Não-atribuição: dimensão, causalidade e metodologia

Transcrição

1 Não-atribuição: dimensão, causalidade e metodologia Experiência Nacional e Internacional 15º Seminário sobre Comércio Internacional do IBRAC Francisco Niclós Negrão

2 Agenda 1. Panorama e provocações iniciais 2. Casos paradigmáticos: Brasil: SECEX Secretaria de Comércio Exterior OMC Organização Mundial do Comércio Estados Unidos USITC Canadá Canadian International Trade Tribunal 2

3 Panorama e provocações iniciais Qual é a interpretação correta para o princípio da não atribuição? Não é uma exigência vazia (US-Hot Rolled, ABS Report) Dano é uma realidade diferenciação de fatores que causam o dano( distinguir, separar e quantificar os diferentes tipos de danos ) Metodologia não especificada no AAD da OMC atuação livre de cada autoridade Desnecessária a análise cumulada dos outros fatores para a verificação do dano (EC-Pipe Fittings). Formas de identificação dos outros fatores Amplitude e direcionamento semântico da qualificação dos outros fatores como conhecidos. Critérios para análise desses fatores e atuação da autoridade: Exaustividade vs. Taxatividade Impulso oficial vs. atuação ex ofício 3

4 Panorama e provocações iniciais Quando a análise se torna obrigatória, segundo a OMC (EC-Pipe Fittings)? Conhecimento pela autoridade investigadora. Fator distinto das importações com dumping. Causa danos simultaneamente com as importações Outros fatores considerados IRrelevantes: Fatores que não guardam relação com qualquer espécie de dano. (EC-Salmon) Fatores que sequer apresentam uma tendência de declínio (e.g. produção) ou de crescimento(e.g. custos) no período da investigação. Fatores que poderiam causar danos, mas em concreto, após análise do caso, não causaram simple analytics of the case (Mexico-Olive Oil). Falta de sincronia entre o outrofator e a tendência de dano verificada durante o período da investigação (US-Steel) 4

5 Panorama e provocações iniciais Em resumo requisitos para a análise 1. Arguição de outros fatores nos autos com evidências suficientes de sua existência. 2. Verificação se os outros fatores poderiam causar dano. 3. Distinção, separação e quantificação do dano causado por tais outros fatores OBJETIVO: NÃO ATRIBUÇÃO DE DANO A OUTROS FATORES 5

6 Brasil: SECEX Secretaria de Comércio Exterior

7 Brasil: SECEX Secretaria de Comércio Exterior CASO Nº 29/2014 PRODUTO Liquidificadores de Potência igual ou inferior a 800w(NCM ) China DESCRIÇÃO As empresas Black & Decker do Brasil Ltda., Philips do Brasil Ltda. e SEB do Brasil Produtos Domésticos Ltda., protocolizaram petição de início de investigação de dumping nas exportações para o Brasil de liquidificadores, NCM , originárias da China, e de dano à indústria doméstica decorrente de tal prática. Constatada a existência de indícios de dumping e de dano à indústria doméstica decorrente da prática, foi aberta investigação. Consoante a análise precedente, tendo considerado as manifestações das partes e as evidências constantes no processo, não se pôde concluir pela existência de dano causado à indústria doméstica pelas importações a preços de dumping originárias da China. Assim, propõe-se o encerramento da presente investigação sem a aplicação de direito. DATA 12/06/2014 Não foi possível concluir pelo dano à Indústria Doméstica (ID) causado pelas importações investigadas, pois elas representaram participação muito pequena no mercado interno em relação ao produto nacional. Ainda que tenha havido em algumas vezes piora dos indicadores da ID, eles estiveram associados à queda das exportações, já que houve aumento na participação de mercado, captação de investimentos e melhora em outros indicadores econômicos. 7

8 Brasil: SECEX Secretaria de Comércio Exterior CASO Nº 47/2012 PRODUTO Laminados Planos Revestidos(NCMs , , e ) Austrália, China, Coreia do Sul, Índia e México DESCRIÇÃO A Companhia Siderúrgica Nacional (CSN) protocolizou petição de abertura de investigação de dumping nas exportações para o Brasil de produtos laminados planos revestidos da Austrália, México,Índia,CoreiadoSuleChina,ededanoàindústriadomésticadecorrentedetalprática. Consoante a análise precedente, ainda que se tenha determinada a existência de dumping nas exportações de laminados planos revestidos da Austrália, China, Índia e México para o Brasil, não se concluiu que tais importações tenham causado dano à indústria doméstica. Assim, propõe-se o encerramento da investigação.. DATA 26/09/2012 Aretraçãonasvendaseaquedanaproduçãoenarentabilidadedaindústriadoméstica,juntoao aumento das importações em 9,1%, em razão de preço subcotado, em relação ao preço médio da indústria doméstica, resultou em um aumento das importações no consumo nacional aparente. Entretanto, os impactos da crise financeira internacional foram fatores concorrentes propiciadores de dano à ID, inclusive outras importações que não as cursadas a preços de dumping. Sendo assim, embora as importações possam ter contribuído para a deterioração da situação da ID, houve outros fatores. Ademais, o aumento das importações a preços de dumping foi acompanhado de melhora no desempenho da indústria doméstica. 8

9 WTO World Trade Organization

10 WTO World Trade Organization PRODUTO DESCRIÇÃO CASO Nº DS 122 Thailand Anti-Dumping Duties on Angles, Shapes and Sections of Iron or Non-Alloy Steel and H Beams from Poland Poland x Thailand On 6 April 1998, Poland requested consultations with Thailand with respect Thailand's imposition of final anti-dumping duties on imports of angles, shapes and sections of iron or non-alloy steel: H-beams ("H-beams") originating in Poland. Because the finding by the Thai authorities of the causal relationship between dumped imports and any possible injury was based upon(ii) their findings concerning injury, which we have already found to be inconsistent with Articles 3.4 and 3.1, we find that the determination of the causal relationship between dumped imports and injury is inconsistent with Thailand's obligations under Article 3.5 and DATA 28/09/2000 Onthe issueofwhat are knownfactors otherthanthe dumpedimports,thepanelfoundthatother known factors would include factors clearly raised before the investigating authorities by interested parties in the course of an AD investigation and that investigating authorities are not required to seek out such factors on their own initiative: We consider that other known factors would include those causal factors that are clearly raised before the investigating authorities by interested parties in the course of an AD investigation. We are of the view that there is no express requirement in Article 3.5 AD that investigating authorities seek out and examine in each case on their own initiative the effects of all possible factors other than imports that may be causing injury to the domestic industry under investigation. 10

11 WTO World Trade Organization CASO Nº DS 184 PRODUTO United States Anti-Dumping Measures on Certain Hot-Rolled Steel Products from Japan DESCRIÇÃO Japan x United States On 18 November 1999, Japan requested consultations with the United State with respect the imposition by the United States of anti-dumping measures on imports of certain hot-rolled flat-rolledcarbon-quality steel products("hot-rolled steel") from Japan. In conclusion, in the light of our interpretation of Article 3.5 of the Anti-Dumping Agreement, we find that the Panel erred in its interpretation of the non-attribution language in Article 3.5 of the Anti- Dumping Agreement by finding that this language does not require the investigating authorities to separate and distinguish the injurious effects of the other known causal factors from the injurious effects of the dumped imports. In particular, we find that the Panel erred by following the interpretive approach set forth by the panel in United States Atlantic Salmon Antidumping Duties.. DATA 02/04/2001 The Appellate Body laid down the requirements that Article 3.5 imposes on the investigating authorities when performing a causation analysis as follows: The authorities shall examine all known factors, other than dumped imports, which are causing injury to the domestic industry at the same time as dumped imports. Second, investigating authorities must ensure that injuries which are caused to the domestic industry by known factors, other than dumped imports, are not attributed to the dumped imports.. The Appellate Body delimitated the situations where the non-attribution language of Article 3.5 plays a role. In this regard, the Appellate Body specified that this language applies solely[to] situations where dumped imports and other known factors are causing injury to the domestic industry at the same time. 11

12 WTO World Trade Organization CASO Nº DS 132 PRODUTO Mexico- Anti-Dumping Investigation of High-Fructose Corn Syrup(HFCS) from the United States DESCRIÇÃO United States x Mexico On 8 May 1998, the United States requested consultations with Mexico with respect the imposition of definitive anti-dumping duties by SECOFI on imports of high-fructose corn syrup, grades 42 and 55, originating in the United States. The Panel concluded that the investigating authority could not focus solely on factors supporting a conclusion that the domestic industry would likely encounter difficulties while disregarding other factors. Similarly, in United States-Salmon, the panel emphasized that Article 3 required investigating authorities to "examine[d] all relevant facts before them". In upholding the determination of the US International Trade Commission (ITC), the panel emphasized that the ITC had considered and explained not only factors indicating difficulties that the domestic industry was experiencing, but also those indicators, such as employment and production, where the domestic industry s performance had improved.. DATA 28/01/2000 Merely that dumped imports will increase, and will have adverse price effects, does not, ipso facto, lead to the conclusion that the domestic industry will be injured if the industry is in very good condition, or if there are other factors at play, dumped imports may not threaten injury. Such a conclusion thus requires the investigating authority to analyze, based on the information before it, the likely impact of further dumped imports on the domestic industry.. 12

13 WTO World Trade Organization CASO Nº DS 156 PRODUTO Guatemala Definitive Anti-Dumping Measure on Grey Portland Cement from Mexico México x Guatemala DESCRIÇÃO On 5 January 1999, Mexico requested consultations with Guatemala regarding the definitive antidumping measure imposed by Guatemala on imports of Portland cement from Cooperativa Manufacturera de Cemento Portland la Cruz Azul, SCL, of Mexico("Cruz Azul"). We fully understand Mexico's desire to see the antidumping duties repaid and consider that repayment might be justifiable in circumstances such as these. We recall however that suggestions under Article 19.1 relate to ways in which a Member could implement a recommendation to bring a measure into conformity with a covered agreement. DATA 14/10/2000 Mexico claims that the Ministry of the Economy violated Article 3.5 of the AD Agreement by imposing a provisional anti-dumping measure without demonstrating the causal relationship between the imports allegedly dumped and the alleged threat of injury to the Guatemalan domestic industry. The Panel agreed that in the Ministry's evaluation of the volume of the dumped imports found, Guatemala acted in violation of Article 3.5 by failing to consider other factors known to the investigating authority which may also be a cause of injury. Guatemala's failure to take into account imports by Materiales Industriales S.A. in its determination of injury and causality is inconsistent with Articles 3.1, 3.2,

14 WTO World Trade Organization CASO Nº DS 337 PRODUTO European Communities Anti-Dumping Measure on Farmed Salmon from Norway Norway x European Communities DESCRIÇÃO On 17 January 2006 Norway requested consultations with the European Communities ("EC") with respect to the ("Definitive Regulation") imposing a definitive anti-dumping duty and collecting definitively the provisional duty imposed on imports of farmed salmon originating in Norway. Pursuant to Article 3.8 of the DSU, in cases where there is infringement of the obligations assumed under a covered agreement, the action is considered prima facie to constitute a case of nullification or impairment of benefits under that agreement. Accordingly, we conclude that to the extent the European Communities has acted inconsistently with the provisions of the AD Agreement, it has nullified or impaired benefits accruing to Norway under that Agreement.. DATA 16/11/2007 In light of the findings that went set out in the foregoing sections of Report, the panel concluded that the European Communities acted inconsistently with Article 3.5 of the AD Agreement because it failed to properly examine known factors other than the dumped imports which at the same time were causing injury to the domestic industry, and failed to ensure that injuries caused by these other factors were not attributed to dumped imports. 14

15 Estados Unidos USITC

16 Estados Unidos USITC CASO Nº 701-TA-384 and 731-TA (Second Review) PRODUTO Hot-Rolled Flat-Rolled Carbon-Quality Steel Products Brasil, Japão e Rússia DESCRIÇÃO DATA Revisão do direito antidumping ocasionado pelas importações de Hot-Rolled Flat-Rolled Carbon- QualitySteelProducts apreçosdedumpingdobrasil,dojapãoedarússia We determine that revocation of the antidumping and countervailing duty orders on subject imports from Brazil and Japan, would not be likely to lead to continuation or recurrence of material injury to the domestic industry within a reasonably foreseeable time. Jun/2011 In conducting our analysis of likely impact, in addition to demand, we have also considered the role of factors other than subject imports from Russia, so as not to attribute likely injury from them to the subject imports. For the reasons stated below, we have concluded that revocation of the orders on subject imports from Brazil or Japan would not be likely to lead to significant subject import volumes, significant price effects, or a significant impact on the domestic industry. We have also considered the role of imports from sources other than Brazil, Japan, or Russia 16

17 PRODUTO Certain Steel Wheels China CASO Nº 701-TA-478 and 731-TA-1182 (Preliminary) Casos paradigmáticos Estados Unidos USITC DESCRIÇÃO Investigaçãododanoocasionadopelasimportaçõesde CertainAluminumExtrusions apreçosde dumping da China. DATA For the reasons stated above, we determine that there is no reasonable indication that an industry in the United States is materially injured or threatened with material injury by reason of subject imports of steel wheels from China. Mai/2011 As an initial matter, for purposes of the preliminary phase of these investigations, we do not find that the domestic industry producing steel wheels is currently vulnerable. The economic downturn appears to have coincided with the trough of the normal sevenor eight-year business cycle for truck production. It was only in the context of the recessionary climate of late 2008 and 2009, periods that were characterized by rapidly declining demand for steel wheels, that the U.S. industry s performance declined. In contrast, between 2009 and 2010, as the overall economy improved, the steel wheels industry experienced increases in production, shipments, net sales, and profitability. Accuride has stated publicly that 2011 class 8 truck production is expected to range between 220,000 and 235,000 units, which is double its 2010 level. There should be opportunities for domestic steel wheel producers to continue the upward trend in production. 17

18 PRODUTO Frozen Warmwater Shrimp CASO Nº 701-TA , 495, and 497 (Final) China, Ecuador, India, Malaysia, and Vietnam Casos paradigmáticos Estados Unidos USITC DESCRIÇÃO DATA Investigação do dano ocasionado pelas importações de Frozen Warmwater Shrimp a preços de dumping da China, Equador, Índia, Malásia, e Vietnã. For the reasons stated above, we determine that an industry in the United States is not materially injured or threatened with material injury by reason of subject imports of frozen warmwater shrimp from China, Ecuador, India, Malaysia, and Vietnam that are subsidized. Out/2013 Based on the foregoing reasons, we conclude that cumulated subject imports have not had a significant adverse impact on the domestic industry. Thus, we conclude that while the domestic industry s financial performance continued at a marginal level and declined at the end of the period of investigation, the domestic industry is not materially injured by reason of the subject imports. 18

19 PRODUTO Hardwood Plywood China CASO Nº 701-TA-490 and 731-TA-1204 (Final) Casos paradigmáticos Estados Unidos USITC DESCRIÇÃO Investigaçãododanoocasionadopelasimportaçõesde HardwoodPlywood apreçosdedumping da China. For the reasons stated above, we determine that an industry in the United States is not materially injured or threatened with material injury by reason of subject imports of hardwood plywood from ChinathatissubsidizedandsoldintheUnitedStatesatlessthanfairvalue. DATA November We note that some indicators improved in interim 2013 after the petitions were filed. However, the domestic industry s market share, trade and employment indicators, and prices were improving before the petitions were filed and before preliminary duties were imposed. In addition, most market participants reported improving market conditions in 2013, which explains at least some of the industry s recent improvement. Thus, while the petitions may have had some beneficial effect on the industry, we do not find that the pendency of these investigations fully explains the improvement in the industry s condition in interim 2013 or supports a conclusion that subject imports were having an injurious impact on the domestic industry prior to the filing of the petition. 19

20 Canadá CanadianInternationalTrade Tribunal

21 Canadá CanadianInternationalTrade Tribunal PRODUTO Galvanized steel wire China, Israel e Espanha CASO Nº NQ DESCRIÇÃO Investigação acerca de dano ocasionado pelas importações de galvanized steel wire a preços de dumping da China, Israel e Espanha. The dumping and subsidizing of the aforementioned goods have not caused injury or retardation and are not threatening to cause injury. DATA 04/09/2013 Besides slow demand, weak export performance, high costs, underinvestment and a lack of innovation, other factors have also weighed on the domestic industry. Tree Island recently experienced a period of corporate turmoil. Imports from nonsubject countries have been a continual source of competition, and new entrants to the domestic market have recently emerged. The combination of all these factors has held the domestic industry back to a much greater degree than have the subject goods. The above suggests that the dumping and subsidizing of the subject goods have adversely affected the domestic industry, but only for a limited duration and limited extent ( ) much of this impact has been limited to a single product (zinccoated chainlink fence wire) for which there has been no significant price undercutting, price depression or price suppression. 21

22 PRODUTO Waterproof footwear DESCRIÇÃO China e Vietnã Casos paradigmáticos Canadá CanadianInternationalTrade Tribunal CASO Nº NQ Investigação acerca de dano ocasionado pelas importações de waterproof footwear a preços dedumpingdachinaedovietnã. The dumping and subsidizing of the aforementioned goods have not caused injury or retardation and are not threatening to cause injury. DATA 13/10/2009 First, the replacement of domestically produced waterproof footwear with the subject goods was due to the domestic industry s acknowledged inability to produce vulcanized rubber footwear, to respond to the product quality specifications, or to satisfy the custom design requirements of its customers. Second, one major purchaser chose to move away from domestic industry offerings in reaction to domestic industry decisions to enter into direct competition with certain of its customers private label goods. Third, the domestic industry declined or failed to seriously pursue sales opportunities with at least one large retailer of waterproof footwear( ) which ultimately resulted in a loss of sales. 22

23 Canadá CanadianInternationalTrade Tribunal PRODUTO Unprocessed grain corn Estados Unidos CASO Nº NQ DESCRIÇÃO Investigação acerca de dano ocasionado pelas importações de unprocessed grain corn a preços de dumping dos Estados Unidos. The dumping and subsidizing of the aforementioned goods have not caused injury or retardation and are not threatening to cause injury. DATA 03/05/2006 The injurious effects of the declining prices of the subject goods during the period of inquiry are attributable to currency fluctuations. Therefore, the decrease in seeded acreage cannot be attributed, in any significant way, to the subject goods. As indicated above, no more than a $24 million decrease in sales revenue can be attributed to the subject goods. In the Tribunal s opinion, even if that decrease had resulted in an equivalent decrease in profits or increase in losses, this would not be significant in an industry with more than 26,000 domestic producers. 23

24 Canadá CanadianInternationalTrade Tribunal PRODUTO Steel fuel tanks China e Taipé Chinês CASO Nº NQ DESCRIÇÃO Investigaçãoinstauradaparaaveriguarseasimportaçõesde steelfueltanks apreçosdedumping da China e do Taipe Chinês causaram dano ou retardaram o estabelecimento da indústria nacional. The dumping in Canada of the aforementioned goods has not caused injury and is not threatening to cause injury to the domestic industry. DATA 15/09/2004 (...) although there would appear to be a correlation in time between the presence of dumped imports and the deterioration in SPI's performance, this deterioration, insofar as it is not attributable to a market contraction, is mostly attributable to other nondumping factors. The Tribunal has concluded that most of the injury suffered by the domestic industry in the Canadian marketplace can be attributed to a single nondumping factor, the significant contraction in the Canadian market in The Tribunal is of the view that any injury suffered by the domestic industry in terms of lost volumes, beyond those resulting from general market declines in 2002 and 2003, is primarily due to theneedbycustomersforasecondsourceofsupply,inlightofspi'smonopolyposition. 24

25 Canadá CanadianInternationalTrade Tribunal CASO Nº NQ PRODUTO Automotive laminated windshields for the automotive replacement market China DESCRIÇÃO Investigaçãoinstauradaparaaveriguarseasimportaçõesde windshields apreçosdedumpingda China causaram dano ou retardaram o estabelecimento da indústria nacional. The dumping in Canada of the aforementioned goods has not caused injury and is not threatening to cause injury to the domestic industry. DATA 16/09/2002 The Tribunal is of the view that the price decline of this product was not so much due to imports from China, but to the effect of the product's "life cycle". The part was an OEM proprietary part that was reverse engineered quickly after its introduction by PPG in the United States. Shortly thereafter, it was imported and sold by PPG in Canada at OEM prices until the part was again reverse engineered by another nonsubject country supplier and sold, as is usually the case, at a much lower price. Some parts were not produced by PPG throughout the period of inquiry, but rather were imported from sister plants or partners; others were not produced during the years when the injury could have occurred. The Tribunal finds that the loss of sales by PPG of these parts, when they occurred, could not be attributed to the Chinese exports, especially since PPG's production of these parts often increased significantly. 25

26 PRODUTO Grain Corn Estados Unidos Casos paradigmáticos Canadá CanadianInternationalTrade Tribunal CASO Nº NQ DESCRIÇÃO Investigaçãoinstauradaparaaveriguarseasimportaçõesde steelfueltanks apreçosdedumping da China e do Taipe Chinês causaram dano ou retardaram o estabelecimento da indústria nacional. The dumping in Canada of the aforementioned goods has not caused injury and is not threatening to cause injury to the domestic industry. DATA 22/03/2001 (...) the Tribunal finds that there is a causal link between the financial injury suffered by many domestic corn growers ( ) the dumped and subsidized imports. However, in this case, ( ) individual circumstances that has led the Tribunal to look at the situation in a much less aggregated way than in other cases. Be that as it may, it is apparent to the Tribunal from the evidence that not all domestic corn producersthatselltheircornonthecommercialmarkethavebeenaffectedtothesameextentby the dumped and subsidized imports. Moreover, there is another category of corn grower that has also not been affected by dumped and subsidized imports in the same way as the majority of producers that operate in the commercial market[seria substituível]. In the Tribunal's opinion, this volume of noninjured production is, by itself, significant enough to precludeaconclusion thatthereis injury to producers of allor almost all of the productionin the regional market. 26

27 PRODUTO Portable file cases DESCRIÇÃO China Casos paradigmáticos Canadá CanadianInternationalTrade Tribunal CASO Nº NQ95005 Investigação do dano ocasionado pelas importações de portable file cases a preços de dumping da China. The dumping in Canada of the aforementioned goods has not caused material injury or retardation to the domestic industry and is not threatening to cause material injury. DATA 19/06/1996 [T]he Tribunal is persuaded that the repricing and repositioning of portable file cases which have occurred since 1991 were more or less inevitable consequences of the evolution of the home, school and office category of products within an increasingly competitive retail environment. In the Tribunal s opinion, the transition which took place would have occurred with or without Chinese portable file cases, although the pace and timing might have been somewhat different had Chinese portable file cases not entered in o As a result of this increased competition among retailers over the past several years, consumers now have a wider choice ( ) and they are constantly made aware of advertised competitive prices. o The Tribunal notes that the repositioning of portable file cases to their current price level is not a madeincanada phenomenon. o Another factor which appears to have depressed prices over the past two years or so is a saturation of demand for portable file cases. 27

28 Não-atribuição: dimensão, causalidade e metodologia Experiência Nacional e Internacional 15º Seminário sobre Comércio Internacional do IBRAC