Submitted by Tiago Matsuoka Megale (tiago.ms.megale@gmail.com) on 2018-04-27T20:39:49Z No. of bitstreams: 1 Dissertação - Versão final.pdf: 1613868 bytes, checksum: f29cf2fd76f3615a905be3fc1127965b (MD5) / Approved for entry into archive by Josineide da Silva Santos Locatelli (josineide.locatelli@fgv.br) on 2018-05-02T13:04:58Z (GMT) No. of bitstreams: 1 Dissertação - Versão final.pdf: 1613868 bytes, checksum: f29cf2fd76f3615a905be3fc1127965b (MD5) / Approved for entry into archive by Suzane Guimarães (suzane.guimaraes@fgv.br) on 2018-05-02T13:54:04Z (GMT) No. of bitstreams: 1 Dissertação - Versão final.pdf: 1613868 bytes, checksum: f29cf2fd76f3615a905be3fc1127965b (MD5) / Made available in DSpace on 2018-05-02T13:54:04Z (GMT). No. of bitstreams: 1 Dissertação - Versão final.pdf: 1613868 bytes, checksum: f29cf2fd76f3615a905be3fc1127965b (MD5) Previous issue date: 2018 / The current international economic scenario is characterized by the presence of an increasing number of multinational enterprises, the formation of global value chains and the creation of transnational regulatory networks. These phenomena contribute to the erosion of the State regulatory capacity and generate questions about how to regulate the structures created by private actors. The aim of this research is to analyze to which extent private standards of sustainability imposed by supermarkets protect common values as the human life or health instead of constituting disguised restrictions to trade. Sustainability standards constitute initiatives that can be welcome on a CSR perspective, but can be protectionist on trade transactions. These standards stand on a legal vacuum as the multilateral trade system centered on the WTO does not directly regulate the conduct of private actors. This legal vacuum is fulfilled by the OECD regulatory structure on CSR that reflects the global expansion of corporate social responsibility and the proposed business cases for CSR. The analysis and the case studies disclosed that the essence of the aforementioned standards can be determined through the limited scope of WTO treaties that regulate non-tariff barriers to trade and the search of coherence between supermarkets’ sustainability policies and OECD rules. This dissertation also calls for the deepening of the international sustainability agenda that goes beyond the classical economic, environmental and social pillars to encompass principles of good governance. / O atual cenário econômico é caracterizado pela presença de um número crescente de empresas multinacionais, da formação de cadeias globais de valor e da criação de redes regulatórias transnacionais. Esses fenômenos contribuem para a erosão da capacidade regulatória do Estado e geram questões sobre como regular as estruturas criadas por atores privados. O objetivo desta pesquisa é analisar em que medida padrões privados de sustentabilidade impostos por supermercados protegem valores comuns como a vida e a saúde humana ao invés de constituírem restrições disfarçadas ao comércio. Os padrões de sustentabilidade constituem iniciativas que podem ser bem-vindas em uma perspectiva de responsabilidade social e corporativa (RSC), mas podem ser protecionistas em transações comerciais. Esses padrões estão em um vácuo jurídico na medida em que o sistema multilateral de comércio centrado na OMC não regula diretamente a conduta de atores privados. Este vácuo jurídico é preenchido pela estrutura regulatória da OCDE sobre responsabilidade social e corporativa que reflete a expansão global da responsabilidade social e corporativa e os casos de negócios para RSC propostos. A análise e os estudos de caso revelaram que a essência dos padrões acima mencionados pode ser determinada por meio do escopo limitado dos tratados da OMC que regulam barreiras não-tarifárias ao comércio e da busca de coerência entre políticas de sustentabilidade dos supermercados e as regras da OCDE. Esta dissertação também sugere o aprofundamento da agenda internacional de sustentabilidade, a qual deve ir além dos clássicos pilares ambiental, econômico e social para também abranger princípios de boa governança.

近年來，由於消費者對於產品安全的重視程度與日俱增，各式各樣的私營標準開始蓬勃發展。這些私營標準雖不具備法律強制力，其所導致的市場排擠效應仍使生產者不得不積極使其產品取得各項私營標準的認證，引發私營標準是否具有實質上強制力並進而影響國際間自由貿易之疑慮。隨著開發中國家自2005年開始於SPS委員會中提出全球良好農業慣例標準對國際自由貿易之負面影響，私營標準之相關法律議題於WTO場域中益發重要，實有研究討論之必要。鑒於私營標準種類、數量之眾，本論文以於WTO下被具體指謫之全球良好農業慣例標準為例，探討全球良好農業慣例標準是否有落入WTO法規範管轄範疇之可能，並透過涉及私營標準議題之食品衛生檢驗與動植物檢疫措施協定、技術性貿易障礙協定與關稅及貿易總協定相關條文的解釋與分析，討論全球良好農業慣例標準與該些規範之關連性及適法性，既而於WTO下甚至WTO以外之國際場域，探究尋求相關貿易衝擊因應之道的可行性，希冀能為私營標準對國際自由貿易體系所帶來的影響及其與WTO之關係進行審視並作出建議。 / In recent years, all kinds of private standards have started to develop prosperously because consumers consider product safety more and more important. Although these private standards are not mandatory, the crowding out effect of markets causing by these standards still makes producers have to achieve relevant certification as far as possible. This situation causes anxiety about the possibility that private standards are de facto mandatory and create trade barriers. While developing countries have stated that GlobalGAP Standard makes bad influence on international trade in the SPS Committees since 2005, the legal issues about private standards become more and more important under WTO regime and need to be studied and discussed. In view of the fact that there are too many kinds of private standards, the thesis takes GlobalGAP Standard for example to discuss whether private standards shall be subject to the rules of WTO Agreements. In order to conduct careful examining and come up with suggestions of the influence on international trade which caused by private standards and the relationship between private standards and WTO, it is necessary to research into the connection between GlobalGAP Standard and WTO rules and the legality of this standard through explaining and analyzing relevant rules which involves the issue of private standards under the SPS Agreement, TBT Agreement, and GATT and to discuss the feasibility of finding the solution to relevant trade impact under WTO regime or other international fields.