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Human Rights Related Trade Measures under International Law International Studies in Human Rights Volume 94 The titles in this series are listed at the end of this volume. Human Rights Related Trade Measures under International Law The Legality of Trade Measures Imposed in Response to Violations of Human Rights Obligations under General International Law by Anthony E Cassimatis LEIDEN • BOSTON 2007 Printed on acid-free paper. A C.I.P. record for this book is available from the Library of Congress. ISBN: 978 90 04 16342 3 Copyright 2007 by Koninklijke Brill NV, Leiden, The Netherlands. Koninklijke Brill NV incorporates the imprints Brill, Hotei Publishers, IDC Publishers, Martinus Nijhoff Publishers and VSP. http://www.brill.nl All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, microfilming, recording or otherwise, without written permission from the Publisher. Authorization to photocopy items for internal or personal use is granted by Brill provided that the appropriate fees are paid directly to The Copyright Clearance Center, 222 Rosewood Drive, Suite 910, Danvers MA 01923, USA. Fees are subject to change. Printed and bound in The Netherlands. Table of Contents Foreword ix Acknowledgements xi Table of Cases xvii Table of National legislation xxv Table of Treaties Table of Other International Instruments Chapter 1 1. 2. 3. 4. 5. 6. 7. 8. Chapter 2 1. 2. (a) (b) Introduction An Important Question Trade and Human Rights under International Law – Two Propositions Municipal Restrictions on Imports and Exports under International Law Human Rights Obligations under General International Law Lex Lata – Lex Ferenda? Regimes, Rule Conflict and Fragmentation of International Law Other Limits on the Scope of the Book Summary of Chapters The Protection of Human Rights under International Law Introduction The Protection of Human Rights under International Law Civil and Political Rights Economic, Social and Cultural Rights xxvii xxxvii 1 1 5 6 7 10 14 17 20 23 23 23 25 33 Table of Contents (c) 3. (a) (b) 4. (a) (b) 5. (a) (i) (ii) (b) (c) 6. 7. 8. (a) (b) (c) (d) (e) 9. Chapter 3 1. 2. 3. 4. (a) (b) vi Solidarity Rights Holders of Human Rights under International Law Individual and Group Human Rights Corporations and Human Rights Addressees of Human Rights Obligations under International Law States, Individuals and Juridical Entities under Municipal Law Human Rights Obligations Owed by International Organisations Sources of Legal Obligation – Human Rights under International Law Treaties Human Rights Treaties Human Rights Obligations via the UN Charter Human Rights and Customary International Law General Principles of Law The Human Right to Development General Human Rights Obligations – A Recapitulation Enforcement of Human Rights Obligation under International Law Enforcement of Treaty Obligations to Ensure Respect for Human Rights Reliance on Rules of General International Law to Enforce Human Rights Treaties Enforcement of Customary Obligations to Respect Human Rights Enforcement of Human Rights Obligations through Organs of the United Nations other than the International Court of Justice Enforcement of Human Rights Obligation through Municipal Litigation in Other States Conclusion International Legal Regulation of Interstate Trade Introduction Objects, Purposes and Policies Relevant to the International Legal Regulation of Global Trade Other Policy Considerations The Development of the Multilateral Trading System Protocol of Provisional Application of GATT 1947 and the Failure to Establish the International Trade Organization Tariff and Non-Tariff Barriers to Trade and the Tokyo Round ‘Side’ Agreements 40 44 44 45 47 47 54 59 61 61 67 72 91 93 96 98 99 103 107 109 115 116 117 117 120 123 130 130 133 Table of Contents (c) (d) (e) (f) (g) 5. (a) (b) (c) (d) (e) (i) (ii) (iii) (iv) (v) (f) (g) (h) 6. Chapter 4 1. 2. (a) (i) (ii) (iii) (iv) (v) (b) (c) 3. (a) (i) (ii) (iii) (b) (c) GATT and Developing States The Uruguay Round of Trade Negotiations and the WTO Trade in Services Intellectual Property Protection Trade Policy Review The Legal Framework of GATT 1994 The Principle of Non-Discrimination in Trade and Linkages between Trade and Human Rights Most Favoured Nation Rule National Treatment Binding Tariff Commitments Exceptions to GATT Discipline General Exceptions Technical Barriers to Trade Safeguard Measures Dumping and Subsidies Waivers International Trade Rules and Non-Governmental Entities Customs Unions and Free Trade Areas Dispute Resolution Conclusion Interaction between Rules and Principles of International Law – Human Rights and Trade Introduction A Conception of the International Rule of Law and its Relevance to the Interaction of International Legal Rules and Principles Requirements of the International Rule of Law A Complete Legal System A Relatively Certain Legal System Equality before the Law Absence of Arbitrary Power Effective Application of the Law Human Rights and the International Rule of Law Limited Convergence of Principles – Trade and Human Rights Instruments Hierarchy Amongst Rules of International Law Peremptory Norms (Jus Cogens) Peremptory Norms and the Interpretation of Treaties Peremptory Norms and Other Rules of International Law Peremptory Norms and Human Rights State Crimes Obligations owed Erga Omnes 134 136 138 139 141 142 143 143 144 146 146 147 149 150 150 154 155 157 159 163 165 165 172 177 177 179 180 181 182 184 190 191 193 196 198 204 209 211 vii Table of Contents (d) (e) 4. (a) (b) 5. (a) (b) (c) 6. Chapter 5 1. 2. 3. (a) (i) (ii) (b) (i) (ii) (c) (d) 4. viii Universal Jurisdiction, Obligations owed Erga Omnes and Peremptory Norms Obligations under the Charter of the United Nations and the Effect of Article 103 of the Charter Forms of Interaction Between Human Rights Norms, Trade Norms and Other Norms and Values Direct Interaction Indirect Interaction The Avoidance and Resolution of Conflict Between Rules of International Law The Concept of Conflict between Rules of International Law Possible Approaches to Conflict between Rules of International Law The Approach of the International Law Commission Study Group on Fragmentation of International Law Conclusion Human Rights Related Trade Measures Not Subject to Full World Trade Organization Discipline – Measures Implemented by the European Union and the United States of America Introduction The Legality of Human Rights Related Trade Measures Generally under International Law Human Rights Related Trade Measures Not Subject to the Full Disciplines of the WTO Agreement United States – Mechanisms Linking Trade and Human Rights United States Legislation and Regulations Linking Trade and Human Rights United States Treaty Linkage of Trade and Human Rights European Union – Mechanisms Linking Trade and Human Rights European Union Regulations Linking Trade and Human Rights European Union Treaties Linking Trade and Human Rights Academic Assessments of United States and European Union Linkage Mechanisms Weaknesses in United States Legislation and European Union Instruments Conclusion 215 219 222 222 227 236 236 238 247 252 255 255 259 266 268 268 270 272 272 276 277 278 287 Table of Contents Chapter 6 1. 2. 3. (a) (b) (c) 4. (a) (b) (c) (d) (e) 5. (a) (b) (c) 6. (a) (b) (c) (d) 7. (a) (b) (c) (i) (ii) (iii) (iv) (d) (e) (i) Human Rights Related Trade Measures under the Marrakesh Agreement Establishing the World Trade Organization Introduction Most Favoured Nation Obligation and National Treatment – Obstacles in the way of Human Rights Related Trade Measures Subsidies and Dumping Introduction Dumping Subsidies WTO Dispute Resolution – Nullification or Impairment of Members’ Benefits under the WTO Agreement or Impeding Attainment of Any Objective of the WTO Agreement Drafting History and Practice of GATT Parties Panel and Appellate Body Interpretations of Article XXIII WTO Dispute Settlement Understanding and Article XXIII Article XXIII and Inter-Agency Consultations Conclusions on Linkage via Article XXIII Safeguards Availability of Safeguard Measures Selectivity of Safeguard Measures Intensity of Safeguard Measures Security Exceptions Structural Differences between Article XXI and Other WTO Provisions Justiciability of Invocations of Article XXI WTO Remedies Available Against Article XXI Measures Conclusions on Linkage via Security Exceptions General Exceptions – Article XX GATT 1994 and Equivalent Provisions Introduction Article XX of GATT 1994 and Treaty Interpretation Contrasting Approaches to Article XX and Environmental Measures First Tuna Dolphin Case Second Tuna Dolphin Case Panel Report in Shrimp Turtle Case Appellate Body Report in Shrimp Turtle Case Contrasts between Environmental and Human Rights Policies Article XX(a) of GATT 1994 Article XX(a) – “Public Morals” and Human Rights 289 289 290 295 295 296 298 303 305 308 312 319 320 320 322 323 325 326 328 329 333 334 334 334 337 344 344 345 346 347 348 354 355 ix