Orientador: Sebastião Carlos Velasco e Cruz / Banca: Ricardo Ubiraci Sennes / Banca: Flávia de Campos Mello / O Programa de Pós-Graduação em Relações Internacionais é instituido em parceria com Unesp/Unicamp/PUC-SP, intitulado "Programa San Tiago Dantas" / Resumo: A reconfiguração das estruturas de governança global é uma tendência verificada no contexto pós Guerra Fria. Com o objetivo de compreender qual o papel dos Estados Unidos na reorganização dos regimes liberais no início do século XXI, delimitamos nosso objeto em torno da análise da influência norte-americana na reforma do mecanismo de disputas da Organização Mundial do Comércio (OMC). Examinamos as negociações dos temas "acesso ao sistema" e "implementação das decisões" para identificar se o United States Trade Representative consegue moldar a revisão do Entendimento de Solução de Controvérsias em favor dos seus interesses. As ações norteamericanas têm uma influência importante, embora não decisiva, na reestruturação do sistema de disputas da OMC / Abstract: The reconfiguration of the structures of global governance is a trend in the post-Cold War era. In order to understand the role of the United States in the reorganization of liberal regimes at the beginning of 21st century, we defined our object as being the analysis of the US influence on the reform the dispute settlement mechanism of the World Trade Organization. We examine the negotiations of "system access" and "implementation of decisions" to identify if the United States Trade Representative can shape the Dispute Settlement Understanding review in favor of their interests. The US actions exert an important influence, though not decisive, in restructuring the WTO disputes system / Mestre

The commercial operations of the modern world are complex and often present a series of equally sophisticated disputes. The old contractual models and their remedies are not sufficient to cover the current dynamics, this is the case of related operations that require efficient tools for their solution.In this context, the author develops a series of techniques or mechanisms for the efficient and effective solution of the identified problems, consolidation and suspension. It proposes that these mechanisms respond to the contractual mechanics of the current trade, which involves a series of intricate and related relationships, grouping in a single process the solution of the controversy.Likewise, the advantages and elements required by these mechanisms to operate will be analyzed. / Las operaciones comerciales del mundo moderno son complejas y presentan, muchas veces, una serie de controversias igualmente sofisticadas. Los viejos modelos contractuales y sus remedios no son suficientes para abarcar la dinámica actual, este es el caso de operaciones conexas que requieren herramientas eficientes para su solución.En ese contexto, el autor desarrolla una serie de técnicas o mecanismos para la solución eficiente y eficaz de las problemáticas señaladas, la consolidación y suspensión. Propone que dichos mecanismos respondan a la mecánica contractual del comercio actual, la que implica una serie de relaciones intrincadas y conexas, agrupando en un solo proceso la solución de la controversia. Asimismo, se analizarán las ventajas y elementos que requieren dichos mecanismos para operar.

O presente trabalho trata da legitimidade da técnica interpretativa do Órgão de Apelação do sistema de solução de controvérsias da Organização Mundial do Comércio. A indagação que realizamos durante o trabalho é se o método interpretativo utilizado pelo Órgão de Apelação, em si, é legítimo e se, dadas as características específicas dos acordos da OMC, esse método reforça a própria legitimidade do sistema multilateral do comércio. Para tanto, definimos no primeiro capítulo o conceito de legitimidade do sistema multilateral de comércio no qual figuram, como elementos de fundamental relevância, as medidas de construção de confiança entre os Membros da OMC e a sua expectativa de que o sistema de solução de controvérsias da OMC traga segurança e previsibilidade às regras negociadas por consenso durante a Rodada Uruguai. Argumentamos que a primazia dada à letra dos acordos é um dos elementos fundamentais da segurança e da previsibilidade buscada pelos Membros da OMC. Tratamos da legitimidade da técnica interpretativa do Órgão de Apelação da OMC comparando-a com outras técnicas utilizadas por outras cortes internacionais. Analisamos quais seriam os efeitos da aplicação de outros métodos interpretativos no sistema multilateral de comércio, como por exemplo, a interpretação teleológica. Para melhor compreender os fundamentos da técnica interpretativa do Órgão de Apelação, interessou-nos examinar os métodos de interpretação de outros sistemas de direito contemporâneo, notadamente, o Common Law e o Civil Law, e verificar se procede a afirmação de parte da doutrina especializada de que há uma influência predominante do Common Law no sistema de solução de controvérsias da OMC, que supostamente colocaria em risco a legitimidade das decisões do Órgão de Apelação. Embora tenhamos denominado o presente trabalho como a técnica interpretativa do Órgão de Apelação, verificamos que essa técnica não é mecânica. Não supomos ser suficiente que o Órgão de Apelação simplesmente siga matematicamente os critérios da Convenção de Viena sobre Direito dos Tratados para alcançar o resultado e a solução para o caso concreto. Verificamos que a interpretação de um tratado vai além da técnica, envolve um raciocínio e, em última análise, uma escolha. Estudamos essa técnica/arte de raciocínio no presente trabalho. Analisamos como os elementos exteriores à técnica mecânica fazem parte da interpretação, como, por exemplo, o confronto de juízes de nacionalidades distintas e o peso da denominada cultura jurídica na prática interpretativa, além do perfil cultural de parte dos membros do Órgão de Apelação. / This work deals with the legitimacy of the interpretive technique of the World Trade Organizations dispute settlement systems Appellate Body. We ask whether the interpretive method used by the Appellate Body is, in itself, legitimate, and whether, given the specific characteristics of the system, this method reinforces the legitimacy of the multilateral trade system itself. To this end, in the introductory chapter we define the concept of the legitimacy of the multilateral trade system, in which elements of fundamental importance include the measures to build confidence among the World Trade Organization members and their expectation that the World Trade Organization dispute settlement system brings predictability to the rules negotiated by consensus during the Uruguay Round. We argue that the primacy given to the letter of the agreements is one of the fundamental elements of security and predictability sought by WTO members. We deal with the legitimacy of the World Trade Organization Appellate Bodys interpretive technique, comparing it to other techniques used by other international courts. We analyze what the effects of the application of other interpretive methods, such as, for example, teleological interpretation, would be in the multilateral trade system. To better understand the fundamentals of the Appellate Bodys interpretive technique, we examine the interpretive methods of other contemporary legal systems, especially of the common law and the civil law systems, to determine whether the claim made in the specialized legal literature that there is a predominant influence of the common law in the WTO dispute settlement system, which is allegedly putting the legitimacy of the Appellate Bodys decisions at risk, is correct. Although we have given this work the name the interpretive technique of the Appellate Body, we suggest this technique is not mechanical. We do not suppose that it is sufficient for the Appellate Body to simply mechanically follow the Vienna Convention on the Law of Treaties criteria to reach the result and the resolution of a concrete case. We have found that the interpretation of a treaty goes beyond the technique and involves reasoning and, in the final analysis, a choice. We have studied this reasoning technique/art in this work. We analyze how the elements exterior to the mechanical technique are part of the interpretation, such as, for example, the confrontation of judges with different nationalities and the weight of the so-called legal culture in the practice of interpretation, in addition to the cultural profile of the members of the Appellate Body.

Avant même son adhésion à l’OMC, la Chine disposait déjà en matière de propriété intellectuelle d'un arsenal juridique très complet sous de fortes influences extérieures, en particulier américaines. La Chine a instauré le système complet et efficace de propriété intellectuelle en moins de trente ans, elle a capacité de, au moins théoriquement, remplir ses engagements internationaux de l’Accord sur les ADPIC. La Chine semble maintenant l'un des pays où la protection de la propriété intellectuelle est du niveau mondial le plus avancé. Dans ce cas là, on peut néanmoins s’interroger, si on constate que la Chine a déjà rempli ses engagements internationaux en cette matière, pourquoi les Etats-Unis ont déposé deux plaintes relatives au régime chinois de propriété intellectuelle auprès de l’OMC en avril 2007 ? Pourquoi la Chine a une fois de plus été inscrit en 2007 par les Etats-Unis sur la « liste 301» ? Et pourquoi la Chine est toujours considérée comme un pays roi de la contrefaçon aux yeux des occidentaux ?Les pays développés peuvent arriver à imposer une législation aux pays en développement, ils ne peuvent cependant pas imposer sa mise en œuvre. Comme le dit le fameux proverbe, « Tu peux amener un cheval au bord de la rivière, tu ne peux néanmoins pas le faire boire ». La raison nous semble évidente en espèce : l’élaboration d’une loi suppose une action des autorités étatiques, qui pourrait être faite comme un choix diplomatique sous des contraintes ; l’application de la loi dans une société dépend des éléments juridique, économique, culturel, moral, etc., qui ne peut pas être obtenue sous l’effet d’une contraintes de quelque sorte que ce soit. Cela nous invite à réfléchir sur l’applicabilité du mécanisme de règlement des différends de l’OMC à la mise en œuvre de l’Accord sur les ADPIC. La protection des droits de propriété intellectuelle dans les pays en développement met en lumière des problèmes systémiques dont le traitement nécessite une approche globale. Même si la Chine n’est qu’un exemple des pays en développement, à cause de sa taille, c’est toujours la protection des droits de propriété intellectuelle en Chine qui attire le plus l’attention au niveau mondial. En Chine, comme dans tous les pays en développement, le décalage entre la législation nationale en matière de propriété intellectuelle et sa mise en œuvre ne peut diminuer qu’au fur et à mesure de l’évolution de la société dans les aspects concernant l’Etat de droit, la mentalité des habitants à l’égard des droits de propriété intellectuelle, le rôle de la propriété intellectuelle dans le développement de la société, etc. / Even before its entry into the WTO, China had already had a complete set of legal means in the field of intellectual property under the great external influences, especially from the United States., China has established an integrated and valid system of intellectual property in no more than three decades, therefore, she is capable of, at least theoretically, fulfilling her international commitments to the TRIPS Agreement. Nowadays, China seems to become one of the countries which have the world's highest level of intellectual property protection. Given the circumstances, if it is perceived that China has already fulfilled its international obligations under TRIPS Agreement, we still wonder why the United States appealed twice to WTO concerning China’s intellectual property system in 2007 ? Why was China listed in the "The 301 Clause" again in 2007 by the United States? And why has China been considered a manufacturer of counterfeits in westerners’ eyes?Developed countries can compel developing countries to make laws, but they can not ensure the implementation of laws. As the famous proverb goes, "You can lead a horse to the water, but you cannot make it drink." The reason seems quite obvious: legislation is an action of a country, which may be made as a diplomatic choice under certain pressure; while the application of the law, whose effect is unlikely to be achieved under any kind of external pressure, is dependant on various factors such as jurisdiction, economy, culture, ethics etc. This enables us to reflect on the validity of the WTO mechanism of dispute settlement in the implementation of the TRIPS Agreement. The protection of intellectual property rights in developing countries concerning some systematic problems requires a comprehensive cognition. Although China is an example of developing countries due to her size, the protection of intellectual property rights in China has always attracted various attentions worldwide. In China, as in all the other developing countries, the disparity between the legislation and implementation on intellectual property can only be reduced with the gradual social development in aspects of the establishment of a country under the rule of law, the ideological recognition of intellectual property rights by the public, the role of intellectual property in the process of social development, etc.

This thesis, entitled WTO Dispute Settlement Mechanism focuses on the issue of direct effect of WTO law with respect to the possibility of private persons to claim damages in case they are affected by the retaliatory measures adopted by the injured WTO-member in response to the violation of WTO rules perpetrated by their government. In connection with the aforesaid, the thesis compares the approach of the United States of America with the one of the European Union. Given the fact that the jurisprudence of the European Court of Justice regarding the issue of direct effect of WTO law has undergone substantial development, the thesis also analyses the jurisprudence and its outcomes. This thesis is divided into two parts. The first one introduces the dispute settlement procedure before the Dispute settlement body under the Understanding on Rules and Procedures Governing the Settlement of Disputes. The thesis focuses on particular stages of the procedure before the DSB and introduces the particular actors of the dispute settlement mechanism. The first part consists of three chapters, first of which deals with particular actors, second defining particular stages of the procedure and third focusing on the stage of implementation of DSB decisions. The second part that is also divided into three chapters...

L’interprétation des dispositions des accords de l’OMC constitue l’enjeu principal de la phase d’appel du système de règlement des différends. Ce processus intellectuel vise à établir le sens des normes. La compétence d’interprétation procure donc un pouvoir normatif important que l’Organe d’appel est, en pratique, le seul à détenir en dernier ressort à l’OMC. Cependant, elle est encadrée par l’obligation, imposée par le Mémorandum d’accord sur les règles et procédures régissant le règlement des différends, d’assurer la sécurité et la prévisibilité du système commercial multilatéral. Or, l’interprétation est une opération, par nature, quasi discrétionnaire. Elle ne peut donc théoriquement pas répondre à l’objectif de sécurité. Cette thèse montre que l’Organe d’appel parvient pourtant à faire face à ce double défi : procurer, par le biais de l’interprétation, un sentiment de sécurité juridique aux membres, et assurer un minimum de sécurité juridique au système. L’Organe d’appel a conscience que l’interprétation est avant tout perçue comme une opération technique et soigne sa mise en œuvre. Sa technique interprétative rationnelle, sans être en mesure de garantir la prévisibilité, lui permet néanmoins de procurer aux membres de l’OMC un sentiment de sécurité juridique. Sa politique interprétative, basée sur l’intégration du droit de l’OMC dans le système juridique international et sur le développement et le maintien de l’unité du système OMC, lui permet, quant à elle, d’instaurer de facto une situation de relative sécurité juridique. L’Organe d’appel parvient ainsi à faire de la sécurité juridique un principe d’interprétation. / The interpretation of WTO rules is the main stake of the appeal stage of the Dispute Settlement System. This intellectual process aims at establishing the meaning of the rules. The Appellate Body has thus a strong normative power. Moreover it is de facto the only one to exercise this competence without appeal. However, this competence is limited by the Understanding on Rules and Procedures Governing the Settlement of Disputes which requires the Appellate Body to provide security and predictability to the multilateral trading system. Yet, interpretation is a near discretionary operation by nature and cannot, in theory, meet the security goal. This study demonstrates that the Appellate Body, though, manages to face this double challenge. It has to bring, thanks to interpretation, a security feeling to the WTO Members and to provide security to the system. The Appellate Body is careful about the implementation of interpretation because it is aware that interpretation is above all understood as a technical operation. Its interpretative technique is rational and, even if it is not able to ensure predictability, it brings the Members a security feeling. Its interpretative policy is based on the integration of WTO law in the international legal system and on the development and preservation of unity of the WTO system. It establishes a situation of relative legal certainty. In this way, the Appellate Body manages to use legal certainty as an interpretative principle.

This thesis analyses a trade dispute between the US and the EU concerning geographical indications, which was brought to the World Trade Organization in 1999. It deals with the differences between the american and the european approach towards geographical indications, it describes the background of the dispute, its various stages and consequences.

This master's thesis is concerned with the settlement of particular WTO disputes between Brazil and the United States. The aim of the thesis is to explain the importance of the Dispute Settlement Mechanism (DSM) for Brazilian trade strategy. To demonstrate the use of the mechanism the focus is placed on two specific disputes involving the United States and Brazil. These disputes, regarding patent protection and cotton subsidies, are analyzed using case-study methodology. Moreover, quantitative research based on WTO disputes data is included in the introductory chapter. The study of the disputes shows that Brazil has been one of the most active users of the DSM and that it has initiated cases predominantly against developed countries, the United States being the most frequent target. This strategy enables Brazil to pursue cases that are likely to have systemic implications and thus could have an impact on the international trade order. The two case studies are examples of disputes of potential systemic importance. They further reveal the complexity of disputes in terms such as the increasing role of NGOs, the concept of retaliatory suits, and the significance of timing and political pressure. The exposed dynamics of the settlement of disputes is useful for understanding other WTO cases as well.

Magister Legum - LLM / The World Trade Organisation (WTO) deals with regulation of trade in goods, services and intellectual property between participating countries by providing a framework for negotiating trade agreements.1 Furthermore, it has implemented a dispute resolution process aimed at enforcing participants' adherence to WTO agreements. Ideally, all WTO member states have ‘a level playing field’ in terms of access and equal rights under the dispute settlement mechanism. Disputes should be resolved in a fair and impartial manner. However, the WTO’s DSS has been criticised for being undemocratic, non-transparent and accountable to none. 2

臺灣與中國大陸加入WTO後，其貿易互動將更趨頻繁，此現象除了帶來兩岸經濟的活絡外，也將提高兩岸貿易糾紛發生的可能性，因此熟悉WTO爭端解決機制的運作是臺灣做為一個經貿小國必學的課題；又兩岸糾紛不同於一般國際經貿糾紛，牽涉到敏感的政治因素，臺灣面臨的是對我主權不尊重也不認同之國家，在這樣的情況下，臺灣必須學習如何訴諸WTO爭端解決機制的法律途徑以保障臺灣經貿。 WTO爭端解決機制包含諮商、斡旋等雙邊協商，協商不成則可提請爭端解決機構(DSB)成立爭端解決小組(panel)以為因應，透過小組對兩造意見之書面審查、口頭辯論等意見表達，及蒐集相關資訊蒐集後，最後由小組做成「期中報告」，若成員國無其他意見表述，則「期中報告」即為「最終報告」，DSB有權要求被控訴履行裁決。 在整個WTO爭端解決過程中，臺灣必須面臨的挑戰有：中國大陸認定臺灣無提請訴訟資格的主權抗議、國際現實的壓力、龐大的訴訟費用，以及曠日費時的訴訟期間等。倘最後中國拒絕履行義務，臺灣雖可請求DSB授權對中國大陸進行貿易制裁，但其亦將蒙受本身產業在貿易制裁過程中的損失。這些因素使得臺灣政府在對中國大陸發動WTO爭端解決程序時有所顧忌。 但將兩岸爭端訴諸WTO爭端解決程序有一好處，即使兩岸貿易 回歸到規則導向的互動，亦可嚇阻中國大陸不尊重我為WTO會員國之相關行動，使兩岸貿易走向法制化的互動。 / After Taiwan and China accession to the WTO, the activities of bilateral trade will be more frequent. Besides the busy business, the possibility of trade disputes between cross-strait parties will be arisen as well. Therefore Taiwan needs to have more intimate knowledge of WTO dispute settlement mechanism. On the other hand, the disputes between cross-strait is different to other international disputes. The opponent that Taiwan faces to is a country which doesn’t respect Taiwan’s state sovereign. In such a circumstances, Taiwan have to learn how to protect the benefits of domestic industries through resorting to the legal access of WTO dispute settlement mechanism. The procedures of WTO dispute settlement mechanism contains bilateral negotiation like consultation、good-offices etc. If the consultation is in vain, the complaining party could request the DSB to establish the panel. The panel has the rights to review the written requests、consider the rebuttal submissions、and seek concerning information, then the panel should issue an “interim report ”.If no other Member State has different requests, the “interim report ”shall be considered “ the final panel report “, and the DSB has the right to ask the defendant party to practice the recommendations. During the whole process of WTO dispute settlement, Taiwan has to face these challenges as follows: the sovereign protest from China、the pressure from international reality、huge expenses of the proceedings, long time in the proceedings etc....If China refuse the recommendations, Taiwan could request the authorization from the DSB to suspend the application to Taiwan concerned of trade sanction. But the sanction will also injury Taiwan’s own domestic industries. Those consideration make Taiwan feel fearful of operating the WTO dispute settlement procedures against China. There is an advantage of resorting to the WTO dispute settlement procedures against China, that is lead the trade activities between cross-strait to the operation of rule-oriented access ,and it also can stop China continue using the measures that will violate Taiwan’s sovereign. Those changes can legalize the trade activities between cross-strait.