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, Marti- nus 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, microfilm- ing, 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 xxvii Table of Other International Instruments xxxvii Chapter 1 Introduction 1 1. An Important Question 1 2. Trade and Human Rights under International Law – Two Propositions 5 3. Municipal Restrictions on Imports and Exports under International Law 6 4. Human Rights Obligations under General International Law 7 5. Lex Lata – Lex Ferenda? 10 6. Regimes, Rule Conflict and Fragmentation of International Law 14 7. Other Limits on the Scope of the Book 17 8. Summary of Chapters 20 Chapter 2 The Protection of Human Rights under International Law 23 1. Introduction 23 2. The Protection of Human Rights under International Law 23 (a) Civil and Political Rights 25 (b) Economic, Social and Cultural Rights 33 Table of Contents (c) Solidarity Rights 40 3. Holders of Human Rights under International Law 44 (a) Individual and Group Human Rights 44 (b) Corporations and Human Rights 45 4. Addressees of Human Rights Obligations under International Law 47 (a) States, Individuals and Juridical Entities under Municipal Law 47 (b) Human Rights Obligations Owed by International Organisations 54 5. Sources of Legal Obligation – Human Rights under International Law 59 (a) Treaties 61 (i) Human Rights Treaties 61 (ii) Human Rights Obligations via the UN Charter 67 (b) Human Rights and Customary International Law 72 (c) General Principles of Law 91 6. The Human Right to Development 93 7. General Human Rights Obligations – A Recapitulation 96 8. Enforcement of Human Rights Obligation under International Law 98 (a) Enforcement of Treaty Obligations to Ensure Respect for Human Rights 99 (b) Reliance on Rules of General International Law to Enforce Human Rights Treaties 103 (c) Enforcement of Customary Obligations to Respect Human Rights 107 (d) Enforcement of Human Rights Obligations through Organs of the United Nations other than the International Court of Justice 109 (e) Enforcement of Human Rights Obligation through Municipal Litigation in Other States 115 9. Conclusion 116 Chapter 3 International Legal Regulation of Interstate Trade 117 1. Introduction 117 2. Objects, Purposes and Policies Relevant to the International Legal Regulation of Global Trade 120 3. Other Policy Considerations 123 4. The Development of the Multilateral Trading System 130 (a) Protocol of Provisional Application of GATT 1947 and the Failure to Establish the International Trade Organization 130 (b) Tariff and Non-Tariff Barriers to Trade and the Tokyo Round ‘Side’ Agreements 133 vi Table of Contents (c) GATT and Developing States 134 (d) The Uruguay Round of Trade Negotiations and the WTO 136 (e) Trade in Services 138 (f) Intellectual Property Protection 139 (g) Trade Policy Review 141 5. The Legal Framework of GATT 1994 142 (a) The Principle of Non-Discrimination in Trade and Linkages between Trade and Human Rights 143 (b) Most Favoured Nation Rule 143 (c) National Treatment 144 (d) Binding Tariff Commitments 146 (e) Exceptions to GATT Discipline 146 (i) General Exceptions 147 (ii) Technical Barriers to Trade 149 (iii) Safeguard Measures 150 (iv) Dumping and Subsidies 150 (v) Waivers 154 (f) International Trade Rules and Non-Governmental Entities 155 (g) Customs Unions and Free Trade Areas 157 (h) Dispute Resolution 159 6. Conclusion 163 Chapter 4 Interaction between Rules and Principles of International Law – Human Rights and Trade 165 1. Introduction 165 2. A Conception of the International Rule of Law and its Relevance to the Interaction of International Legal Rules and Principles 172 (a) Requirements of the International Rule of Law 177 (i) A Complete Legal System 177 (ii) A Relatively Certain Legal System 179 (iii) Equality before the Law 180 (iv) Absence of Arbitrary Power 181 (v) Effective Application of the Law 182 (b) Human Rights and the International Rule of Law 184 (c) Limited Convergence of Principles – Trade and Human Rights Instruments 190 3. Hierarchy Amongst Rules of International Law 191 (a) Peremptory Norms (Jus Cogens) 193 (i) Peremptory Norms and the Interpretation of Treaties 196 (ii) Peremptory Norms and Other Rules of International Law 198 (iii) Peremptory Norms and Human Rights 204 (b) State Crimes 209 (c) Obligations owed Erga Omnes 211 vii Table of Contents (d) Universal Jurisdiction, Obligations owed Erga Omnes and Peremptory Norms 215 (e) Obligations under the Charter of the United Nations and the Effect of Article 103 of the Charter 219 4. Forms of Interaction Between Human Rights Norms, Trade Norms and Other Norms and Values 222 (a) Direct Interaction 222 (b) Indirect Interaction 227 5. The Avoidance and Resolution of Conflict Between Rules of International Law 236 (a) The Concept of Conflict between Rules of International Law 236 (b) Possible Approaches to Conflict between Rules of International Law 238 (c) The Approach of the International Law Commission Study Group on Fragmentation of International Law 247 6. Conclusion 252 Chapter 5 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 255 1. Introduction 255 2. The Legality of Human Rights Related Trade Measures Generally under International Law 259 3. Human Rights Related Trade Measures Not Subject to the Full Disciplines of the WTO Agreement 266 (a) United States – Mechanisms Linking Trade and Human Rights 268 (i) United States Legislation and Regulations Linking Trade and Human Rights 268 (ii) United States Treaty Linkage of Trade and Human Rights 270 (b) European Union – Mechanisms Linking Trade and Human Rights 272 (i) European Union Regulations Linking Trade and Human Rights 272 (ii) European Union Treaties Linking Trade and Human Rights 276 (c) Academic Assessments of United States and European Union Linkage Mechanisms 277 (d) Weaknesses in United States Legislation and European Union Instruments 278 4. Conclusion 287 viii Table of Contents Chapter 6 Human Rights Related Trade Measures under the Marrakesh Agreement Establishing the World Trade Organization 289 1. Introduction 289 2. Most Favoured Nation Obligation and National Treatment – Obstacles in the way of Human Rights Related Trade Measures 290 3. Subsidies and Dumping 295 (a) Introduction 295 (b) Dumping 296 (c) Subsidies 298 4. WTO Dispute Resolution – Nullification or Impairment of Members’ Benefits under the WTO Agreement or Impeding Attainment of Any Objective of the WTO Agreement 303 (a) Drafting History and Practice of GATT Parties 305 (b) Panel and Appellate Body Interpretations of Article XXIII 308 (c) WTO Dispute Settlement Understanding and Article XXIII 312 (d) Article XXIII and Inter-Agency Consultations 319 (e) Conclusions on Linkage via Article XXIII 320 5. Safeguards 320 (a) Availability of Safeguard Measures 322 (b) Selectivity of Safeguard Measures 323 (c) Intensity of Safeguard Measures 325 6. Security Exceptions 326 (a) Structural Differences between Article XXI and Other WTO Provisions 328 (b) Justiciability of Invocations of Article XXI 329 (c) WTO Remedies Available Against Article XXI Measures 333 (d) Conclusions on Linkage via Security Exceptions 334 7. General Exceptions – Article XX GATT 1994 and Equivalent Provisions 334 (a) Introduction 334 (b) Article XX of GATT 1994 and Treaty Interpretation 337 (c) Contrasting Approaches to Article XX and Environmental Measures 344 (i) First Tuna Dolphin Case 344 (ii) Second Tuna Dolphin Case 345 (iii) Panel Report in Shrimp Turtle Case 346 (iv) Appellate Body Report in Shrimp Turtle Case 347 (d) Contrasts between Environmental and Human Rights Policies 348 (e) Article XX(a) of GATT 1994 354 (i) Article XX(a) – “Public Morals” and Human Rights 355 ix