Submitted by CAROLINA CRISTINA LOUÇÃO PRETO null (carolina_loupre@hotmail.com) on 2016-03-22T17:07:09Z No. of bitstreams: 1 Doutorado - Tese v. final.pdf: 1477120 bytes, checksum: aff51927b87770b79c5a986a21f71db8 (MD5) / Approved for entry into archive by Ana Paula Grisoto (grisotoana@reitoria.unesp.br) on 2016-03-23T12:16:35Z (GMT) No. of bitstreams: 1 preto_ccl_dr_mar.pdf: 1477120 bytes, checksum: aff51927b87770b79c5a986a21f71db8 (MD5) / Made available in DSpace on 2016-03-23T12:16:35Z (GMT). No. of bitstreams: 1 preto_ccl_dr_mar.pdf: 1477120 bytes, checksum: aff51927b87770b79c5a986a21f71db8 (MD5) Previous issue date: 2016-02-25 / Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES) / Este trabalho tem como objetivos a) entender o contexto histórico e as motivações que levaram os Estados Unidos a propor uma reforma ambiciosa do mecanismo de solução de disputas comerciais do GATT e a apoiar a criação da OMC durante a Rodada Uruguai (1986-1994); e b) investigar a participação norte-americana no uso do sistema de resolução de disputas reformado que resultou das referidas negociações. Embora tenha sido fortemente advogada pelos EUA, a reforma do mecanismo foi descrita por alguns estudiosos como uma inovação institucional que reduziu a influência norte-americana sobre os processos de resolução de controvérsias, introduzindo maior igualdade às relações comerciais entre Estados com poderes assimétricos. Ao examinar o desempenho dos EUA em casos levados à OMC entre 1995 e 2013 e compará-lo com o de outros membros da instituição, tentamos avaliar a validade do argumento acima mencionado, como também, as posições de perspectivas teóricas opostas. Identificamos um padrão na participação dos EUA nos casos do OSC da OMC que é significativamente distinto do de outros membros da instituição, sugerindo que o país teve um desempenho mais favorável, principalmente nas fases iniciais das ações. A principal evidência encontrada nessa direção diz respeito à proporção de divergências que são solucionadas por meio de acordos entre as partes. Em comparação à média geral dos demais membros da instituição, os EUA se destacaram por obter um número elevado de acordos quando eram os reclamantes. Por outro lado, na condição de parte denunciada, o país se diferenciou por firmar uma porcentagem muito menor de acordos. Nesse sentido, os resultados obtidos em nosso estudo sugerem que, como era a situação no GATT, de forma geral, os EUA continuam mais capazes que outros atores de contestar com sucesso as políticas de seus parceiros comerciais pela via multilateral e, ao mesmo tempo, de minimizar alterações das suas próprias práticas. / This study aims a) to understand the historical context and the motivations that led the United States to propose an ambitious reform of the GATT trade dispute settlement mechanism and to support the establishment of the WTO during the Uruguay Round (1986-1994); and b) to investigate the US participation in the use of the reformed dispute settlement system that resulted from these negotiations. Despite being strongly advocated by the US, the reform of the mechanism has been described by some scholars as an institutional innovation that has significantly reduced the American influence on the process of resolving disputes, introducing greater equality in the trade relations between states with asymmetric powers. By examining the US performance in cases brought to the WTO between 1995 and 2013 and comparing it with that of other members of the institution, we try to assess the validity of the argument mentioned above as well as the positions of opposing theoretical perspectives. We identified a pattern in US participation in the WTO’s DSB cases that is significantly different from that of other members of the organization, suggesting that it had a more favorable performance, especially in the early stages of an action. The main evidence found in this direction regards the proportion of disputes that are resolved by an agreement between the parties involved. When compared to the general average of other members of the institution, the United States stood out for obtaining a large number of agreements when acting as plaintiffs. By contrast, in the position of the demanded party, it further differentiated itself by reaching a much smaller percentage of agreements. In this sense, the results obtained in our study suggest that, as was the situation in the GATT, the US remains generally more capable than other actors to successfully challenge the policies of its trading partners through the multilateral via and, at the same time, to minimize changes to its own practices.

Magister Philosophiae - MPhil / Increasing energy needs globally have recently led to an interest in effectively bringing energy services in the trading system. Energy services were part of the Uruguay Round of negotiations, whose main achievement was the General Agreement on Trade in Services (GATS). The objective of the GATS is to achieve progressive liberalisation and reduction or elimination of trade barriers of all services sectors, including energy services. The GATS has made commendable progress in liberalising many service sectors, however it has not made meaningful progress with energy services. Furthermore though the SADC region engages in energy services trade through bilateral and regional agreements, a variety of barriers inhibit major successes from being achieved. Effective energy services trade and liberalisation has therefore proved problematic both at the multilateral, regional and bilateral level. This study, seeks to investigate why energy services liberalisation and trade at the multilateral, regional and bilateral level is problematic, with a particular focus on the SADC region. / South Africa

Magister Philosophiae - MPhil / Increasing energy needs globally have recently led to an interest in effectively bringing energy services in the trading system. Energy services were part of the Uruguay Round of negotiations, whose main achievement was the General Agreement on Trade in Services(GATS). The objective of the GATS is to achieve progressive liberalisation and reduction or elimination of trade barriers of all services sectors, including energy services. The GATS has made commendable progress in liberalising many service sectors, however it has not made meaningful progress with energy services. Furthermore though the SADC region engages in energy services trade through bilateral and regional agreements, a variety of barriers inhibit major successes from being achieved. Effective energy services trade and liberalisation has therefore proved problematic both at the multilateral, regional and bilateral level. This study,seeks to investigate why energy services liberalisation and trade at the multilateral, regional and bilateral level is problematic, with a particular focus on the SADC region.

中美雙邊關系的外交議題，在八○年代前后有重大的變革。兩國關系因長期貿易順差 使外交重心由戰略利益轉向經濟利益，兩國自１９８５年起的密集貿易談判充分凸顯 出雙邊關系的這種轉變。 中美貿易談判就表面看，是兩國貿易長期順差導致的結果，但就新興工業國家角度看 ( NICS) ，卻微妙的反映出體系中新興勢力的發展趨勢，即新興工業國家經長期發展 后，其經濟實力已浮現為世界貿易市場的重要競爭者，而GATT的經貿體制帶來不穩定 的因素，使得美國經貿失衡的困境更為嚴重難解。 因此，中美經貿談判可說是美國與其它新興國家談判的一環。這些NICS在國際體系中 權力資源及地位都不如美國，故引發本文動機，即「弱國如何在強權社會中生存」。 其假設為：在強與弱的談判中，權力資源屬于弱勢國家，如何藉談判策略來彌補其權 力結構的限制。 就此假設我們在第二章的文獻探討中，分別以國家有效資源及依賴受損度概念分析國 家權力與談判結果的關聯；及以博奕理論和磋商理論(bargaining theory) 探討不對 稱性談判的策略運用。 在第三章中以臺灣在外交、軍事、經濟上的權力資源，分析臺灣由依賴走向互賴之際 ，權力的增加是否可增加兩國間利益交換的機會。 第四章中的臺灣談判策略分析及第五章的結論都是針對中美在1985∼1990年就個案談 判雙方策略顯現在經貿政策的運用、利益團體的游說，以及結盟奧援等做法的分析。 本文焦點放在以「權力－策略」觀點，分析不對稱談判中弱者如何求生存？以及弱勢 國家如何以策略縮小彼此差距，以打破「權力決定談判結果」的模式，從而為中美經 貿談判的有關研究中，補充這方面的學術空白。

"Mémoire présenté à la Faculté des études supérieures en vue de l'obtention du grade de Maîtrise en Droit (LL.M.)" / Ce mémoire analyse l'impact du droit commercial international sur les politiques et pratiques commerciales en matière de boissons alcooliques au Québec. Plus spécifiquement, il examine leur conformité aux obligations contenues au GATT et aux autres accords commerciaux. Le premier chapitre présente le régime juridique applicable au commerce de l'alcool, dans le contexte particulier du partage constitutionnel canadien et de la délégation du pouvoir provincial à la Société des alcools du Québec (« SAQ »). Le second chapitre retrace l'évolution historique du marché québécois de l'alcool et étudie sa structure actuelle, divisée entre un monopole d'État (vins, spiritueux et bières importées) et l'industrie privée (bières domestiques). Le troisième chapitre traite des pratiques de la SAQ jugées incompatibles avec le GATT, soit les majorations de prix discriminatoires, les procédures d'inscription et de radiation des produits au catalogue et les restrictions d'accès aux points de vente. Cette partie aborde les accords bilatéraux subséquemment négociés par le gouvernement fédéral et acceptés par les monopoles provinciaux pour résoudre ces conflits. Le dernier chapitre discute de la compatibilité des pratiques actuelles de la SAQ, en particulier sa méthode de fixation de prix par rapport à l'article II:4 du GATT (monopoles d'importation) et son nouveau concept de gestion par catégorie en regard de l'article XVII (entreprises commerciales d'État) et de l'article XI (restrictions quantitatives). / This thesis analyses the impact of international trade law on Quebec's commercial policies and practices relating to alcoholic beverages. More specifically, it examines their conformity with GATT's obligations and other bilateral agreements. The first chapter presents the legal framework pertaining to alcohol trade in the context of the constitutional powers prevailing in Canada and the delegation of Quebec's authority to its liquor board, Société des alcools du Québec. The second chapter reviews the historical evolution of Quebec's a1cohol market and studies its actual structure, which is divided between a state monopoly on one side (wine, spirits and imported beer) and the private sector on the other side (domestic beer). The third chapter outlines how SAQ's practices were declared inconsistent with GATT, namely discriminatory mark-ups, listing and delisting procedures and restrictions on access to points of sale. This section also covers the bilateral agreements subsequently negotiated by the federal govemment and accepted by the provincial monopolies to resolve these conflicts. The final chapter examines the compliance of today's SAQ's policies with GATT's requirements. Particularly, it looks at its practice ofpricing method with respect to Article II:4 (import monopoly) and at its new concept of category management in relation with Article XVII (state trading) and Article XI (quantitative restrictions).

The object of this work is first to describe evolution of the World Trade Organisation dispute settlement system, which originates from the dispute settlement system under the international agreement GATT 47. Originally it was the diplomatic system without explicit legal regulation, which changed into developed system based on legal regulation of the World Trade Organisation. Next part of this work consists of the analyse of current system regulated by the Dispute Settlement Understanding. The obligatory consultations remain a part of this system. If the agreement is not reached during the consultations, the two-stage proceeding by the panel of experts and by the Appellate Body takes part. The final part of the proceeding is implementation of the decision. Currently the review of the system is in process and many discussions on this issue takes place under WTO, so far with no conclusion. The last part of this work focuses on Banana case III.

Como produto da prática mercantil, a cláusula da nação mais favorecida (CNMF) é um fenômeno jurídico complexo. Enquanto sua estrutura variante não é passível de padronização, por se adaptar às necessidades da sociedade internacional em cada momento histórico, seu núcleo funcional permanece imutável. Na ordem econômica internacional, a descentralização do poder político provoca desconfianças nos agentes econômicos, resultando em um permanente estado de guarda e competitividade predatória. Para assegurar maior estabilidade às expectativas normativas, os Estados celebram tratados, a fim de alterar tais percepções, conferindo durabilidade às relações econômicas internacionais. Resultado da configuração contemporânea da governança econômica internacional, a Organização Mundial do Comércio (OMC) simboliza a consolidação das expectativas normativas dos atores internacionais em torno do sistema multilateral de comércio (SMC). A OMC tem a função de consolidar o SMC, garantindo a posição de autoridade para corrigir as numerosas lacunas e antinomias jurídicas e reforçar a eficácia social, mediante a atuação de seu Órgão de Solução de Controvérsias (OSC). O SMC é um ordenamento jurídico, com lógica própria e princípios e regras específicos, que disciplina o mercado globalizado, cuja origem remonta à celebração do Acordo Geral sobre Tarifas e Comércio (GATT) em 1947. Prevista no artigo I:1 do GATT, a CNMF positiva o princípio da não discriminação, tendo por finalidade sistêmica desempenhar um papel dinâmico e integrado, ao: (i) assegurar transparência e dispersão de conhecimento; (ii) promover a cooperação internacional, a fim de eliminar ou reduzir, reciprocamente, as barreiras às trocas comerciais; (iii) vedar as práticas e instrumentos discriminatórios e protecionistas, tendo por função estender, automática, multilateral e incondicionalmente, as vantagens concedidas; e (iv) conservar as expectativas normativas, mediante a incorporação dos compromissos negociados ao SMC. Contudo, a proliferação de acordos preferenciais de comércio e de medidas protecionistas e discriminatórias pelos Estados-membros tem ameaçado o SMC de desautorização. Por recorrerem a exceções válidas à CNMF, esses fenômenos permitem a formação de relações discriminatórias e protecionistas, o que impacta negativamente as expectativas normativas dos agentes econômicos, ameaçando a função unificadora de sentido da CNMF, cujo resultado é a erosão da ideia de livre-mercado mundial. As reiteradas quebras de expectativas implicam problemas de coesão e eficácia normativa ao SMC, os quais são denominados desafios sistêmicos. Com efeito, o SMC sofre um processo de desestruturação, causado pela tensionada interação das dimensões ideacional e fática. Isso exige um controle de legalidade e de licitude dos atos jurídicos e das práticas dos Estados-membros. Em face desses desafios sistêmicos, a dissertação verifica se o artigo I:1 permanece como regra determinante para a decidibilidade do OSC. Para responder adequadamente, empregam-se os métodos analítico, hermenêutico e argumentativo, com um enfoque essencialmente dogmático, dentro de um ângulo crítico zetético. Ao fim da investigação, constata-se que a CNMF vem se consolidando como regra determinante para a construção do discurso jurídico-decisório pelo OSC. A confirmação jurisprudencial da imperatividade e da eficácia normativa do artigo I:1 reverbera reflexamente sobre os desafios sistêmicos, tendo o poderoso efeito de simbolizar a preferibilidade da incidência da CNMF sobre as relações econômicas internacionais. / As a product of commercial practice, the most-favored-nation clause (\"MFN\") is a complex legal phenomenon. While its variable structure is not subject to standardization, since it adapts to the needs of international society in each historical moment, its functional core remains unchanged. In the international economic order, the decentralization of political power leads to distrust of the economic agents, resulting in a permanent state of awareness and predatory competition. To ensure greater stability to the normative expectations, States enter into treaties in order to change such perceptions, providing durability to international economic relations. Result of the contemporary configuration of international economic governance, the World Trade Organization (\"WTO\") symbolizes the consolidation of the normative expectations of international actors around the multilateral trading system (\"MTS\"). The WTO has the mission of consolidating the MTS, ensuring a position of authority to correct the many shortcomings and antinomies of law and strengthen the social effectiveness through its Dispute Settlement Body (\"DSB\"). The MTS is a legal system, with its own logic and specific principles and rules, which regulates the globalized market, and has its origins in the General Agreement on Tariffs and Trade (GATT) in 1947. Set forth in Article I:1 of the GATT, the MFN establishes the principle of non-discrimination and has the systemic purpose of playing an integrated and dynamic role as it: (i) ensures transparency and dissemination of knowl edge,(ii) promotes international cooperation, by eliminating or reducing reciprocal barriers to trade, (iii) deters discriminatory and protectionist practices and instruments, being its function to extend, automatically, multilaterally and unconditionally, the benefits provided, and (iv) maintains the normative expectations, through the incorporation of negotiated concessions to the MTS. However, the proliferation of preferential trade agreements and protectionist and discriminatory measures by the member states has threatened the MTS of disempowerment. By resorting to MFNs valid exceptions, these phenomena allow the formation of discriminatory and protectionist relationships, which negatively impacts the normative expectations of economic agents, and threatening the harmonizing function of MFN; the result of which is the erosion of the global free market idea. Repeated breaches of expectations result in problems of cohesion and normative effectiveness of the MTS, which are called systemic challenges. Indeed, the MTS undergoes a process of disintegration, caused by the tensioned interaction of ideational and factual dimensions. This requires a control of legality and legitimacy of legal acts and practices of the member States. Given these systemic challenges, the dissertation verifies if Article I:1 remains the rule for determining the decidability of the DSB. In order to properly answer that, analytical, hermeneutic and argumentative methods are employed, with a primarily dogmatic focus, within a zetetic critical angle. By the end of the investigation, its stated that the MFN is becoming the consolidated rule for determining the construction of the legal and decision making discourse of the DSB. The confirmation from case law of the imperative nature and of the normative effectiveness of Article I:1 reverberates reflexively on the systemic challenges, having the powerful effect of symbolizing the desirability of MFN impact on international economic relations.

Submitted by Alice Rocha (rochaalice@yahoo.com.br) on 2012-08-29T15:33:22Z No. of bitstreams: 1 AliceRocha.pdf: 1315485 bytes, checksum: 71d0a771e82eda43361c8be0e1fc0815 (MD5) / Made available in DSpace on 2012-08-29T15:33:23Z (GMT). No. of bitstreams: 1 AliceRocha.pdf: 1315485 bytes, checksum: 71d0a771e82eda43361c8be0e1fc0815 (MD5) / Made available in DSpace on 2013-05-09T21:50:20Z (GMT). No. of bitstreams: 3 AliceRocha.pdf.txt: 426917 bytes, checksum: bb81205e87744af8101261f0745c4669 (MD5) license.txt: 346 bytes, checksum: 6440c47a50909adf871d5cc0caf0b4f9 (MD5) AliceRocha.pdf: 1315485 bytes, checksum: 71d0a771e82eda43361c8be0e1fc0815 (MD5) Previous issue date: 2012-08-29 / A Cláusula da Nação mais Favorecida (CNMF) estabelecida no âmbito da Organização Mundial do Comércio (OMC) é preceito legal válido e vigente no mesmo contexto de desenvolvimento e proliferação de acordos comerciais bilaterais, qual seja, o sistema multilateral de comércio. A CNMF representa a concretização do princípio da nãodiscriminação, uma das bases da OMC. No exercício desta importante função, a CNMF dispõe que todas as vantagens e privilégios acordados a um Membro da OMC devem ser estendidos a todos os demais Membros da organização, imediatamente e sem imposição de condições. Entretanto, tendo sido criada dentro de um contexto que agrega parceiros com características econômicas, sociais e políticas bastante díspares e temas nem sempre passíveis de um tratamento multilateral, como os investimentos estrangeiros e os temas não-comerciais, a aplicação absoluta da CNMF e o estabelecimento de um tratamento igualitário nem sempre é possível, tendo que admitir exceções, refletindo um viés ora de flexibilidade, ora de rigidez. Todavia, não se pode afirmar que a importância e o papel da CNMF dentro do sistema OMC diminuiu. O que deve ser considerado é que diante do inevitável fenômeno de proliferação do uso de acordos bilaterais no estabelecimento de trocas comerciais internacionais, restou a esta organização o importante desafio de ajuste de seus dispositivos. Enfim, o que se verifica é um sistema mundial de trocas antagônico e ao mesmo tempo harmonioso, agregando instrumentos que, apesar de possuírem lógicas contrárias, não necessariamente se excluem.

This study discusses how the World Trade Organization could promote the development of an international gas market by playing a more prominent role in regulating rights essential to effective pipeline gas transit. Gas transit is network-dependent in the sense that it cannot be established without the existence of pipeline infrastructure in the territory of a transit State and the ability to access this infrastructure. Nevertheless, at an inter-regional level, there are no sufficient pipeline networks that would allow gas to travel freely from a supplier to the most lucrative markets. The existing networks are often operated by either private or State-controlled vertically-integrated monopolies that are usually reluctant to release unused pipeline capacity to their potential competitors. These obstacles diminish the gains from trade for States endowed with scarce and relatively immobile natural resources, such as gas, including developing land-locked countries that rely on revenues from gas exports. These obstacles can also undermine Members’ energy security and their sustainable development achieved by shifting domestic production from dirty fuels to cleaner energy sources – namely gas. From a technical perspective, gas transit can be established by invoking what is referred to in this study as ‘third-party access’ and/or ‘capacity establishment’ rights. The first main question that this thesis analyses is, therefore, whether, and, if so, how these rights are regulated by WTO rules relevant to transit, including: GATT Article V:2 (first and second sentences) establishing the principles of freedom of transit and non-discrimination, the ‘non-violation complaint’ provision under GATT Article XXIII:1(b), and the GATS. This question has not been answered by WTO panels or examined sufficiently by scholars. The key contribution of this study to the existing academic literature on energy transit lies in the fact that this study analyses the above rules through the prism of systemic integration of WTO law sources with other relevant rules of public international law, including principles of general international law and treaties regulating transit. By contrast, previous researchers discussed the regulation of third-party access and capacity establishment rights from a limited perspective of WTO law. The second main question examined in this study is how WTO transit rules could be improved through a legislative reform to regulate particular aspects of trade in pipeline gas better – namely third-party access and capacity establishment rights. This question is answered by exploring two options: the codification of the existing principles of general international law relevant to these rights in the WTO legal system and the progressive development of WTO transit rules through the expansion of additional commitments of Members on energy services under the GATS. While this study analyses the relationship between WTO transit obligations and inherent ancillary rights (namely third-party access and capacity establishment rights) implied in these obligations in the context of trade in pipeline gas, the conclusions reached here may have practical application in other areas of network-bound trade, such as trade in electric power.

原產地規則已形成一項重要的貿易問題，其對商業進口型態與工廠尋求供 應來源決策之決定有相當影響。因此，企業於尋求最具成本效益之零組件 購買時，必須考慮零組件和最終產品之原產地將會如何被定義，如此才能 了解通關條件和關稅適用情形。於選擇製造廠和裝配工廠的設廠地點時， 企業也必須考慮於最終市場，其產品的原產地將如何被定義，以求能使其 產品之關稅和非關稅貿易障礙降至最低。企業全球化之增加與各國經濟的 互相依賴，使得產品原產地的決定變得相當困難。而且，進口產品的差別 待遇，傳統貿易障礙使用之額外限制，與企業的全球化策略，均使原產地 規則愈來愈重要。雖然政府目前正在草擬“進口貨品原產地認定標準”草 案，但目前國內對原產地規則之研究尚屬有限。基於使我國企業界進一步 了解此重要議題於世界主要貿易體之適用情形，以作為企業於本國與海外 投資和設廠等決策之參考，以及因應我國加入 GATT 及將成立之世界貿易 組織（ World Trade Organization； WTO）後，於原產地規則之國際多 邊談判需要，特對產品與生產者之原產地規則，及原產地規則之政治經濟 學加以探討。最後，再提出個人淺見以供後續研究者及政府決策者於起草 我國原產地規則時參考 。