摘 要 「世界貿易組織」（World Trade Organization，以下簡稱WTO）爭端解決下之貿易制裁，對於確保其任務之達成，扮演著十分重要的角色。惟自WTO成立後至今的數年間，所出現之「爭端解決機構」（The Dispute Settlement Body）授權貿易制裁之實例，透露了本機制之引發之問題，例如除了被制裁國強力反彈外，採取制裁措施之國自身也倍嚐其苦。針對上述問題，不論是學界或WTO會員國均有一些檢討改革的方案。 上述改革方案包括倡議以其他手段完全取代現行「爭端解決程序與規則瞭解書」（Understanding on Rules and Procedures Governing the Settlement of Disputes，以下簡稱DSU）之貿易制裁者，經過本文之分析，發現此等手段縱然取代DSU之貿易制裁，仍無法解決問題，蓋彼等或不具可行性、或有強制執行之困難。 鑑於貿易制裁對WTO規範遵循之確保，目前無可取代，故本文肯定其繼續存在之必要，同時強調貿易制裁之法制化並無礙WTO協定整體架構之邏輯一貫性。此外，法制化的結果，不但可確保貿易制裁受到監督，降低濫用的空間，更可藉由內建之定期檢討與修正，促使授權貿易制裁得以持續獲得改善，將負面影響降到最低。 / The authorization of trade sanction, which secures the objectives of the World Trade Organization (hereinafter the “WTO”) to be achieved, plays a very important role in WTO dispute settlement mechanism. However, since the establishment of the WTO, the DSB authorization of trade sanctions in some cases has revealed some problems. In some instances, the exercise of the trade sanctions triggers counter-measures of the respondent member, while in others, the complaint member also suffers for the trade sanction it imposes as authorized. In response to the aforementioned problems, commentators as well as WTO members have proposed some ideas of reform. The reform proposals include replacing the WTO trade sanctions with alternative measures. Nevertheless, after careful analyses of these proposals for alternatives, it is found in this thesis that the replacement of the WTO trade sanctions cannot resolve the aforementioned problems, in the sense that those alternatives suggested are not feasible or lack of ways to enforce them. In light of the fact that currently no feasible alternative can have the function as trade sanction has in assuring the compliance of the WTO rules, this thesis argues that it needs to be preserved. Besides, this thesis believes that it does not cause any conflict in the current WTO legal framework. To preserve it under the WTO framework, the abuse can be avoided through the surveillance of the DSB. Moreover, the built-in review mechanism, which will continue reform trade sanction measures, can minimize their negative effects.

Dispute Settlement in the WTO Veronika Honzíková Abstract The WTO dispute settlement represents a significant improvement compared to the dispute settlement system under GATT 1947, but is still considered as his successor. The mechanism under GATT 1947 had many weaknesses which resulted to the need of reform. The procedure under GATT 1947 was not contradictory and all members of the Dispute Settlement Body (DSB) were entitled to use the veto right when adopting the reports. The contracting parties were conscious of such weaknesses and they have agreed on a new dispute settlement system during the Uruguay round. The Dispute Settlement Understanding (DSU) is part of the Agreement Establishing the World Trade Organization. The new system remains inter-state mechanism and as a consequence, available only to the Member States, excluding individuals and business operators. The dispute settlement under WTO has become compulsory while leaving each member the choice between this standard procedure and other dispute modes, such as Good Offices, Conciliation, Mediation and Arbitration. The dispute settlement system has been unified and has become more judicial. It excludes national jurisdictions and means strengthening the multilateralism. The dispute settlement is administrated by the Dispute Settlement Body,...

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.

Thesis (M.A.)--Ohio University, August, 2007. / Title from PDF t.p. Includes bibliographical references.

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.