The law of the World Trade Organization (WTO) both explicitly and implicitly requires that a determination of causation be made at a number of points. In several of the WTO covered agreements, an important part of making a determination about causation involves separating those factors that are causative from those that are immaterial to the outcome in question (this process of separation is known as a 'non-attribution analysis'). This thesis argues that there are six parts of the law of the WTO that require, either explicitly or implicitly, that a causation and non-attribution analysis be undertaken. These are: (1) Safeguard Measures (Articles 2.1 and 4.2(a) and (b) of the Agreement on Safeguards ); (2) Anti-Dumping measures (Articles 3.1 and 3.5 of the Anti-Dumping Agreement ); (3) Countervailing Duties (Article 15.5 of the Subsidies and Countervailing Measures Agreement (SCM Agreement)); (4) Serious prejudice (Articles 5(c) and 6.3 of the SCM Agreement); (5) the relationship between a measure and its policy objective (Article XX of the General Agreement on Tariffs and Trade and Article XIV of the General Agreement on Trade in Services ); and (6) the relationship between a responding Member's failure to comply with a DSB ruling and the complainant Member's level of nullification and impairment (Articles 22.6 of the Understanding on Rules and Procedures Governing the Settlement of Disputes and 4.10 of the SCM Agreement). This thesis will first examine the current approach in the jurisprudence to analysing causation and non-attribution in these parts of the law of the WTO. To that end, it will suggest that there is a trend in the current jurisprudence to attempt to make an a priori inference about the effects of a cause from the nature of the cause itself. This thesis will suggest that this approach reflects a misconception of causation, and it will propose an alternative, three-part methodology for interrogating causation based on the use of econometric analysis, which has been developed from guidance given by the Appellate Body in US-Wheat Gluten.

Orientador: Jete Jane Fiorati / Banca: Carla Aparecida Arena Ventura / Banca: José Carlos Garcia de Freitas / Resumo: O presente trabalho visa compreender e analisar a interação entre os temas comércio e meio ambiente, desde a criação do princípio do desenvolvimento sustentável no início dos anos de 1970, até a adoção do Tratado de Marraqueche em 1994, que cria a Organização Mundial do Comércio (OMC). O trabalho faz um histórico do debate sobre comércio e meio ambiente - a partir da Conferência de Estocolmo, em 1972, considerada por este trabalho como marco do Direito Ambiental Internacional - e também analisa como esta temática foi inserida no sistema Acordo Geral sobre Tarifas e Comércio (GATT/OMC). Além disso, discorre sobre a emergência e posterior consolidação do princípio do desenvolvimento sustentável, de conceito multifacetado, que visa conciliar as várias formas de desenvolvimento, como o econômico e o social, com a proteção e preservação do meio ambiente. A preocupação com a preservação do meio ambiente e com os problemas ambientais ganhou relevância, principalmente, a partir dos anos 90, com o estabelecimento de grandes conferências internacionais no âmbito da Organização das Nações Unidas, o que influenciou outras organizações internacionais, como a OMC, a também adotarem algumas regras ambientais. No âmbito da OMC, a temática ambiental é centrada no artigo XX do GATT 1994, foco deste trabalho, que trata das exceções gerais. Por este artigo os Membros da OMC podem adotar regras contrárias ao sistema multilateral de comércio para salvaguardar, por exemplo, a vida e a saúde das pessoas e demais seres vivos e para a conservação dos recursos naturais não-renováveis. Pela análise deste artigo e de alguns casos estabelecidos perante o Órgão de Solução de Controvérsias, tentaremos entender se num embate real entre regras comerciais e ambientais, o interesse econômico irá prevalecer sobre os interesses ambientais / Abstract: This research aims to understand and analyze the interaction between issues of trade and environment since the creation of the sustainable development principle in the early 1970s, until the adoption of the Marrakesh Agreement in 1994, which established the World Trade Organization (WTO). The work makes a description of the debate on commerce and environment - from the Stockholm Conference in 1972, considered by this study the landmark of the International Environmental Law - and also analyzes how this thematic was included in the General Agreement on Tariffs and Trade (GATT/WTO) system. Moreover, it discourses on the emergency and subsequent consolidation of the sustainable development principle, multifaceted concept, which seeks to conciliate the various forms of development, such as economic and social development, with the protection and preservation of the environment. The concern for environmental preservation and environmental issues gained prominence, mainly from the 90s with the establishment of major international conferences in the United Nations, which has influenced other international organizations like WTO, also to adopt some environmental rules. In the WTO, the environmental theme is centered on Article XX of GATT 1994, the focus of this work, which deals with general exceptions. For this article, WTO Members may adopt rules that conflict with the multilateral trading system to safeguard, for example, life and health of humans and other living beings and for the conservation of nonrenewable resources. The analysis of this article and some established cases before the WTO Dispute Settlement, we will try to understand if in a real clash between trade and environmental rules, the economic interest will prevail over environmental concerns / Mestre

安地瓜於2003年3月13日以美國採取全面禁止網路賭博服務之措施為由提起訴訟，小組報告於2004年11月10日出爐，美國與安地瓜均不服小組裁決分別提起上訴，上訴機構於2005年4月7日做出裁決。 上訴機構報告認定美國已對網路賭博服務做出承諾，且因美國並未於其特定承諾表中填寫市場開放及國民待遇之限制，因而美國所採全面禁止網路賭博服務之措施違反GATS第十六條第一項規定。美國接著援引GATS第十四條規定作為抗辯，後雖因其國內州際賽馬法（Interstate Horseracing Act）規定允許國內服務提供者提供網路賭博服務，而被上訴機構認定系爭措施違反第十四條前言之要求，然上訴機構最後肯認美國得採行全面禁止網路賭博之措施乃係本案最終關鍵。 為了談判結果之確定性、穩定性，及未來服務貿易談判之持續進行，是否允許會員在做出市場開放之承諾後，再援引第十四條規定改變其承諾範圍，因而影響其他會員對其開放市場之期待，並使援引第十四條規定之會員躲避其原依GATS第二十一條規定所應負之責任？而在得出會員無法援引第十四條規定改變其承諾範圍之結論後，美國在本案中是否得援引其他規定作為正當化其措施之主張？及第十四條與第六條、第十六條、第十七條間之關聯性？係本文主要探討之問題。 此案為第一個會員援引GATS第十四條作為抗辯之例子，可以預見此例對後續案件之影響，而上訴機構於本案中所得出結論是否妥適，則值得深思。 / Antigua and Barbuda sued the United States for its total prohibition of the cross-border supply of gambling and betting services on March 13, 2003. The WTO panel report was issued on November 10, 2004. Both Antigua and the United States appealed and the ruling of the Appellate Body came out on April 7, 2005. The Appellate Body held that the United States has made full market access and national treatment commitments for gambling and betting services, so the measures to prohibit the cross-border supply of gambling and betting services violated Article XVI:1 of the GATS. As a result, the United States cited Article XIV of the GATS to contradict. The Appellate Body ruled that the alleged measures violated the preamble of Article XIV because the Interstate Horseracing Act of the United States permits domestic service suppliers to provide Internet gambling and betting services. However, the Appellate Body’s recognition of the United States’ total prohibition of cross-border supply of gambling and betting services is a critical issue of this case. In order to make sure the certainty and the stability of negotiation outcomes, and keep negotiations on trade in services moving, would the WTO members be allowed to cite Article XIV to change the coverage of their commitments after having made market access commitments and to escape the obligation under Article XXI? After concluding that the members could not cite Article XIV to change the coverage of the commitments, could the United States cite other articles to justify the alleged measures? Furthermore, how are the connection between Article XIV, Article VI, Article XVI and Article XVII? All above are the main questions this thesis focuses on. This case is the first one that members cite Article XIV to contradict, and the influence on subsequent cases is foreseeable. Would such a conclusion of this case be appropriate? We might need to contemplate further.

Made available in DSpace on 2014-06-11T19:29:45Z (GMT). No. of bitstreams: 0 Previous issue date: 2010-03-09Bitstream added on 2014-06-13T18:59:29Z : No. of bitstreams: 1 raucci_rm_me_fran.pdf: 1281934 bytes, checksum: 51e1d9f58a2d131c92dbfc847f82e8d3 (MD5) / Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES) / O presente trabalho visa compreender e analisar a interação entre os temas comércio e meio ambiente, desde a criação do princípio do desenvolvimento sustentável no início dos anos de 1970, até a adoção do Tratado de Marraqueche em 1994, que cria a Organização Mundial do Comércio (OMC). O trabalho faz um histórico do debate sobre comércio e meio ambiente – a partir da Conferência de Estocolmo, em 1972, considerada por este trabalho como marco do Direito Ambiental Internacional – e também analisa como esta temática foi inserida no sistema Acordo Geral sobre Tarifas e Comércio (GATT/OMC). Além disso, discorre sobre a emergência e posterior consolidação do princípio do desenvolvimento sustentável, de conceito multifacetado, que visa conciliar as várias formas de desenvolvimento, como o econômico e o social, com a proteção e preservação do meio ambiente. A preocupação com a preservação do meio ambiente e com os problemas ambientais ganhou relevância, principalmente, a partir dos anos 90, com o estabelecimento de grandes conferências internacionais no âmbito da Organização das Nações Unidas, o que influenciou outras organizações internacionais, como a OMC, a também adotarem algumas regras ambientais. No âmbito da OMC, a temática ambiental é centrada no artigo XX do GATT 1994, foco deste trabalho, que trata das exceções gerais. Por este artigo os Membros da OMC podem adotar regras contrárias ao sistema multilateral de comércio para salvaguardar, por exemplo, a vida e a saúde das pessoas e demais seres vivos e para a conservação dos recursos naturais não-renováveis. Pela análise deste artigo e de alguns casos estabelecidos perante o Órgão de Solução de Controvérsias, tentaremos entender se num embate real entre regras comerciais e ambientais, o interesse econômico irá prevalecer sobre os interesses ambientais / This research aims to understand and analyze the interaction between issues of trade and environment since the creation of the sustainable development principle in the early 1970s, until the adoption of the Marrakesh Agreement in 1994, which established the World Trade Organization (WTO). The work makes a description of the debate on commerce and environment – from the Stockholm Conference in 1972, considered by this study the landmark of the International Environmental Law – and also analyzes how this thematic was included in the General Agreement on Tariffs and Trade (GATT/WTO) system. Moreover, it discourses on the emergency and subsequent consolidation of the sustainable development principle, multifaceted concept, which seeks to conciliate the various forms of development, such as economic and social development, with the protection and preservation of the environment. The concern for environmental preservation and environmental issues gained prominence, mainly from the 90s with the establishment of major international conferences in the United Nations, which has influenced other international organizations like WTO, also to adopt some environmental rules. In the WTO, the environmental theme is centered on Article XX of GATT 1994, the focus of this work, which deals with general exceptions. For this article, WTO Members may adopt rules that conflict with the multilateral trading system to safeguard, for example, life and health of humans and other living beings and for the conservation of nonrenewable resources. The analysis of this article and some established cases before the WTO Dispute Settlement, we will try to understand if in a real clash between trade and environmental rules, the economic interest will prevail over environmental concerns

Inscrite dans la dialectique changement-permanence, la stabilité juridique ne saurait s'opposer au changement normatif. Si rien ne changeait, il n'y aurait nul besoin de parler de stabilité, mais tout simplement d'intangibilité, d'immutabilité ou même d'éternité du droit. Par la stabilité, on cherche donc à garantir deux valeurs juridiques importantes : l'évolution du droit et la sécurité juridique. Tout produit juridique aspire à la stabilité. Sur le terrain du droit objectif, la stabilité est protégée afin d'éviter des situations d'inflation normative, de désordre dans la production normative, et de faciliter l'application des produits juridiques dans le temps. Sur le terrain des droits subjectifs, elle est souvent protégée afin d'assurer le maintien des situations juridiques individuelles malgré l'écoulement du temps. Ces aspects transparaissent dans le droit international des investissements à travers l'attente légitime de stabilité juridique. Cela étant, pour qu'une telle attente de stabilité juridique présente un caractère légitime, il faut qu'existe un engagement explicite ou implicite de l'État en ce sens et que les investisseurs se comportent d'une façon diligente et de bonne foi. Sur le plan substantiel, l’investisseur ne doit également pas s’attendre à ce que le droit ne change pas, car le droit est évolutif par nature. En revanche, il peut légitimement s’attendre à ce que les changements normatifs soient introduits de façon prévisible et non arbitraire. La violation de la stabilité juridique de la part de l'État engage sa responsabilité internationale. Au-delà de toutes ces considérations, la stabilité juridique fait face aujourd'hui à de nombreux bouleversements, le plus important semblant être son émergence en tant que principe coutumier de droit international. / Discussions of legal stability involve the notions of change and permanence; therefore, legal stability cannot oppose legal change. If nothing changed, there would be no need to talk of stability, and one would simply speak of intangibility, immutability or even of the eternity of the law. Through stability we seek to ensure two important legal values: the development of law and the principle of legal security. Stability is a central aspiration of every law. In the field of objective law, stability is protected in order to prevent a surfeit of laws, disorder in the legislative process and to facilitate the application of laws over time. In the field of subjective rights, it often exists in order to maintain certain specific legal situations and rights in spite of the passage of time. These aspects are reflected in international investment law through the legitimate expectation of legal stability. This being the case, so that such an expectation of legal stability be considered legitimate, there must be an explicit or implicit commitment by the State in this direction and investors must act diligently and in good faith. On the substantive side, it is also necessary that the investor does not expect the law not to change given that law evolves with time. Nevertheless, the investor can legitimately expect that regulatory changes be introduced in a predictable and non-arbitrary manner. Violation of legal stability by the State incurs international liability. Beyond these considerations, today legal stability faces a lot of challenges; the most important of which seems to be its emergence as a customary principle of international law.