国际商法第五版第八章-ray·august著

CHAPTER8SERVICESANDLABOR8-1CHAPTER8

SERVICESANDLABORTopicsforthischapter:GeneralAgreementonTradeinServicesRegionalIntergovernmentalRegulationsonTradeinServicesInternationalLaborLawRegionalIntergovernmentalRegulationsonLaborMovementofWorkers8-2GeneralAgreementonTradeinServices

GATSisamultilateralagreementthatcameintoeffectasoneofthethreemainannexestotheAgreementEstablishingtheWTO.GATScontainsrulesandprinciplesgoverninginternationaltradeinservicesandestablishesguidelinesfornegotiatingthefutureliberalizationofsuchtrade.8-3ComponentsofGATSGATSismadeupofthreecomponents:theagreementitself(calledtheFrameworkAgreement),whichcontainstherulesapplicabletoallmemberstatesoftheWTO,thesectoralannexesthatdealwithissuesuniquetoparticulareconomicsectors(i.e.,airtransportservices),andthenationalSchedulesofSpecificCommitmentseachmemberhasagreedtoundertake.8-4TheFrameworkAgreementTheFrameworkAgreementlaysoutGATSinsixparts:ThescopeanddefinitionofGATSGeneralobligationsanddisciplinesofmembersObligationsanddisciplinesconcerningspecificcommitmentsofmemberstatesAscheduleforprogressivelyliberalizingtheworld’stradeinservicesTheinstitutionalstructureofGATS,andMiscellaneousprovisions(definitions)

8-5TheFrameworkAgreementDifferentfromGATTinthatinsteadofonesetofobligationsthatapplytoeveryone,GATShastwosetsofobligations:Generalmeasuresthatapplytoallmeasuresaffectingtradeinservices,andAsetofprinciplesandrulesthatapplyonlytospecificsectors.TelecommunicationsisanimportantsectorcoveredbyGATSPhotocourtesyofMokaGallery:/8-6ScopeandDefinitionoftheFrameworkAgreementTheFrameworkAgreementcoversalltradeinservicesinanysector.Servicesareanactoraction,suchastheworkperformedbyonepersonforanother.Service

Sectorsareanypartsoftheeconomyinvolvingtheperformanceofaservice.UBSBank,Switzerland.FinancialservicesandbankingisoneoftheservicesectorsaddressedbyGATS.Photo:8-7TradeinServicesDefinedbylookingtothefourmodesofsupply:cross-bordersupplyofservicesthatdonotrequirethephysicalmovementofeitherthesupplierorconsumer(telecommunications),thesupplyofservicesthatrequiretheconsumertogotothesupplier(tourism),servicessuppliedbyaservicesupplierfromonememberstatebymeansofacommercialpresenceinanothermember’sterritory(banking),servicessuppliedinterritoryofonestatebyaservicesupplierfromanotherstatebytemporarypresenceofnaturalpersons(construction).8-8Case8-1:Ecuadoretal.v.EuropeanCommunitiesTheEUappealedfromthefindingsinthePanelReports,EuropeanCommunities—RegimefortheImportation,Sale,andDistributionofBananas.EClegislationandregulationsprovidedforpreferentialtarifftreatmentforformercoloniesofECmemberstatesthatwereimportingbananastotheEC.PanelsaidtheECviolatedGATTandGATS.TheECfavoredformercoloniesinsettingtariffsonbananas.

PhotocourtesyofMokaGallery:/8-9Case8-1:Ecuadoretal.v.EuropeanCommunitiesIssues:DoesGATSapplytoECimportlicensingprocedures?Ruling:Theactionsofbananawholesalersinpurchasing,reselling,andconductingavarietyofrelatedservicesconstitutedservicesunderGATS.8-10FrameworkAgreement:GeneralObligationsandDisciplinesTwogeneralobligationsapplytoallWTOmembers:most-favored-nation(MFN)treatment,andtransparency.MFNtreatmentrequiresthateachmemberstateaccordimmediatelyandunconditionallytoservicesandservicesuppliersofothermemberstreatmentnolessfavorablethanitaccordstolikeservicesandsuppliersofanyothercountry.TransparencyrequiresmemberstopublishalltheirnationalmeasuresandinternationalagreementsthataffecttheirGATSobligations.8-11FrameworkAgreement:GeneralObligationsandDisciplinesTheAgreementauthorizesdevelopedanddevelopingmemberstatestoenterintonegotiationstargetedatimprovingthecapacity,efficiency,andcompetitivenessofthedevelopingmembers.GATSseekstoencourageregionaleconomicintegrationbothintradeinservicesandlaborAnyserviceintegrationagreementamongmemberstatesmusthavesubstantialsectoralcoverage.Alabormarketintegrationagreementmustexemptnationalsofstatespartiesfromresidencyandworkpermitrequirements.8-12SpecificCommitmentsGATSisdesignedtoopenupspecificservicesectorsofthemembers’marketstointernationalaccessonasector-by-sectorandstate-by-statebasis.MemberssubmitaScheduleofSpecificCommitmentsforannexationtoGATSthatliststhesectorsitisopeninguptomarketaccess.Themembermayalsolistlimitationsthatapplytothesesectors.8-13SpecificCommitmentsForsectorslistedinamemberstate’sScheduleofSpecificCommitments,themembermustobservetwoobligations:marketaccessandnationaltreatment.Marketaccessisgivingservicesandservicesuppliersofothermembers“treatmentnolessfavorable”thanthatlistedinthemember’sschedule.Nationaltreatmentisgivingserviceandservicesuppliersofothermembers“treatmentnolessfavorable”thanwhatthemembergrantsitsownlikeservicesandservicesuppliers.8-14ProgressiveLiberalizationLong-termobjectiveofGATSistoencourageitsmemberstatestoopenasmanyoftheirservicesectorstomarketaccessaspossible.Membersshallengageinroundsofnegotiationsdirectedatreducingoreliminatingtheadverseeffectsontradeinservicesofmeasuresasameanstoeffectivemarketaccess.GATSisoverseenbyaCouncilforTradeinServiceswithallmemberstateshavingrepresentatives.8-15Exhibit8-1SummaryofGATSAnnexes8-16Exhibit8-1SummaryofGATSAnnexes

(continued)8-17GATSSchedulesof

SpecificCommitmentsEachWTOmemberstateisrequiredtosubmitforannexationtoGATSaScheduleofSpecificCommitmentsregardingservicesectorsithasopenedtointernationalmarketaccess.Foreachsector,itsschedulemustspecify:Terms,limitations,andconditionsonmarketaccess,Conditions/qualificationsonnationaltreatment,Undertakingsrelatingtoadditionalcommitments,Thetimeframeforimplementingcommitments,Thedateofentryintoforceofitscommitments.8-18EULawonTradeinServicesTheECTreatyprovidesthat,withintheEU,restrictionsonthefreedomtoprovideservicesandrestrictionsonthefreedomofestablishmentaretobeabolished.ThefreedomtoprovideservicesistherightofmemberstatenationalsandfirmstomarkettheirservicesonatemporarybasisthroughouttheEU.TherightofestablishmentallowsamemberstatenationaltosettlepermanentlyandcarryonabusinessthroughouttheEU.8-19EULawonTradeinServices

(continued)ECTreatydeclaresthattheself-employedandtheemployeesofservicesuppliersareentitledtotravelfreelywithinmemberstates.2006ServicesDirectiverequiresEUmemberstosimplifyproceduresrequiredtoaccessandexerciseaserviceactivity.Andtoprovideasinglecontactpointtocompleteformalities.Statescanlimitentryonthegroundsofpublicpolicy,publicsecurity,andpublichealth.The“old”15EUmemberscanapplyrestrictivemeasuresagainstworkersfromthe12“new”membersforatransitionalperiod.8-20ProvisionsGoverningTradeinServicesinNAFTATherearesomedifferencesbetweenNAFTAandGATS:EachNAFTAcountryrequiredtoaccordthebetterofnationalorMFNtreatment.ServiceprovidershaveseveralimportantrightsthataredifferentfromGATSprovisions:Tobefreefromperformancerequirements.Tomakeinwardandoutwardtransfers.Tohaveinternationalstandardofcaredoctrineapplied.8-21ProvisionsGoverningTradeinServicesinNAFTA(continued)Tohaveinvestor-statedisputesresolvedbybindingarbitration.NAFTAdoesnotdealwithservices,butwithsectors.NAFTAdoesnotdefinethefourmodesofsupply.NAFTArequiresitscountriestospecifythesectorsthatarenotcoveredbytheagreement.8-22InternationalLaborLawTheInternationalLaborOrganization(ILO)isaspecializedagencyoftheUNresponsibleforpromotinginternationaleffortstoimproveworkingconditions,livingstandards,andequitabletreatmentofworkersworldwide.CreatedbytheTreatyofVersaillesin1919,theILObecameanagencyoftheUNin1946.8-23TheILOTheGeneralConferenceactsasthelegislativebodyofthe

ILO,approvingconventionsandadoptingrecommendations.TheGoverningBodyservesastheILOexecutive.Itismadeupofrepresentativesfromgovernment,labor,andmanagementfromeachmemberstate.AnInternationalLaborOfficeheadedbyaDirector-Generalfunctionsastheorganization’ssecretariat.ILOconcernsincludeallformsoflabor.8-24InternationalLaborStandardsILOattemptstoestablishrulesorstandardsthathaveinternationaleffectbecause:Statesarenotinclinedtopasslaborlawsthatwouldcreateacompetitivedisadvantage.Theestablishmentoffairandequitablelaborstandardshelpspromoteworldpeace.Theestablishmentofuniformlaborstandardsisamatterofbothjusticeandhumanity.InternationalstandardsarecreatedbyILOconventionsandILOrecommendationsbytheILOastoproperlaborpracticesandinterpretationsofILOconventions.8-25ILOReportsMemberstatesoftheILOarerequiredtoprovideannualreportstoverifycompliancewiththeconventionstheyhaveratified.TheILOCommitteeofExpertsontheApplicationofConventionsandRecommendationsanalyzesandevaluatesthesubmissionsandcreatesasummaryofthereportsforusebytheGeneralConference.TheILOConferenceCommitteereviewsthesummaryandcreatesaspeciallistofmemberstatesthathavedefaultedontheirobligationstotheILO.8-26TheCommissionofInquiryTheGoverningBodymayappointaCommissionofInquirytoconsideracomplaintbyamemberstateagainstanotherpartytoaconvention.Aninquiryisaninvestigationofdisputedfactsbyanimpartialthirdpartywithoutresolvingthedisputeitself.Lowwagesandpoorworkingconditionsaffectmanypeoplebecauseoftheeffectupontheinternationalmarket.8-27TheILOFact-FindingandConciliationCommissiononFreedomofAssoc.SpecialILOcommitteeofinquirythatconsiderscomplaintsthatastatehasviolatedtheILO’sFreedomofAssociationconventions.ConventionConcerningFreedomofAssociation–grantsworkerstherighttoformandjointradeunionsfreefromgovernmentalinterference.ConventionConcerningtheApplicationofthePrinciplesoftheRighttoOrganizeandtoBargainCollectively–protectsworkersfromantiuniondiscriminationandprotectsunionsfromemployerdomination.WiththeUNEconomicandSocialCouncil,establishedFact-FindingandConciliationCommissiontoconsiderviolationsofthetwoFreedomofAssociationconventions.

8-28TheInternationalLaborOfficeAnyquestionsordisputesrelatingtotheinterpretationofanyconventionaresupposedtobereferredtotheICJfordecision.TheICJiscumbersomeandexpensivesogovernmentshaveusedthepracticeofaskingtheInternationalLaborOfficetoexpressanopinion.TheOfficehasnoauthoritytointerprettextsofConventions,butiftheopinionisofsignificantinterest,itisgiventotheGoverningBodyandpublished.Theseopinionshelpstatesresolvedisputeseconomicallyandquickly.8-29SettlementofDisputesbetweenIntergovernmentalOrganizationsandTheirEmployeesTheAdministrativeTribunaloftheILOisaspecialcourtthathearscomplaintsfromemployeesinthesecretariatoftheILOand39otherintergovernmentalorganizations(IGOs)thatrecognizethecompetenceofthetribunal.Thetribunalhaspoweronlyto“ordertherescindingofthedecisionimpugnedortheperformanceoftheobligationreliedupon.”Allofthetribunal’sjudgmentsareavailableonlineat:/public/english/tribunal.

8-30Case8-2

Dubergv.UNESCODuberg’sappointmenttoUNESCOnotrenewedbecausetheUSpressuredtheDirector-GeneraltonotrehireDubergasaconsequenceofhisrefusaltoparticipateinaloyaltyinvestigationbytheUS.TribunalheldthatDuberg’srightshadbeenviolatedasDirector-GeneraldidnotpreserveindependenceofhisorganizationbutithadnopowertoorderUNESCOtorehireDuberg.8-31HumanRightsofWorkersPrinciplesadvocatingtheprotectionandpreservationofhumanrightsweresetforthintheUniversalDeclarationofHumanRightsandintheInternationalCovenantonEconomic,Social,andCulturalRights.ThePreambleoftheUNCharterdeclaresthathumanrightsareoneofthefourfoundingpurposesoftheUN.

EleanorRooseveltwasakeyarchitectoftheUDHR,seenhereholdingacopyinSpanish.Photo:courtesyFDRlibrary–collectioninpublicdomain.8-32TheUniversalDeclaration

ofHumanRightsNooneshallbe“heldinslavery”“subjecttotorture”Everyonehastherightto:“socialsecurity”“work”“equalpayforequalwork”“formandjointradeunions”“restandleisure”“education”

TheUDHRwaspromulgatedbytheUNGeneralAssemblyonDecember10,1946.ItproclaimedcivilandpoliticalrightsbaseduponWesterncivillibertiesandpoliticalrights.Rightsdealingwitheconomic,social,andculturalrightsincluded:8-33LegalEffectoftheUDHR

IssueiswhetherornottheUDHRconstitutescustomaryinternationallaw.Severalcountries,includingSouthAfricaandtheSovietUnion,abstainedfromitsadoptionbecauseoftheirfearitwouldimposenewlegalobligations.TheUDHRhasbeenrelieduponbytheUNwhenitapplieshumanrightsprovisionsoftheUNCharter.TheGeneralAssemblyhassaidit“constitutesbasicprinciplesofinternationallaw.”CourtdecisionshaveheldthattheUDHRiscustomaryinternationallaw.8-34Case8-3

Doev.UnocalCorp.*Issue:WasUNOCALliableundertheAlienTortClaimsActfortheMyanmarmilitary’sacts?UNOCALpurchaseda47.5%interestinanaturalgaspipelineprojectinMyanmar.TheMyanmarmilitaryprovidedsecurityfortheprojectandengagedininternationallawviolationsincludingtorture,rape,murder,forcedlabor,andforcedrelocationthatbenefitedUNOCAL.*Decisionvacatedandnotcitableaslegalauthority.

8-35Doev.

UNOCALHeld:PlaintiffcouldnotshowjointactionbetweentheMyanmarmilitaryandUNOCAL.Mereknowledgeillegalgovernmentormilitaryactions(forcedlabor)wereinsufficienttoholdUNOCALliable.8-36InternationalCovenantonEconomic,Social,&CulturalRightsAdoptedbytheUNGeneralAssemblyin1966Enteredintoforcein1976andhasbeenratifiedby193countriesasof2007.TheU.S.Senatehasfailedtoratifythistreaty.ImplementstherightssetoutintheUDHRandgivesthembindingforceoftreatylaw.Countrieswhoratifyitneednotgiveitimmediateeffect,butagreetotakestepstoachieveprogressivelythefullrealizationofitsprovisions.7-37RegionalIntergovernmentalRegulationsonLabor—EmploymentLawsintheEUThefreedomofmovementofworkersbetweenthememberstatesoftheEUisabasictenetofthetreatiescreatingtheUnion.TheECTreatyprovidesthat“freedomofmovementforworkersshallbesecured”withintheEU.Article39–allowsworkerstoacceptemploymentandremaininanymemberstatetocarryoutthatemployment.Article40–EUCounciltoremoveandharmonizeadministrativeproceduresthatobstructfreemovementofworkers.8-38EmploymentStandardsoftheOrganizationforEconomicCooperationandDevelopmentTheOECD’sGuidelinesforMultinationalEnterprisesestablishesnormsfortheemploymentofworkersinbothhomeandhostcountries.Someofthesenormsinclude:Respectrightofemployeestoberepresented;Providefacilitiesforrepresentatives;Provideinformationtorepresentativestoobtaintrueandfairviewoftheentity’sperformance;Samestandardsofemploymentandindustrialrelationsascomparablehostnationals;Implementemploymentpolicies(hiring,pay,discharge,promotion)withoutdiscrimination.8-39ProtectionofWorkers’Rights

bytheCouncilofEuropeCouncilofEuropeisresponsibleforenforcingtheEuropeanConventiononHumanRightsof1950thatestablishesandguaranteescivilandpoliticalrightsforthenationalsofthememberstates.Conventionincludesaspartofguaranteeoffreedomofassembly,therighttojoinatradeunion.Foreignnationalsworkinginhostcountriesmayjointradeunionstoprotecttheirrights.8-40EuropeanSocialCharterof1961CouncilofEuropealsoenforcetheEuropeanSocialCharterof1961thatestablishesandguaranteeseconomic,social,andculturalrightsforthenationalsofthememberstates,including:OpportunitytoearnlivinginoccupationfreelyenteredintoJustconditionsofworkSafeandhealthyworkingconditionsFairremunerationsufficientfordecentliving(continuedonnextslide)

7-41EuropeanSocialCharterof1961

(notacompletelist)FreedomofassociationChildrenhaverighttobeprotectedfromhazardsEmployedwomen,whenemployed,haverighttospecialprotectionintheirworkFacilitiesforvocationalguidancetochooseanoccupationsuitedtoskillsandinterestsSocialSecuritySocialandmedicalassistanceRighttobenefitfromsocialwelfareservicesEqualitywithnationalsinsameoccupation8-42MovementofWorkersWhiletheUDHRstatesthateveryonehastherighttoleaveanycountry,includinghisown,andtoreturntohiscountry,thisisrestrictedbycountrieswhorequirecitizenstohaveapassportandpermissiontotravel.Therighttotravelmaybesubordinatetonationalsecurityandforeignpolicyconsiderations.TheEUhasremovedthebarriersfortravelingbetweenmemberstates,butnotfortraveloutsidetheEU.8-43Case8-4

Statev.NagamiNagami,aJapanesenational,wantedtotraveltoChinawithherhusband,aU.S.national.ChinawasnotrecognizedbyJapan.Issue:DidtheprovisionofthePassportLawgivetoomuchdiscretiontotheForeignMinistertorestrictthefreedomoftraveltoforeigncountries?

8-44Case8-4

Statev.NagamiHeld:Grantingofapassportisnotafundamentalhumanright.Agovernmentcanlawfullyestablishrulesandregulationsgoverningtheissuanceofpassports.Therewasarationalbasis(safetyofcitizens,diplomaticandsecurityreasons)toenforcetravelrestrictions.

8-45VisasAvisaisformalauthorizationtoenteracountry.Issuanceisdiscretionarybothastolengthoftimeandtheactivitiesthealienmaycarryon.Temporaryvisasallowentranceforalimitedperiodoftime.Atemporaryvisamightbeissuedto:

GovernmentofficialsVisitors/touristsCrewmenTradersandinvestorsStudentsTemporaryemployeesArtists,athletesMediaReligiousworkersAlienwitnesses(partiallist)8-46PermanentVisasAllstateslimitthenumberofpermanentvisastheygranttoimmigrants.Statesusuallyestablishschemeswherebytheygiveprioritytocertainclassesofpersonsandlimitthenumberofimmigrantswhomayenterfromaparticularforeigncountry.TheUSgivesprioritytoalienswhoarefamilymembersofU.S.citizensandalienswithspecialskills(well-knownwriters,professors,highlyqualifiedexecutives).TheUSgrantsabout675,000visasannually.

8-47Case8-5

EnglandandAnotherv.Attorney-GeneralofSt.LuciaEnglandandhiswifewereBritishsubjectswholivedinSt.Lucia.TheGovernor-Generalissuedasummaryorderfortheirremoval.TheEnglandssoughtcourtreview.Held:theGovernor-Generalwasempoweredtoactinanexecutivecapacityandhisdecisionwasnotreviewable.

8-48RegulationofForeignWorkersAlienswhoenteracountrytoworkmustobtaintheappropriateentryvisa.Thesamelaborlawsthatapplytonationalsgovernforeignworkersoncetheygainlawfulentry.Percentilelegislationthatrequiresacertainpercentageofemployeestobelocalnationals.TreatiesofFriendship,Commerce,andNavigationestablishareciprocalrightfornationalbusinessesofeitherstatetoemploycertaincategoriesoftheirnationalworkerswithintheterritoryoftheotherstate.8-49Case8-6

Spiessetal.v.C.