acase@tulane.edu / The role of legal and administrative capacity (“LAC”) in shaping antidumping outcomes has increasingly captured the attention of scholars across a broad range of disciplines. Prior LAC scholarship has largely focused on the experience of member countries in antidumping proceedings brought before the WTO’s Dispute Settlement Body. No prior scholarship has analyzed the role of firm-level LAC in explaining the firm-specific dumping margins estimated by the administering authority of a particular country. The relationship between LAC and firm-specific dumping margins is relevant to the field of international development insofar as it has been postulated that capacity constraint-conditioned dumping margin differentials have a disproportionately adverse impact on respondent firms from developing countries. This dynamic, it is further postulated, compromises the ability of producers and exporters in developing countries to integrate themselves into global supply chains and/or access lucrative export markets. These outcomes, in turn, undercut developing country efforts to achieve export-driven economic growth and development strategies. This work empirically examines the theory that LAC is a significant determinant of firm-specific dumping margins in U.S. antidumping investigations administered between 2000 and 2014 using, in connection with a triangulated set of confirmatory and exploratory research questions, a newly constructed database and capacity index. Descriptive and inferential analyses reveal the presence of statistically significant differences between the average firm-specific dumping margins estimated for respondent firms with low- and high- levels of LAC. Moreover, this work finds evidence of a statistically significant association between firm-specific dumping margin outcomes and LAC, both on a stand-alone basis and when modeled alongside alternative explanatory variables. These results provide empirical grounds for concluding that (i) the capacity constraint theory has, in the context of U.S.-administered AD investigations, merit and (ii) U.S. statutes, regulations, procedures, and methodologies operate to impose differentially disadvantageous consequences on certain parties. The latter conclusion violates both the WTO prohibition against de facto discrimination and the U.S. commitment to give special regard to the situation of developing countries. This work concludes by presenting recommendations and diagnostic tools geared toward improving the experience of capacity-constrained respondent firms in U.S. antidumping investigations and identifying directions for future research. / 1 / Robert M. Kossick, Jr.

Magister Legum - LLM / Over the past decade countries have embraced globalisation. The depth and influence of globalisation has grown significantly since the 19th century. Globalisation has accelerated mainly due to increased integration in trade with bilateral, regional and multilateral trade negotiations on the rise. Multinational companies have also enlarged which enable production to be done seamlessly in different countries, increase in capital flows such as purchase of assets and bonds has also contributed. Furthermore, the surge on technological innovations and advancement cannot be ignored when one speaks of globalisation this era has been dubbed the technological era additionally there is also the role of migration which enhances labor movements. The world has rapidly shrunk to one global economy. After the World War II countries began to move away from protectionism to liberalised trade and this resulted in the formation of the General Agreement on Tariffs and Trade (GATT) then the World Trade Organisation (WTO) which is comprised of 164-member states. The WTO regulates trade and promotes free trade. Over the years the organisation has been evolving to deal with issues such as climate and technical assistance. Global trade presents challenges which may give rise to the need for countries to protect their domestic industries for political and economic reasons.

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.

Atualmente, há um debate acerca dos efeitos da aplicação de medidas antidumping entre as partes de um acordo regional de comércio. Discute-se que o emprego de tais instrumentos pode gerar um óbice ao livre comércio e ao avanço da integração econômica negociados em tais acordos. As regras do sistema multilateral de comércio determinam que direitos antidumping podem ser aplicados quando comprovada a existência de dumping, dano à indústria nacional e a relação causal entre estes. Entretanto, mesmo que haja regras sobre a condução de uma investigação antidumping e a aplicação da medida, ainda há muito espaço para a discricionariedade das autoridades nacionais investigadoras. Isso enseja a preocupação de que a aplicação desse instrumento pode conduzir a uma ineficácia dos objetivos de liberalização comercial negociados nos acordos regionais de comércio, além de neutralizar as concessões tarifárias feitas no âmbito desses acordos, em prol do protecionismo de uma indústria doméstica, muitas vezes, defasada e inapta à concorrência internacional. A presente dissertação pretende demonstrar que, à medida que o antidumping representa um potencial impacto negativo aos ideais dos acordos regionais de comércio, sua aplicação é antagônica com os objetivos desses acordos, inclusive no caso do MERCOSUL. Assim, as regras antidumping no âmbito do MERCOSUL deveriam ser repensadas, uma vez que a não aplicação de direitos antidumping no comércio intrarregional permitiria o avanço da integração econômica na região e representaria mais um passo rumo à consolidação da união aduaneira. / Currently, there is a debate about the effects of antidumping measures among members of regional trade agreements. It is argued that the use of such instrument can represent an obstacle to free trade and the deepening of economic integration. The rules of the multilateral trading system determines that antidumping duties may be applied when verified the existence of dumping, injury to the domestic industry of the importing country and causal relationship between them. However, even though there are rules governing the conduction of an antidumping investigation and the application of antidumping measures, there is still much room for discretion of investigating authorities. This gives rise to concern that the use of antidumping may lead to ineffectiveness of the goals of trade liberalization and neutralization of tariff concessions made under such agreements, in order to protect a domestic industry, usually outdated and unprepared to international competition. This thesis intends to demonstrate that, as antidumping represents a potential negative impact to the achievements of regional trade agreements, its application among members of a RTA is opposed to the goals of such agreements, including in the case of MERCOSUR. Thus, antidumping rules within MERCOSUR should be reconsidered, since the elimination of antidumping duties on intraregional trade would allow the deepening of the regional economic integration and represent a step towards the consolidation of the customs union.

Magister Legum - LLM (Mercantile and Labour Law) / The establishment of an anti-dumping regime has become commonplace for many a government that seeks to protect and promote its local industries. One reason which appears to be dominant by its proponents is the need to curb predatory pricing. Another reason given by the proponents of anti-dumping is the need to maintain a level playing field for players in any particular industry. With these reasons and probably many others, anti-dumping legislation began to find its way into present-day trade. Canada, with its anti-dumping statute of 1904 [An Act to Amend the Customs Tariff 1897, 4 Edw VIII, 1 Canada Statutes 111 (1904)] is credited with the first modern anti-dumping legislation. New Zealand followed in 1905 with the Agricultural Implement Manufacture, Importation and Sale Act 1905, which was primarily meant to protect New Zealand's manufacturers of agricultural implements. The Industries Preservation Act 1906 which Australia enacted was to deal with market monopoly by manufacturers but it also contained provisions on anti-dumping. The first decade of the 20th century will thus qualify to be called the introductory decade of anti-dumping legislation.

Atualmente, há um debate acerca dos efeitos da aplicação de medidas antidumping entre as partes de um acordo regional de comércio. Discute-se que o emprego de tais instrumentos pode gerar um óbice ao livre comércio e ao avanço da integração econômica negociados em tais acordos. As regras do sistema multilateral de comércio determinam que direitos antidumping podem ser aplicados quando comprovada a existência de dumping, dano à indústria nacional e a relação causal entre estes. Entretanto, mesmo que haja regras sobre a condução de uma investigação antidumping e a aplicação da medida, ainda há muito espaço para a discricionariedade das autoridades nacionais investigadoras. Isso enseja a preocupação de que a aplicação desse instrumento pode conduzir a uma ineficácia dos objetivos de liberalização comercial negociados nos acordos regionais de comércio, além de neutralizar as concessões tarifárias feitas no âmbito desses acordos, em prol do protecionismo de uma indústria doméstica, muitas vezes, defasada e inapta à concorrência internacional. A presente dissertação pretende demonstrar que, à medida que o antidumping representa um potencial impacto negativo aos ideais dos acordos regionais de comércio, sua aplicação é antagônica com os objetivos desses acordos, inclusive no caso do MERCOSUL. Assim, as regras antidumping no âmbito do MERCOSUL deveriam ser repensadas, uma vez que a não aplicação de direitos antidumping no comércio intrarregional permitiria o avanço da integração econômica na região e representaria mais um passo rumo à consolidação da união aduaneira. / Currently, there is a debate about the effects of antidumping measures among members of regional trade agreements. It is argued that the use of such instrument can represent an obstacle to free trade and the deepening of economic integration. The rules of the multilateral trading system determines that antidumping duties may be applied when verified the existence of dumping, injury to the domestic industry of the importing country and causal relationship between them. However, even though there are rules governing the conduction of an antidumping investigation and the application of antidumping measures, there is still much room for discretion of investigating authorities. This gives rise to concern that the use of antidumping may lead to ineffectiveness of the goals of trade liberalization and neutralization of tariff concessions made under such agreements, in order to protect a domestic industry, usually outdated and unprepared to international competition. This thesis intends to demonstrate that, as antidumping represents a potential negative impact to the achievements of regional trade agreements, its application among members of a RTA is opposed to the goals of such agreements, including in the case of MERCOSUR. Thus, antidumping rules within MERCOSUR should be reconsidered, since the elimination of antidumping duties on intraregional trade would allow the deepening of the regional economic integration and represent a step towards the consolidation of the customs union.

This thesis examines US protectionism in the 1980s from Canadian and American perspectives, and its role in Canada’s pursuit of the historic 1988 Canada-US Free Trade Agreement. It analyzes the perceived “threat” of protectionism and evaluates the agreement’s provisions against Canada’s goal of securing access to the US market. It contends that US protectionism was crucial in the Mulroney government’s decision to negotiate a bilateral agreement and was a contentious issue for the agreement’s critics. US sources, unexamined in existing historiography, confirm the increased threat of American protectionism, but emphasize a distinction between the threat and implementation of protectionist trade law. Although the agreement did not shield Canada from US trade remedies, Canada gained important presence in the trade dispute process. These conclusions are drawn from Canadian and American media and government documents, 1980s academic and think-tank commentary, legal documents, the memoirs and diaries of major players, and select archival sources.

This thesis examines US protectionism in the 1980s from Canadian and American perspectives, and its role in Canada’s pursuit of the historic 1988 Canada-US Free Trade Agreement. It analyzes the perceived “threat” of protectionism and evaluates the agreement’s provisions against Canada’s goal of securing access to the US market. It contends that US protectionism was crucial in the Mulroney government’s decision to negotiate a bilateral agreement and was a contentious issue for the agreement’s critics. US sources, unexamined in existing historiography, confirm the increased threat of American protectionism, but emphasize a distinction between the threat and implementation of protectionist trade law. Although the agreement did not shield Canada from US trade remedies, Canada gained important presence in the trade dispute process. These conclusions are drawn from Canadian and American media and government documents, 1980s academic and think-tank commentary, legal documents, the memoirs and diaries of major players, and select archival sources.

Depuis l'adoption de sa première législation antidumping en 1989, la Turquie est entrée dans le groupe des pays qui sont les utilisateurs les plus fréquents des mesures antidumping. Pourtant, le dispositif antidumping du pays a besoin d'une réforme importante. L'Accord antidumping de l'OMC a force de loi en droit turc. De plus, il y a une législation antidumping nationale qui est composée d'une loi, d'un décret et d'un règlement. Toutefois, il n'y a aucune exigence juridique d'avoir une loi ou un décret dans la législation antidumping. Ainsi, nous proposons d'abroger la Loi et le Décret antidumping et de limiter la base juridique des procédures antidumping au Règlement antidumping. Ceci donnera aux autorités une flexibilité par rapport à la réalisation des amendements dont il y aura besoin à l'avenir, et éliminera le grand nombre de chevauchements qu'il y a dans la Législation actuelle. Cette dernière contient des dispositions incompatibles avec l'Accord antidumping, celles-ci doivent être modifiées. Il y a également des aspects où les règles écrites sont compatibles avec l'Accord antidumping, mais où la pratique des autorités ne suit pas ces règles. Ce genre de pratique ne doit pas être répété. Nous estimons que la place et la structure de l'autorité turque en matière d'antidumping sont loin d'être idéales et ne répondent pas aux besoins des industries nationales. A notre avis, il faut soit organiser cette autorité comme un organisme gouvernemental indépendant soit la sortir du Ministère de l'économie et l'attacher à l'Autorité de la concurrence soit l'organiser, avec les autres départements du Ministère s'occupant des mesures correctives commerciales, comme une nouvelle direction générale au Ministère. La révision judiciaire des constatations de l'autorité d'enquête n'est pas efficace en Turquie. Il faut établir un tribunal spécialisé pour cette révision et donner, aux juges fonctionnant dans ce tribunal, la formation nécessaire pour assurer une révision judiciaire efficace. / Since the adoption of its first anti-dumping legislation in 1989, Turkey made its way into the list of countries that are the most active users of anti-dumping measures. However, the country's anti­dumping system needs a comprehensive reform. The WTO Anti-Dumping Agreement has the force of law under Turkish law. Further, there is national anti-dumping legislation consisting of a law, a decree and a regulation. Yet, there is no legal requirement that necessitates the inclusion of a law or decree in the anti-dumping legislation. Therefore, we propose to repeal the Anti-Dumping Law and Decree and to limit the legal basis for anti-dumping proceedings to the Anti-Dumping Regulation. This will provide the authorities with the flexibility to make the amendments that will be needed in future, and will eliminate the man y instances of overlap among the three elements of the current legislation. The current legislation contains certain provisions that are inconsistent with the Anti­Dumping Agreement and they need to be modified. There are also aspects where the written rules are compatible with WTO principles but the authorities' practice does not follow such rules. This type o1 practice should not be repeated. We argue that the place and structure of the Turkish anti-dumping authority is far from ideal and does not respond to the needs of national industries. In our view, the authority should be detached from the Ministry of Economy and organized as an independent government agency, or should be attached to the Competition Authority, or should be reorganized, together with other departments that also deal with trade remedies, as a new directorate general within the Ministry of Economy. Judicial review of the determinations of the investigating authority is not effective. We propose to establish a specialized court for this review and to provide the judges who will serve in this court with the necessary training in order to ensure effective judicial review.

La riduzione delle barriere tariffarie ha spostato il dibattito tra gli esperti di commercio internazionale sulle misure protezionistiche alternative (regole d'origine, proprietà intellettuale etc.). inoltre durante gli ultimi dieci anni la proliferazione degli accordi commerciali regionali ha acuito i timori di coloro che ritengono che la strada verso la liberalizzazione dei flussi commerciali internazionali debba passare attraverso l'OMC. questa tesi analizza il nesso tra i rimedi di difesa commerciale, le barriere tecniche al commercio e gli accordi commerciali regionali mediante un esercizio di mappatura di 53 accordi. tale mappatura è sviluppata mediante l'impiego di tabelle che riassumono il contenuto di ogni accordo per quanto concerne le barriere tecniche al commercio e i rimedi di difesa commerciale. Inoltre il presente lavoro effettua una ricognizione della letteratura empirica e teorica sull'argomento fornendo infine un contributo originale mediante l'utilizzo di un modello probit per l'analisi dei dati raccolti. i risultati ottenuti in parte confermano ed in parte smentiscono, a volte anche in maniera contro-intuitiva, alcuni fatti stilizzati dalla letteratura. / The reduction of tariff duties at multilateral and regional level has shifted the focus of international trade debate to other beyond-the-border protectionist measures (i.e. rules of origin, intellectual property, trade remedies etc.). Further during the last ten years the proliferation of regionalism has increased more and more the concern in the supporters of multilateral trading system. This thesis explores the linkages among trade remedies, technical barriers to trade and regional trade agreements. This analysis is performed through the creation of 4 benchmarking exercises (templates) mapping the provisions relevant to antidumping measures, countervailing duties, safeguards measures and technical barriers to trade included in 53 regional trade agreements. The aim of this thesis is to overview both theoretically and empirically the existing relevant literature in order to supply an original contribution to the understanding of the subject. The collection and the processing of the data offer some insight and, sometimes, counterintuitive findings about the modelling of trade remedies and technical barriers provisions in the regional trade agreements.