The WTO, Animals and PPMs

378 Pages·2007·4.516 MB·English

by  Laura Nielsen

SERIES ON
INTERNATIONAL
LAW AND
DEVELOPMENT
Editorial Board
Series Editor
Raj Bhala
Rice Distinguished Professor
The University of Kansas
School of Law
Lawrence, KS • USA
Professor Scott Optican
Faculty of Law
University of Auckland
Auckland, New Zealand
Muhammad Nawazish Pirzada
Associate Professor of Law
Pakistan College of Law
Partner, Pirzada Law Partners
Lahore, Pakistan
Ramsay Taylor
Attorney
Baker & Botts
Riyadh, Saudi Arabia
Professor Peter Muchlinski
Kent Law School
University of Kent at Canterbury
England
The WTO, Animals and PPMs
LAURA NIELSEN
Martinus Nijhoff Publishers
Leiden / Boston
Library of Congress Cataloging-in-Publication Data
Nielsen, Laura, LLM, PhD
The WTO, Animals and PPMs / Laura Nielsen.
p. cm. -- (Series on international law and development)
Revised version of the author's thesis (Ph. D.) -- University of
Copenhagen, 2005.
Includes bibliographical references and index.
ISBN 978-1-57105-186-8
1. Animal welfare—Law and legislation. 2. Foreign trade regulation.
3. World Trade Organization. I. Title.
K3620.N54 2007
344.04'9--dc22
2007027881
Copyright © 2007 Koninklijke Brill NV, Leiden, The Netherlands.
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CONTENTS
Foreword. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv
Acknowledgments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xvii
About the Author. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xix
List of Abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xxi
Chapter 1: Introductory Remarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 What to Expect from this Book. . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Where Do We Start? Globalization. . . . . . . . . . . . . . . . . . . . . 2
1.3 Direction: Sustainable Development . . . . . . . . . . . . . . . . . . . 3
1.4 Working Together, Separately? . . . . . . . . . . . . . . . . . . . . . . . . 4
1.5 Narrowing the Focus: WTO, Animals and PPMs. . . . . . . . . . 5
1.6 The Legal System: Public International Law. . . . . . . . . . . . . 6
2 The WTO: A Brief Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . 9
3 Theoretical Foundation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
3.1 Purpose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
3.2 Theses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
3.2.1 Developing a Theory: The Law of Entropy. . . . . . . . 13
3.2.2 Developing Thesis 1. . . . . . . . . . . . . . . . . . . . . . . . . . . 14
3.2.3 Developing Thesis 2 . . . . . . . . . . . . . . . . . . . . . . . . . . 15
3.3 Method—What Is the “Role” of the Lawyer?. . . . . . . . . . . . 16
3.4 Verification of the Theses . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
3.4.1 The Nature of Thesis 1 . . . . . . . . . . . . . . . . . . . . . . . . 16
3.4.1.1 The Principle of Effectiveness. . . . . . . . . . . 16
3.4.1.2 Overlap of the Sub-Sections. . . . . . . . . . . . . 17
3.4.2 Verification of Thesis 2 . . . . . . . . . . . . . . . . . . . . . . . . 17
3.5 Material and Demarcation. . . . . . . . . . . . . . . . . . . . . . . . . . . 18
4 Roadmap—The Chapters. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Chapter 2: Public International Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
1 Jus Gentium. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
2 Rights and Obligations in Relation to Sovereignty. . . . . . . . . . . 22
3 The Bilateral Nature of International Law. . . . . . . . . . . . . . . . . 24
4 Erga OmnesObligations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
5 Jus Cogens . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
6 Sources in Jus Gentium . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
7 Interpretation of the Sources by the “Courts” . . . . . . . . . . . . . . 30
8 Enforceability of Norms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
v
vi • The WTO, Animals and PPMs
Chapter 3: Sustainable Development. . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
1 A Shift in Policy Direction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
2 Sovereignty over Natural Resources . . . . . . . . . . . . . . . . . . . . . . 32
3 Sustainable Development. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
3.1 The History of Sustainable Development. . . . . . . . . . . . . . . 33
3.2 The Substance of Sustainable Development . . . . . . . . . . . . 34
3.2.1 Future Generations. . . . . . . . . . . . . . . . . . . . . . . . . . . 34
3.2.2 Balancing the Three Elements. . . . . . . . . . . . . . . . . . 36
3.2.3 International Cooperation . . . . . . . . . . . . . . . . . . . . . 37
3.2.4 Sustainable Development and
International Trade. . . . . . . . . . . . . . . . . . . . . . . . . . . 38
3.3 Legal Status of Sustainable Development . . . . . . . . . . . . . . 39
Chapter 4: The Environment—Biodiversity. . . . . . . . . . . . . . . . . . . . . . . 41
1 International Environmental Law. . . . . . . . . . . . . . . . . . . . . . . . 41
2 The “Environment” in Sustainable Development . . . . . . . . . . . 42
3 Environmental Protection of Animals. . . . . . . . . . . . . . . . . . . . . 44
3.1 Location of Natural Resources . . . . . . . . . . . . . . . . . . . . . . . 45
3.1.1 Animals Located Within the National
Jurisdiction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
3.1.2 Shared Natural Resources. . . . . . . . . . . . . . . . . . . . . . 46
3.1.3 Natural Resources in Common Spaces:
Common Property. . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
4 Local, Regional and Global Environmental Issues. . . . . . . . . . . 47
5 The Convention on Biological Diversity. . . . . . . . . . . . . . . . . . . 48
5.1 Definition of Biological Diversity . . . . . . . . . . . . . . . . . . . . . 48
5.1.1 Anthropocentric and Ecocentric Approach . . . . . . . 49
5.2 The Convention in Context . . . . . . . . . . . . . . . . . . . . . . . . . 50
5.3 Hard Law Norms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
6 Which Species Are Threatened?—The IUCN Red List. . . . . . . 52
7 Trade in Endangered Species . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
7.1 CITES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
7.1.1 Appendix I. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
7.1.2 Appendix II . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
7.1.3 Appendix III. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
7.1.4 CITES as Global Type of Environmental
Protection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
7.1.5 CITES Does Not Follow Legal Borders . . . . . . . . . . . 55
7.1.6 CITES Appendices as Evidence that a Species
Is Endangered . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
8 Migratory Species . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
8.1 The Bonn Convention. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
8.1.1 Endangered Migratory Species—Appendix I . . . . . . 57
Contents • vii
8.1.2 Migratory Species with Unfavorable
Conservation Status—Appendix II. . . . . . . . . . . . . . . 58
8.1.3 Other Migratory Species. . . . . . . . . . . . . . . . . . . . . . . 59
8.2 Status of Migratory Species. . . . . . . . . . . . . . . . . . . . . . . . . . 59
9 Habitat Protection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
9.1 A Note on Habitat Protection and Conservation . . . . . . . . 60
9.2 The World Heritage Convention . . . . . . . . . . . . . . . . . . . . . 60
9.3 The Ramsar Convention . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
10 Marine Mammals. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
10.1 The Whales. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
11 Summing Up Protection of Animals. . . . . . . . . . . . . . . . . . . . . . 63
11.1 An Example: The Orangutan. . . . . . . . . . . . . . . . . . . . . . . 64
12 Full Sovereignty over Natural Resources?. . . . . . . . . . . . . . . . . . 65
12.1 “Common Concern” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
12.2 Limitations on Sovereignty. . . . . . . . . . . . . . . . . . . . . . . . . 66
12.3 Erga Omnesand Common Concern. . . . . . . . . . . . . . . . . . . 68
13 Invasive Alien Species. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
13.1 Genetically Modified Flora and Fauna. . . . . . . . . . . . . . . . 70
13.1.1 The Cartagena Protocol on Biosafety. . . . . . . . . . . 71
14 DDT and Bio-Accumulation in Polar Bears . . . . . . . . . . . . . . . . 72
14.1 Principle 21 and DDT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
14.1.1 Sulphur Dioxide and Nitrogen Oxides . . . . . . . . . 75
14.1.2 Chlorine-Based Substances . . . . . . . . . . . . . . . . . . . 75
14.1.3 Carbon Dioxide . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
14.1.4 Sub-Conclusion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
14.2 UNEP Conventions on Management of Pollutants. . . . . . 77
14.2.1 The Rotterdam Convention . . . . . . . . . . . . . . . . . . 78
14.2.2 The POPs Convention. . . . . . . . . . . . . . . . . . . . . . . 78
15 Conclusion and Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
Chapter 5: Animal Welfare . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
1.1 Legal Status of Animals—Animals Are Items. . . . . . . . . . . . 83
1.1.1 Can Animals Have Standing in Cruelty or
Neglect Cases? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
1.1.2 Exception: Animals as “Wrong Doers”. . . . . . . . . . . . 86
1.1.3 International Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
2 Introduction to Animal Welfare. . . . . . . . . . . . . . . . . . . . . . . . . . 87
2.1 Someof the Animals Are Protected in SomeSocieties. . . . . . 88
2.2 Feelings or Science. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
2.3 Human or Animal Focus? . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
2.4 Developing Countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
2.5 Animal Welfare Laws . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
viii • The WTO, Animals and PPMs
3 Trade-Related Animal Welfare Measures. . . . . . . . . . . . . . . . . . . 92
3.1 Slaughter of Animals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
3.1.1 Protection of Unborn Fetuses in Relation to
Slaughter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
3.1.2 Religious Slaughter . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
3.1.2.1 Islam and Halal. . . . . . . . . . . . . . . . . . . . . . . 93
3.1.2.2 Judaism and Kosher . . . . . . . . . . . . . . . . . . . 96
3.1.3 Transportation of Animals Destined for
Slaughter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
3.2 Fur Animals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
3.2.1 Fur from Cats, Dogs and Baby Seals. . . . . . . . . . . . . 100
3.2.1.1 Cats and Dogs. . . . . . . . . . . . . . . . . . . . . . . 100
3.2.1.2 Baby Seals (Pups). . . . . . . . . . . . . . . . . . . . 101
3.2.2 Leg-Hold Traps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
3.3 In VivoTesting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
3.3.1 In VivoTesting of Cosmetics . . . . . . . . . . . . . . . . . . . 105
4 Conclusion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
Chapter 6: Environmental and Other Policies in the WTO . . . . . . . . . 107
1 Brief Historical Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . 107
1.1 The GATT and the ITO. . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
1.2 The World Trade Organization. . . . . . . . . . . . . . . . . . . . . . 108
2 Sustainable Development in the WTO . . . . . . . . . . . . . . . . . . . 109
3 Environmental and/or Moral Values and the WTO Rules . . . 111
4 Disputes—The Basics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
4.1 Unilateral or MEA Trade Measure—A Clarification. . . . . 114
4.2 WTO Case Law?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
4.2.1 Consistency and Stare Decisis . . . . . . . . . . . . . . . . . . . 115
4.2.2 No De JurePrecedents . . . . . . . . . . . . . . . . . . . . . . . . 118
4.3 De FactoPrecedents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
Chapter 7: GATT, SPS and TBT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
1 Overview of the Relevant Annex 1A Agreements. . . . . . . . . . . 125
1.1 The GATT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
1.2 The SPS Agreement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
1.2.1 Coverage Area for the SPS Agreement . . . . . . . . . . 127
1.2.2 The EC—GMOCase—Panel Report. . . . . . . . . . . . . 128
1.2.3 SPS Measures Are Trade Barriers. . . . . . . . . . . . . . . 132
1.3 The TBT Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
1.4 Choosing Between the Agreements . . . . . . . . . . . . . . . . . . 134
1.5 Burden of Proof Differences Between SPS/TBT
and GATT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
1.5.1 SPS Article 3.1, 3.2 and 3.3. . . . . . . . . . . . . . . . . . . . 138
Contents • ix
1.5.2 TBT Agreement Article 2.4. . . . . . . . . . . . . . . . . . . . 140
2 The Substantive Obligations in GATT. . . . . . . . . . . . . . . . . . . . 141
2.1 GATT Article I . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
2.2 GATT Article III. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
2.2.1 Difference Between Articles III:2 and III:4 . . . . . . . 143
2.2.2 Products as Such in Article III . . . . . . . . . . . . . . . . . 144
2.3 GATT Article XI. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
2.3.1 Import/Export Licenses. . . . . . . . . . . . . . . . . . . . . . 146
2.3.2 Import Certification Programs. . . . . . . . . . . . . . . . . 147
2.3.3 Export Bans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
2.4 Presupposing a Violation of the Substantive
Obligations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
2.4.1 Total Trade Bans and GATT Articles III
and XI. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
2.4.2 Regional Bans and GATT Article XI . . . . . . . . . . . . 153
3 The GATT Exception: GATT Article XX . . . . . . . . . . . . . . . . . 154
3.1 Coverage Area of GATT Articles XX(a), (b) and (g). . . . 154
3.2 Sequence of Steps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
4 The “Tests” in GATT Article XX . . . . . . . . . . . . . . . . . . . . . . . . 156
4.1 The “Policy” Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
4.1.1 “Policy” Test in Sub-Section (a) . . . . . . . . . . . . . . . . 157
4.1.2 “Policy” Test in Sub-Section (b) . . . . . . . . . . . . . . . . 158
4.1.3 “Policy” Test in Sub-Section (g) . . . . . . . . . . . . . . . . 161
4.2 Subsequent Trade Tests. . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
4.2.1 Sub-Sections (a) and (b): “Necessity” Test. . . . . . . . 162
4.2.2 Sub-Section (g): “Related to” and “in
Conjunction with” Tests . . . . . . . . . . . . . . . . . . . . . . 165
4.3 The ChapeauAnalysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167
4.3.1 Arbitrary and Unjustifiable Discrimination. . . . . . . 169
4.3.2 Disguised Restriction on Trade. . . . . . . . . . . . . . . . . 173
4.4 Overview: A Direct “Link” Between Measure and
Policy Pursued . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174
4.4.1 The Flawed GSP “Policy” Analysis . . . . . . . . . . . . . . 175
5 Substantive Obligations in the SPS Agreement . . . . . . . . . . . . 177
5.1 General Requirements to SPS Measures . . . . . . . . . . . . . . 177
5.2 Three Types of Measures in Article 3. . . . . . . . . . . . . . . . . 178
5.3 Risk Assessment in Article 5 . . . . . . . . . . . . . . . . . . . . . . . . 179
5.4 Developing Countries and the SPS Requirements . . . . . . 182
6 Substantive Obligations in the TBT Agreement. . . . . . . . . . . . 183
6.1 General Obligations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
6.1.1 International Standards. . . . . . . . . . . . . . . . . . . . . . . 183
6.1.2 Deviation from International Standards . . . . . . . . . 186
6.1.3 GATT Article III Resemblance. . . . . . . . . . . . . . . . . 187