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Regulatory Autonomy in International Economic Law

The Evolution of Australian Policy on Trade and Investment

Andrew D. Mitchell, Elizabeth Sheargold and Tania Voon

Regulatory Autonomy in International Economic Law provides the first extensive legal analysis of Australia’s trade and investment treaties in the context of their impact on national regulatory autonomy. This thought-provoking study offers compelling lessons for not only Australia but also countries around the globe in relation to pressing current problems, including the uncertain future of the World Trade Organization and widespread concerns about the legitimacy of investor–State dispute settlement.
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Index

The Evolution of Australian Policy on Trade and Investment

Andrew D. Mitchell, Elizabeth Sheargold and Tania Voon

Adlung, Rudolf 84, 90–1, 116–17, 130

arbitrariness 134, 139, 212–13

see also discrimination

arbitrators 12, 149, 194–5, 214, 224, 248

bad faith 133, 214

see also good faith

balance

between policy space and benefits of liberalisation 246, 256

between right to regulate and trade 81–2, 118, 199, 247–8

regarding IP rights 40–2, 50–1, 78–80, 246

Baldwin, Richard 10

barriers to trade 2, 9, 16, 18, 21, 28, 32, 39, 82, 99, 117, 200–201

see also protectionism

Bartels, Lorand 67, 117, 236

bilateral investment treaty see BIT

Binder, Christina 250

BIT

agreements see Table of Treaties

definition of xvi, 7–13

disputes see Table of Cases

historical development of 1–7, 13–26

Broude, Tomer 6, 8, 18, 48, 91–4

Capling, Ann 2, 14, 27–8, 30, 252

code of conduct see ISDS

compliance

measures necessary to secure 112, 115, 157, 159

with domestic law 227

with GATS 118, 234

with TRIPS 144

see also ISDS

Copeland, Brian 81–2

Coppens, Dominic 82

copyright see intellectual property

Cottier, Thomas 76, 229, 247

damages see remedies

Davison, Mark 59–60, 63, 66

Delimatsis, Panagiotis 229

denial of benefits 36, 191

Diebold, Nicolas F. 229

differential treatment 9, 113, 115

see also discrimination

discrimination 5, 20, 56, 85, 113, 118, 139, 205, 209–10, 256

arbitrary 90, 111, 156, 227

unjustifiable 90, 111, 156, 227

see also arbitrariness; differential treatment; non-discrimination

disguised protectionism see protectionism

dispute settlement

investment treaty arbitration 12, 80, 177, 249

investor–state see ISDS

State–State 145, 193–4

WTO 7, 61–3, 72, 115–16, 118, 141, 182–3, 200–1

see also Table of Cases; arbitrators; tobacco

domestic law see compliance

Douglas, Zachary 146

economic development 9, 11, 41

education see non-trade objectives

environmental protection see non-trade objectives

exceptions

to investment obligations 121, 152–61, 227–36

to services obligations 110–16, 152–61

expropriation 16, 25–6, 31, 35, 64, 73, 91, 121, 132, 140–51, 157–8, 160–3, 179–80, 194, 203–205, 208, 210–12, 214–19, 221, 224–5, 249

direct and indirect 140–2

lawful and unlawful 140–2

fair and equitable treatment see standard of treatment

Faunce, Thomas 67

FET see standard of treatment

financial services 88–99, 96, 110, 193

see also services; telecommunications services

forum shopping 182–4

see also ISDS

general exceptions see exceptions

good faith 64, 150, 210, 213

see also bad faith

government procurement 20, 84–5, 108, 119, 154

Grosse Ruse-Khan, Henning 57, 65, 73, 76, 145

Haftel, Yoram Z 6, 48

harmonisation 20–1, 248

see also regulatory harmonisation

health see non-trade objectives

IIA

definition of xvi, 16

purpose of 10–11

see also PTA and BIT

illegitimate objective 149

see also legitimate objective

intellectual property 30, 34, 38, 40–80, 143–5, 174, 246–9, 257

see also pharmaceuticals

copyright 42–57, 79, 247

circumvention of technological protection measures 54–7

fair use 50–3, 79

parallel imports 53–4

patents 42, 66–79

data exclusivity 68–71, 74–6

compulsory licences 73, 142–4

trade marks 42, 57–66

international investment agreement see IIA

investment

agreements see IIA

disputes 11, 13, 203

exceptions to investment obligations 35, 121–3, 152–61, 230

see also exceptions; NCM

obligations 8, 16, 25, 30, 35, 58, 90, 106, 108, 121, 123, 139–41, 152–5, 171, 174, 178–9, 203–4, 207, 224, 226–8, 235, 243–4, 248–50

see also expropriation; MFN treatment; minimum standard of treatment

investor–state dispute settlement see ISDS

ISDS

benefits of 6, 8

code of conduct 194–5

concerns with 6, 8, 11–12, 30, 33, 37

consent to 165–71

Joint Committee determinations 37, 190

proposed reform of 32, 181–95

rationale for 8, 66

safeguards in 34, 178, 191

see also forum shopping; ISDS

Keck, Alexander 9

Kingsbury, Benedict 148

Kotlowitz, Danny 116

Krajewski, Markus 81, 84, 248

Kulick, Andreas 184, 190

legitimate expectations 134–6, 138

legitimate objective 6, 100–1

legitimate regulatory objective 160, 244

see also illegitimate objective; legitimate regulatory distinction; regulatory purpose

legitimate regulatory distinction 113

Lewis, Meredith Kolsky 18–19, 21, 248

like circumstances 113, 124–6, 128–30, 206, 210, 217, 226

likeness see like circumstances

Lockhart, Nicolas J.S. 117

Low, Patrick 9

MAI 23, 25–6

market access obligations 94, 101, 108

Mattoo, Aaditya 5–6, 81–2, 87, 92–4

McGrady, Benn 63

Mercurio, Bryan 28, 57, 67, 117, 236

MFN treatment 15, 83, 85, 105–6, 112–13, 121–30, 153–4, 157, 161, 207, 235

effect on dispute settlement procedures

in Australia’s BITs 125, 128, 165–71

in Australia’s PTAs 128, 171–95

of investments 12, 184, 191, 248

of services 115–17

Miles, Kate 65, 145, 199, 218, 248

minimum standard of treatment see standard of treatment

Mitchell, Andrew D. 12, 28, 30, 36, 41, 57–8, 60, 62–3, 66–7, 73, 76, 95, 101, 117, 122–3, 149, 161, 168, 192, 200, 207

morals see non-trade objectives

Moses, Shai 91–4

most-favoured nation treatment see MFN treatment

Multilateral Agreement on Investment see MAI

multilateralisation 122

de facto122

Munro, James 57, 122–3, 161, 168, 192

Natens, Bregt 5, 82, 91

national treatment 83–8, 91–2, 94–5, 97, 101–6, 108, 111–13, 115, 118, 134, 152–5, 157, 179, 204–8, 210, 217–20, 223, 226, 235

see also differential treatment; discrimination

NCM 83–4, 93–8, 104, 106, 108–10, 115, 117, 119–20, 130, 161, 235–6, 247, 250–1

in investment chapters 106, 109, 126–7, 154–5, 235–6

in services chapters 106, 127, 235–6

‘negative list’ approach 29, 83, 85, 91–101, 105–10

in investment chapters 88, 154

in services chapters 86–9, 104, 116, 119, 127, 247

see also ‘positive list’ approach

Newcombe, Andrew 140, 160

non-conforming measure see NCM

non-discrimination 86, 92, 112, 133, 153, 200–1, 207

see also discrimination

non-economic objectives see non-trade objectives

non-trade objectives 121

education 52, 100, 104, 106–7, 119

environmental protection 29, 38, 199–244, 246, 248

safety and security 2, 5, 63, 111, 113, 149, 156, 190, 200, 214

technological development 41

public health 5, 29, 38, 72, 74–5, 104, 106–7, 110–11, 119, 121, 144, 149, 151, 155–9, 176, 178, 190, 192, 194, 200, 227–9, 234, 246

public morals 111, 156–8, 190, 200, 227

public order 111–12, 156, 158, 190

Nottage, Luke 169, 172, 177, 180–1

objective see illegitimate objective; legitimate objective

order see public order

patents see intellectual property

pharmaceuticals 2, 30, 67–9, 71, 78, 151, 194

see also intellectual property

Pincus, Jonathan 15

plain packaging 58–63, 141

policy objective see regulatory purpose

policy space 2, 6, 26, 29, 38, 83, 100, 119, 121–2, 128, 150, 161, 212, 224, 235, 244–257

see also regulatory autonomy

Pomfret, Richard 14–15, 21–2

‘positive list’ approach 86–7, 91–2, 97, 114

in investment chapters 83, 86

in services chapters 83, 95, 99, 101, 103–4, 119

see also ‘negative list’ approach

preferential trade agreement see PTA

procurement see government procurement

protectionism 20, 85

disguised protectionism 5, 217, 256

PTA

agreements see Table of Treaties

definition of xvii, 1–7

disputes see Table of Cases

historical development of 7–13, 17–39

public health see non-trade objectives

public morals see non-trade objectives

public order see non-trade objectives

Reed, Lucy 135

regulatory autonomy

constraints on environmental protection regulation 236–9, 257

definition of 3–13

see also policy space

constraints on regulatory autonomy 3–13, 203–26

constraints on the protection of foreign investors 39, 225

constraints on the protection of intellectual property 40–3, 49–50, 78

constraints on the regulation of services 38, 61–5, 81–120

regulatory goal see regulatory purpose

regulatory purpose 207, 226

regulatory harmonisation 21, 248

see also harmonisation

Reinisch, August 184

remedies 2, 8, 57, 96, 98, 127

damages 134, 240, 242–3

right to regulate see balance

Rimmer, Matthew 42, 54, 60, 67, 73

Roessler, Frieder 160

Roy, Martin 81, 91, 247

safety see non-trade objectives

sanitary and phytosanitary measures see SPS measures

Sauvé, Pierre 81, 87, 91–4

Schill, Stephan W. 122–3, 148, 187, 250

security see non-trade objectives

sensitive areas 83, 100

services

exceptions to services obligations 110–16, 152–61

see also exceptions; NCM

see also financial services; telecommunications services

obligations in relation to trade in 84–110

see also ‘negative list’ approach; non-discrimination; ‘positive list’ approach

service supply 88

Sheargold, Elizabeth 36, 179, 200

Sornarajah, M. 12

SPS measures 250

standard of treatment 174, 212

minimum standard of treatment 91, 121, 130–40, 154, 157, 161–2, 204–5, 208, 212, 218–19, 221, 235

fair and equitable treatment 35, 131–40, 139, 157–8, 162, 174, 179, 203–5, 209, 212–14, 217, 221–3, 225–6

Stoler, Andrew L. 39, 67

subsidies 9, 36, 84–5, 108, 119, 138–9, 151–5, 240

taxation 31, 85, 112, 114–5, 119, 125, 127, 143

technological development see non-trade objectives

telecommunications services 103, 110

see also financial services; services

tobacco 13, 80, 107, 108, 119, 136–7, 141, 149, 163, 177, 182, 197

control 36, 42, 57, 66, 164, 189–94

disputes 36, 43, 57–66

Townsend, Ruth 67

trade barriers see barriers to trade

trade in goods 9, 28, 82, 89, 200–1, 228–9, 231–2, 249

trade in services 19, 38, 81–120, 228, 235, 246–7

see also services

trade liberalisation 3, 9–10, 15–16, 27, 38, 81, 100, 246

trade marks see intellectual property

trade restrictiveness 4–5, 18–19, 45, 51, 54, 71–3, 90, 125–7, 130, 141, 144–5, 156, 184, 200, 227

more trade restrictive than necessary 101, 115

transparency

mechanisms 119, 134, 185

rules 185–8, 191, 197

treaty negotiation 188–9, 245, 248, 253–5

see also treaty negotiation

treaty negotiation 23, 34, 133, 252–6

see also transparency

treaty process 34, 43, 246, 252–6

Tuthill, Lee 247

umbrella clause 136–7

van Harten, Gus 12

Viñuales, Jorge E. 57, 199, 218

Weatherall, Kimberlee 2, 30, 42, 44, 49, 51, 53, 55, 71, 80

World Trade Organization see WTO

Wouters, Jan 82

WTO 1–2, 4–5, 7–10, 13, 27–8, 41, 45, 50, 54, 58, 82, 85–6, 90, 92, 95, 98–100, 109–10, 112, 115–19, 137, 141, 143–4, 149, 158–60, 180, 182–3, 196, 200–201, 207, 227–30, 234, 249–51, 257

consistency of PTAs with WTO law 116–18, 201

disputes see Table of Cases; dispute settlement