsidies and Countervailing Duties

331

(64)

1. Thou shalt not subsidize

332

(4)

2. A subsidy in the SCM sense of the term

336

(28)

2.1 Financial contribution

336

(10)

2.1.1 Direct and indirect financial contribution

336

(1)

2.1.2 Financial contribution: an expansive interpretation

337

(4)

2.1.3 The special case of double taxation

341

(1)

2.1.4 Recourse to regulatory diversity to determine whether financial contribution exists

342

(1)

2.1.5 Attributing financial contribution to a government

343

(3)

2.2 A benefit conferred

346

(6)

2.2.1 The private investor-test

347

(4)

2.2.2 The cost of production

351

(1)

2.3 The recipient: specific (and also unintentional)

352

(3)

2.4 Methods for calculation of benefit

355

(5)

2.5 Classification of subsidies

360

(4)

2.5.1 Prohibited subsidies

360

(4)

2.5.2 Actionable subsidies

364

(1)

2.5.3 Non-actionable subsidies

364

(1)

3. Counteracting subsidies

364

(26)

3.1 The multilateral option

365

(10)

3.1.1 Prohibited subsidies

365

(4)

3.1.2 Adverse effects

369

(1)

3.1.2.1 Adverse effects resulting in serious prejudice

369

(1)

3.1.2.2 Adverse effects resulting in nullification or impairment

374

(1)

3.1.2.3 Legal action to eliminate adverse effects

374

(1)

3.2 The unilateral option: countervailing duties (CVDs)

375

(21)

3.2.1 The conditions for lawful imposition

375

(1)

3.2.1.1 The substantive requirement

375

(1)

3.2.1.2 The procedural requirements

382

(2)

3.2.2 Imposition of CVDs

384

(1)

3.2.2.1 The level of CVDs (Lesser duty rule)

384

(1)

3.2.2.2 Imposition of CVDs on an aggregate basis

384

(1)

3.2.2.3 Retroactive application of CVDs

385

(1)

3.2.3 Review of CVDs

385

(1)

3.2.3.1 The sunset review

386

(1)

3.2.3.2 The administrative review

387

(3)

4. Thou shalt not be punished in any other way

390

(2)

5. Special and differential treatment

392

(1)

6. Standard of review

393

(1)

7. Conclusions

393

(2)

11. Antidumping

395

(42)

1. What is dumping?

396

(5)

1.1 Dumping as sales below cost

397

(1)

1.2 Dumping as international price discrimination

398

(1)

1.3 Duration

399

(1)

1.4 Cost analysis

399

(1)

1.5 Welfare effects

400

(1)

1.6 Measures to counteract dumping

400

(1)

2. The regulation of antidumping duties

401

(26)

2.1 The legal framework of antidumping in the GATT/WTO regime

401

(2)

2.1.1 GATT Article VI

402

(1)

2.1.2 The Antidumping Agreement

402

(1)

2.1.3 Institutions and notifications

403

(1)

2.1.4 Developing countries

403

(1)

2.2 Investigation

403

(3)

2.2.1 Initiating an investigation

403

(1)

2.2.2 Evidential issues

404

(2)

2.2.3 The duties of the investigating authority

406

(1)

2.3 Determination of dumping

406

(11)

2.3.1 Like product

407

(2)

2.3.2 Comparison of third-country prices

409

(1)

2.3.3 Constructed value

409

(2)

2.3.4 Arm's-length transactions and transactions between affiliated parties

411

(1)

2.3.5 Sales below cost

412

(1)

2.3.6 Fair price comparisons

413

(1)

2.3.7 Averaging

414

(1)

2.3.8 Zeroing

415

(2)

2.4 Determination of injury

417

(4)

2.4.1 Material injury or threat of material injury

417

(1)

2.4.2 Factors to be considered when determining injury

418

(1)

2.4.3 Factors to be considered when determining threat

419

(1)

2.4.4 Cumulation of injuries

419

(1)

2.4.5 Causation

420

(1)

2.5 Domestic industry

421

(1)

2.6 The imposition of antidumping measures

422

(2)

2.6.1 Provisional measures

422

(1)

2.6.2 Definitive measures

423

(1)

2.6.3 Retroactivity

423

(1)

2.6.4 Duration and review

423

(1)

2.7 Price undertakings (suspension of antidumping duty investigations)

424

(1)

2.8 Anti-circumvention

424

(1)

2.9 Dispute settlement

425

(2)

3. Criminal penalties and private remedies

427

(6)

3.1 The U.S. 1916 Antidumping Act

428

(2)

3.2 Future implications of the panel and the Appellate Report on the 1916 Act case

430

(1)

3.3 The U.S. Offset Act

431

(2)

4. Conclusions

433

(4)

12. Safeguards

437

(38)

1. Introduction

438

(1)

2. The legal and policy framework for safeguards in the GATT/WTO regime

439

(1)

3. GATT Article XIX and the Agreement on Safeguards

440

(20)

3.1 GATT Article XIX

440

(1)

3.2 The Safeguards Agreement

440

(1)

3.3 The relationship between GATT Article XIX and the Safeguards Agreement

441

(1)

3.4 Investigation

442

(1)

3.5 Provisional application

443

(1)

3.6 Determination of increased imports

443

(1)

3.7 Unforeseen developments

444

(2)

3.8 Determination of injury

446

(5)

3.8.1 Serious injury or threat of serious injury

446

(1)

3.8.1.1 Serious injury

447

(1)

3.8.1.2 Threat of serious injury

447

(1)

3.8.1.3 Factors to be considered when determining injury or threat thereof

448

(1)

3.8.1.4 Domestic industry

449

(1)

3.8.2 Causation

449

(2)

3.9 Limits on the application of safeguard measures

451

(6)

3.9.1 Parallelism

451

(3)

3.9.2 Non-attribution

454

(1)

3.9.3 Extent of safeguards

455

(1)

3.9.4 Selectivity

455

(1)

3.9.5 Developing countries

456

(1)

3.9.6 GATT Article XIII

456

(1)

3.9.7 Duration and review

457

(1)

3.10 Notification and consultation

457

(1)

3.11 Compensation

458

(2)

3.12 The standard of review for safeguard disputes

460

(1)

4. Safeguard measures for balance-of-payment reasons

460

(5)

4.1 The GATT

460

(3)

4.2 The WTO

463

(2)

5. Safeguard measures in textile and clothing trade

465

(2)

6. Prohibition on voluntary export restraints

467

(10)

6.1 Prohibition in the Safeguards Agreement

467

(1)

6.2 Tension between voluntary export restraints and competition policy

468

(15)

6.2.1 The automobile VER case

469

(3)

6.2.2 The steel VER Case

472

(1)

6.2.3 Analysis of the conflict between trade policy and competition policy

473

(2)

13. Technical Barriers to Trade: TBT and SPS

475

(72)

1. The role of TBT and SPS

477

(4)

2. The legal relationship between GATT, TBT and SPS

481

(2)

3. Technical Barriers to Trade

483

(19)

3.1 Coverage

483

(2)

3.2 Technical regulations

485

(14)

3.2.1 National treatment and MFN

485

(1)

3.2.2 International standards

486

(1)

3.2.2.1 The definition of international standards in TBT

489

(1)

3.2.2.2 International standards and the necessity requirement

491

(1)

3.2.2.3 Technical regulations must be based on international standards

491

(1)

3.2.2.4 Legitimate objectives pursued through international standards

492

(1)

3.2.2.5 Deviating from inappropriate or ineffective international standards

493

(1)

3.2.2.6 Burden of proof in case of deviation

494

(2)

3.2.3 Unilateral technical regulations

496

(1)

3.2.3.1 The necessity requirement

497

(1)

3.2.3.2 Performance requirements

497

(1)

3.2.3.3 Mutual recognition agreements (MRAs)

498

(1)

3.2.3.4 Additional obligations

498

(1)

3.3 Standards

499

(2)

3.3.1 National treatment

499

(1)

3.3.2 Code of Good Practice

500

(1)

3.4 Common (to technical regulations and standards) provisions

501

(1)

3.4.1 Conformity assessment

501

(1)

3.4.2 Special and differential treatment

501

(1)

3.4.3 Expert groups

502

(1)

4. The Sanitary and Phytosanitary Measures

502

(38)

4.1 Coverage

502

(1)

4.2 International standards

503

(6)

4.2.1 Recourse to international standards

503

(2)

4.2.2 International standards and the necessity requirement

505

(1)

4.2.3 SPS measures must be based on international standards

505

(2)

4.2.4 Deviating from international standards

507

(1)

4.2.5 Burden of proof in cases of deviation from international standards

508

(1)

4.3 National SPS measures

509

(28)

4.3.1 National treatment and MFN for nationally-defined SPS measures

509

(1)

4.3.2 SPS measures on scientific evidence

510

(1)

4.3.2.1 The obligation to have recourse to scientific evidence

510

(1)

4.3.2.2 Defining risk

511

(1)

4.3.2.3 Defining risk assessment

512

(11)

4.3.3 The necessity requirement in the trade context: least restrictive option

523

(1)

4.3.3.1 The test for consistency with Art 5.6 SPS

524

(1)

4.3.3.2 The appropriate level of protection

524

(3)

4.3.4 Consistency in the application of the appropriate level of protection

527

(5)

4.3.5 SPS measures adopted on precaution

532

(1)

4.3.5.1 The precautionary principle in the WTO and in customary international law

532

(1)

4.3.5.2 Precaution and scientific evidence

534

(1)

4.3.5.3 Establishing (in-)consistency with Art 5.7 SPS

535

(2)

4.4 Remaining SPS provisions

537

(2)

4.4.1 Control inspection and approval procedures

537

(1)

4.4.2 Equivalence

538

(1)

4.4.3 Procedural obligations

539

(1)

4.5 Special and differential treatment

539

(1)

5. Recourse to experts

540

(4)

5.1 Appointment of experts

540

(1)

5.2 The legal relevance of expertise

541

(1)

5.3 To bear in mind...

542

(2)

6. Standard of review

544

(1)

7. Conclusions

544

(3)

14. Preferential Trade Agreements in the WTO

547

(44)

1. Preferential trade agreements (PTAs) in the WTO: FTAs and CUs

548

(1)

2. Globalization yet preferences too

549

(2)

3. What matters in preferential trade?

551

(3)

4. PTAs in the GATT

554

(24)

4.1 No intrinsic inconsistency

554

(1)

4.2 The Art XXIV GATT test summarized

555

(1)

4.3 Designed at home, approved (?) in Geneva

555

(4)

4.3.1 Two tracks available for review of the consistency of FTAs and CUs

555

(1)

4.3.2 Choice of track

556

(3)

4.4 The multilateral track

559

(14)

4.4.1 The duty to notify a PTA

559

(1)

4.4.1.1 A brief summary, of the CRTA

559

(1)

4.4.1.2 When to notify?

560

(2)

4.4.2 The external requirement

562

(1)

4.4.2.1 Free Trade Areas (FTAs)

562

(1)

4.4.2.2 Customs Unions

564

(4)

4.4.3 The internal requirement

568

(1)

4.4.3.1 The test summarized

568

(1)

4.4.3.2 Substantially all trade

568

(1)

4.4.3.3 Other restrictive regulations of commerce

570

(2)

4.4.4 Conclusions

572

(1)

4.5 The bilateral track

573

(4)

4.5.1 GATT panels: conflicting or scarce evidence

574

(1)

4.5.2 WTO panels: potential PTA-busters

575

(2)

4.6 Reviewing GAT jurisprudence

577

(1)

5. PTAs in the GATS-context

578

(4)

5.1 The procedural obligation

578

(1)

5.2 The substantive obligations

578

(2)

5.2.1 The internal requirement

578

(1)

5.2.2 The external requirement

579

(1)

5.3 Extending the benefits to third parties

580

(1)

5.4 Two available tracks

580

(1)

5.5 The standard of review

580

(1)

5.6 Labour market integration agreements

581

(1)

5.7 GATS: no jurisprudence

581

(1)

5.8 Should PTAs cover both GATTS and GATS?

581

(1)

6. No panel jurisprudence (for good reasons)

582

(6)

6.1 The outsiders: if I don't do it, somebody else will

583

(4)

6.1.1 Risk averse agents (panels)

584

(1)

6.1.2 Cost of litigation

585

(1)

6.1.3 De minimis? Less enforcement, better (export) opportunities

586

(1)

6.1.4 Unnecessary restriction of future options

586

(1)

6.1.5 Corruption

586

(1)

6.1.6 Too much at stake?

587

(1)

6.2 The incumbents: I won't do it, you shouldn't either (no room for an eye for an eye)

587

(1)

6.3 Is there a third group of countries?

588

(1)

7. MFN is LFN

588

(3)

15. Export Controls and National Security

591

(10)

1. Introduction

591

(1)

2. Export restraints

592

(1)

3. Export taxes

593

(1)

4. Security exceptions

594

(4)

5. Extraterritorial application of export controls

598

(2)

6. Conclusions

600

(1)

16. Trade in Services

601

(94)

1. The advent of GATS

604

(5)

2. The relationship between GATT and GATS

609

(2)

3. The scope of GATS: liberalization of trade in services

611

(6)

3.1 Defining service

611

(2)

3.2 Defining measures affecting trade in services

613

(3)

3.3 Modes of supply

616

(1)

4. Non-retroactivity of obligations assumed under GATS

617

(2)

5. General obligations

619

(21)

5.1 MFN

619

(7)

5.1.1 Likeness of services (and service suppliers)

620

(1)

5.1.2 Automatically and unconditionally

621

(1)

5.1.3 The standard of review: de jure, de facto discrimination

622

(1)

5.1.4 MFN exceptions

623

(3)

5.2 Transparency

626

(1)

5.3 Economic integration

627

(1)

5.4 Domestic regulation

627

(3)

5.5 Mutual recognition

630

(2)

5.6 Competition-related requirements

632

(1)

5.7 Safeguards

633

(1)

5.8 Payments and transfers

633

(1)

5.9 Subsidies

634

(1)

5.10 General exceptions

635

(5)

5 10.1 A brief overview of Art XIV GATS

635

(1)

5.10.2 Necessity in Art XIV GATS

636

(1)

5.10.2.1 Necessary to protect public morals or public order

638

(1)

5.10.2.2 Necessary to secure compliance

639

(1)

5.10.2.3 Compliance with the chapeau of Art XIV GATS

639

(1)

5.11 Institutional provisions

640

(1)

6. Specific commitments

640

(8)

6.1 The primacy of CPC

640

(2)

6.2 The scheduling modalities

642

(5)

6.2.1 The 1993 and 2001 Scheduling Guidelines

642

(3)

6.2.2 Horizontal and sector-specific commitments

645

(1)

6.2.3 The level of commitments: none, unbound and in-between

646

(1)

6.3 Interpreting commitments by WTO members

647

(1)

7. Art XVI GATS: market access under the GATS

648

(11)

7.1 The objective function of Art XVI GATS

648

(6)

7.2 How to schedule Art XVI commitments

654

(1)

7.3 Can WTO Members restrict access to their market through measures other than those defined in Art XVI.2 GATS?

655

(2)

7.4 Relationship with other provisions

657

(2)

7.4.1 Art XVI — Art XVII GATS

657

(1)

7.4.2 Art XVI — Art VI GATS

657

(2)

7.4.3 Art XVI — Art XIV GATS

659

(1)

8. Art XVII GATS: national treatment

659

(9)

8.1 The scope of national treatment

659

(3)

8.2 The test of Art XVII GATS summarized

662

(1)

8.3 Applying the test

662

(4)

8.3.1 Specific commitments must have been undertaken

662

(1)

8.3.2 Measure affecting trade in services

662

(1)

8.3.3 Like services or service suppliers

663

(1)

8.3.4 Treatment no less favourable

664

(2)

8.4 Standard of review: de jure and de facto violations

666

(1)

8.5 Relationship with other provisions

667

(1)

8.5.1 Art XVII — Art XVI GATS

667

(1)

8.5.2 Art XVII — Art VI GATS

667

(1)

8.5.3 Art XVII — Art XIV GATS

667

(1)

9. Art XVIII GATS: additional commitments

668

(2)

9.1 The scope of additional commitments

668

(1)

9.2 The mechanics of scheduling additional commitments

669

(1)

9.3 Relationship with other provisions

669

(1)

9.3.1 Art XVIII — Art II GATS

669

(1)

9.3.2 Art XVIII — Art XIV GATS

669

(1)

9.3.3 Art XVIII — Art XXI GATS

669

(1)

10. Changes in the specific commitments

670

(4)

10.1 Replacing and adding to past commitments

670

(3)

10.2 Multilateral modification of schedules

673

(1)

10.3 Unilateral modification of schedules

673

(1)

11. Liberalizing trade in services: an empirical view

674

(3)

12. The WTO Telecoms Agreement

677

(15)

12.1 A lengthy negotiation process

677

(1)

12.2 Sources of law

678

(2)

12.2.1 The Annex

679

(1)

12.3 The Reference Paper

680

(9)

12.3.1 The rationale for negotiating the Reference Paper

680

(2)

12.3.2 The Reference Paper summarized

682

(1)

12.3.3 Anti-competitive practices envisaged

683

(1)

12.3.4 Interconnection

684

(1)

12.3.4.1 Who should abide by? Defining the major supplier

684

(1)

12.3.4.2 International (?) interconnection

685

(1)

12.3.4.3 Cost-orientated rates for interconnection

687

(1)

12.3.4.4 Interconnection on reasonable terms and conditions

689

(1)

12.4 Scheduling commitments in telecoms

689

(19)

12.4.1 The telecoms-specificity of the Services Sectoral Classification List

689

(1)

12.4.2 Level of commitments by modes of supply

690

(1)

12.4.3 Types of limitations maintained

691

(1)

13. Conclusions

692

(3)

17. Intellectual Property

695

(44)

1. Introduction

696

(3)

2. Types of intellectual property rights addressed in the TRIPS Agreement

699

(5)

3. Overview of the TRIPS Agreement

704

(2)

4. Institutional arrangements

706

(1)

5. Provisions relating to developing countries

707

(1)

6. Public policy criticisms

708

(16)

6.1 Benefits and costs of higher IP standards for developing countries

709

(2)

6.2 Protection of traditional knowledge and culture

711

(1)

6.3 Biological diversity

712

(6)

6.3.1 Access to genetic resources

713

(3)

6.3.2 Patentability

716

(1)

6.3.3 Transfer of technology

717

(1)

6.4 Health

718

(5)

6.4.1 Compulsory licensing

719

(1)

6.4.2 Parallel imports

720

(2)

6.4.3 Beyond the TRIPS Agreement

722

(1)

6.5 Food

723

(1)

7. The general principles of the TRIPS Agreement

724

(1)

7.1 The relationship between the TRIPS Agreement and other intellectual property treaties

724

(1)

7.2 Acquisition and maintenance of intellectual property rights

724

(1)

7.3 National treatment and most-favoured-nation treatment

725

(1)

8. Minimum substantive standards

725

(7)

8.1 Copyright and related rights

725

(1)

8.2 Patents

726

(4)

8.2.1 Patent excludability

726

(1)

8.2.2 Limited exceptions

727

(1)

8.2.3 Compulsory licensing

728

(1)

8.2.3.1 Differing views on compulsory licensing

728

(1)

8.2.3.2 Provisions in the TRIPS Agreement

729

(1)

8.3 Trademarks and service marks

730

(1)

8.4 Geographical indications

730

(1)

8.5 Undisclosed information or trade secrets

731

(1)

8.6 Industrial designs

731

(1)

8.7 Layout designs of integrated circuits

731

(1)

9. Enforcement of intellectual property rights under the TRIPS Agreement

732

(2)

9.1 General principles

732

(1)

9.2 Civil and administrative procedures and remedies

732

(1)

9.3 Criminal procedures

732

(1)

9.4 Border measures

733

(1)

9.5 Provisional measures

733

(1)

9.6 Dispute settlement

734

(1)

10. Exhaustion of intellectual property rights

734

(1)

11. Restrictive business practices

735

(2)

11.1 Types of restrictive business practices involved in technology licensing agreements

735

(1)

11.2 Article 40 of the TRIPS Agreement

736

(1)

12. Conclusions

737

(2)

18. Government Procurement

739

(24)

1. The Government Procurement Agreement as a Plurilateral Agreement

740

(2)

2. The background of the Agreement on Government Procurement

742

(2)

2.1 General background

742

(1)

2.2 The Tokyo Round Agreement

743

(1)

3. Major features of the Agreement on Government Procurement

744

(7)

3.1 In general

744

(1)

3.2 Scope and coverage

745

(1)

3.3 National treatment and non-discrimination

746

(1)

3.4 Rules of origin

746

(1)

3.5 Special and differential treatment for developing countries

747

(1)

3.6 Technical specifications

747

(1)

3.7 Tendering procedures

748

(1)

3.8 Abnormally low tendering

749

(1)

3.9 Challenge procedures

749

(1)

3.10 Consultations and dispute settlement

750

(1)

3.11 Exceptions

750

(1)

3.12 Entry into force of the Agreement

751

(1)

4. Domestic implementation

751

(3)

4.1 Art XXIV of the Agreement

751

(1)

4.2 The European Communities

751

(1)

4.3 The United States

752

(1)

4.4 Japan

753

(1)

5. Dispute settlement in relation to the Agreement on Government Procurement

754

(27)

5.1 In general

754

(1)

5.2 GATT/WTO dispute cases

755

(27)

5.2.1 The Trondheim Case

755

(2)

5.2.2 The Korean Inchon Airport Case

757

(2)

5.2.3 The State of Massachusetts Case

759

(1)

5.2.4 The Japan Railway OR) Case — a dispute settlement at challenge procedures

760

(3)

19. Developing Countries

763

(1)

1. The developing world

763

(2)

2. A little history

765

(5)

3. GATT Article XX(h)

770

(1)

4. GATT Article XVIII

770

(2)

5. Part IV of the GATT

772

(1)

6. The generalized system of preferences

773

(4)

7. The Global System of Trade Preferences

777

(1)

8. Special and differential treatment provisions for developing countries in the Uruguay Round

777

(2)

9. Trade and economic development

779

(2)

10. Trade and the right to development

781

(1)

11. Enhancing market access

782

(1)

12. New initiatives

782

(3)

20. Environmental Protection and Trade

785

(1)

1. Introduction

786

(4)

2. Environmentalist trade demands: a critical analysis

790

(1)

3. The environmental impact of trade

790

(4)

4. The Tuna Dolphin cases: a false start

794

(3)

5. The WTO approach under GATT 1994

797

(34)

5.1 GATT Article XX(g)

797

(2)

5.2 GATT Article XX(b)

799

(2)

5.3 The chapeau of Article XX

801

(2)

6. Multilateral and bilateral environmental agreements

803

(2)

7. Unilateral measures

805

(1)

8. Protection of natural resources

806

(1)

9. Environmental standards and process and production methods

807

(1)

9.1 Standards and technical regulations

807

(1)

9.2 Process and production methods

808

(12)

9.2.1 Environmental agreements

811

(2)

9.2.2 Environmental management systems

813

(2)

9.2.3 Investment

815

(1)

10. Recycling and packaging

816

(2)

11. Eco-labels

818

(2)

12. The export of hazardous substances and wastes

820

(3)

12.1 Domestically prohibited goods

820

(1)

12.2 Waste

821

(2)

13. Environmental taxes

823

(6)

13.1 Taxes on products

826

(1)

13.2 Taxes on resource use

827

(1)

13.3 Taxes on inputs

827

(2)

14. Conclusions

829

(2)

21. Trade and Investment

831

(20)

1. Trade and investment in the WTO: from modest initial steps to high hopes and back

831

(7)

2. TRIMs

838

(11)

2.1 The scope of TRIMs

838

(1)

2.2 TRIMs after GATT: what value is added?

839

(5)

2.3 TRIMs and other WTO Annex 1A agreements

844

(1)

2.4 Substantive provisions

845

(3)

2.4.1 Standstill

845

(1)

2.4.2 Transitional phase

845

(1)

2.4.3 TRIMs inconsistent with Art Ill GATT

846

(1)

2.4.4 TRIMs inconsistent with Art XI GATT

847

(1)

2.5 Procedural obligations

848

(1)

2.5.1 Notification of TRIMs

848

(1)

2.5.2 Transparency

848

(1)

2.6 Remaining provisions

848

(4)

2.6.1 Review of TRIMs

848

(1)

2.6.2 Institutional Issues

849

(1)

3. Conclusions

849

(2)

22. Competition Policy and Trade

851

(56)

1. WTO and competition policy

852

(6)

1.1 Introduction

852

(1)

1.2 Anti-competitive conduct that adversely affects international trade

853

(5)

1.2.1 International cartels, export cartels and import cartels

853

(2)

1.2.2 Boycotts, tie-in contracts and vertical restraints

855

(1)

1.2.3 Mergers and acquisitions

856

(2)

2. Provisions on competition policy in the WTO agreements

858

(6)

2.1 Agreement on technical barriers to trade (TBT Agreement)

858

(2)

2.2 Trade in services

860

(2)

2.3 Intellectual property and trade-related investment measures

862

(1)

2.4 Safeguards and antidumping

863

(1)

3. Extraterritorial application of domestic competition laws

864

(10)

3.1 In general

864

(1)

3.2 The United States

865

(4)

3.3 The European Community

869

(2)

3.4 Germany

871

(1)

3.5 Japan

872

(2)

4. Conflict of jurisdictions

874

(7)

4.1 In general

874

(1)

4.2 The ICI case

874

(2)

4.3 The Swiss Watch case

876

(1)

4.4 The Laker case

877

(2)

4.5 The GE/Honeywell case

879

(1)

4.6 Summary

880

(1)

5. Trade policy and competition policy

881

(4)

5.1 Trade policy and competition

881

(1)

5.2 The Semiconductor case

882

(1)

5.3 Competition policy implications of the Semiconductor Agreement

883

(2)

6. International cooperation in competition policy

885

(8)

6.1 Globalizing economy and the need for convergence of competition law and policy

885

(1)

6.2 International cooperation in competition policy

886

(7)

6.2.1 Types of cooperation in competition policy

886

(2)

6.2.2 Positive comity

888

(1)

6.2.3 Cooperation in investigation

889

(1)

6.2.4 Convergence of competition policy and law

890

(2)

6.2.5 The ICPAC Report

892

(1)

7. The competition policy debates in the WTO

893

(8)

7.1 Activities of the working group on trade and competition policy in the WTO

893

(3)

7.2 Review of the working group's reports

896

(3)

7.2.1 Consensus

896

(1)

7.2.2 Divergent views

897

(2)

7.3 The Ministerial Declaration on Competition Policy adopted at the Doha Ministerial Conference in November 2001

899

(2)

8. Conclusions

901

(6)

8.1 Option 1: A declaration that competition policy is an integral part of the WTO regime

901

(1)

8.2 Option 2: A plurilateral agreement

901

(1)

8.3 Option 3: A non-binding multilateral framework for cooperation in competition policy

902

(2)

8.4 Option 4: A partly-binding multilateral framework

904

(3)

23. Future Challenges

907

(26)

1. Four crises

907

(7)

1.1 Interna9 decision-making

908

(2)

1.2 Civil society

910

(2)

1.3 Developing countries

912

(1)

1.4 Regional and bilateral free trade agreements

913

(1)

2. The multilateral trading system at a crossroads

914

(4)

3. Societal issues

918

(10)

3.1 The environment

918

(2)

3.2 Health

920

(1)

3.3 Workers' rights

921

(2)

3.4 Human rights

923

(1)

3.5 The poor

924

(2)

3.6 Intellectual property

926

(1)

3.7 Transparency

927

(1)

3.8 Governance

927

(1)

4. The Doha negotiating agenda

928

(5)

Annex 1: Article 22.6 Arbitrations

933

(4)

Annex 2: GATT & WTO Dispute Settlement Reports

937

(10)

Index

947

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The World Trade Organization Law, Practice, and Policy

The World Trade Organization Law, Practice, and Policy

9780199284566

0199284563

Summary

Author Biography

Table of Contents

Supplemental Materials

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Amazon no longer offers textbook rentals. We do!

The World Trade Organization Law, Practice, and Policy

The World Trade Organization Law, Practice, and Policy

9780199284566

0199284563

Summary

Author Biography

Table of Contents

Supplemental Materials

Write a Review

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