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A Guide to MERCOSUR Legal Research: Sources and Documents

by Edgardo Rotman[1]

 

Edgardo Rotman is Foreign and International Law Librarian and Senior Lecturer in International & Comparative Law at the University of Miami School of Law.

 

He holds an LL.B (in law, 1959) from the National University of Buenos Aires, LL.M. (in criminology, 1975) from the National University of Buenos Aires, and Ph.D. (in law and social sciences, 1973) from the University of Buenos Aires. He also earned a J.D. at Suffolk University School of Law in 1989. He has practiced law both in Argentina and in Massachusetts, where he served as a staff attorney at Massachusetts Correctional Legal Services. He has been a Professor of Law at the University of Buenos Aires and at the University of El Salvador (in Buenos Aires), as well as a visiting Professor of Law at Boston University, a research fellow at the Max-Planck Institute for Criminal Law in Germany, and a visiting scholar in comparative criminal law at Harvard Law School. He was appointed to represent the United States at the International Penal and Penitentiary Foundation, where he has been a voting member of the Council since 1996. Professor Rotman is the author of four books and numerous articles published in leading American, European and Latin-American journals on international and comparative criminal law, legal translation, and other subjects. He teaches research methods in international, foreign and comparative law; international moot court; and comparative criminal law (in English and Spanish).

 

Published September 2005

Table of contents

I.       Background

II.    Basic Documents

A. Organization and Structure

B. Investment and Competition

C. Civil Procedure

D. Criminal Procedure

E. Illegal Traffic of Minors

F. Transportation

G. Trade in Services

H. Education

I. Consumer Rights

J. Insurance

K. Labor Law

L. Postal Agreements

M. Trademarks

N. Social Security

O. Environment

P. Agreements between Mercosur and Other Regional Organizations and States

III.         Selected Materials

A. Books by Chronological Order

B. Recent Law Review Articles

C. Journals

D. Lexis-Nexis and Westlaw Database

E. Internet Sources

 

I. Background

On March 26th, 1991 Argentina, Brazil, Uruguay and Paraguay signed the Treaty of Asunción, establishing "Mercosur," an acronym for Mercado Comun del Sur (Art. 1) that took effect on December 31, 1994.  The purpose of the agreement was to set up a common market and eliminate trade barriers among the signatory parties. 

 

There are many precedents to Mercosur.  The first one was the creation of the unsuccessful Latin American Free Trade Association (LAFTA) in 1960.  In 1980, the Treaty of Montevideo[2] replaced LAFTA with the Latin American Integration Association (ALADI).  This new integration initiative was based on a series of bilateral treaties within a flexible framework of multilateral tariff preferences, with no more success than its predecessor.  Argentina and Brazil decided to approach a mutual integration process by means of a series of sectoral protocols, subsequent to the 1986 "Declaration of Buenos Aires," followed by the 1988 Agreement on Argentine-Brazilian Integration,[3] which was joined by Uruguay and Paraguay.[4] 

 

Chile and Bolivia became associate members of Mercosur in 1996 and Peru in 2003.  Mexico started talks over a bilateral agreement on tariffs reduction with Argentina and aims at becoming the fourth associate member of Mercosur.[5]  Also, Venezuela and Colombia are involved in conversations towards a possible associate membership.  In connection to these initiatives, Mercosur and the Andean Community initiated negotiations on the formation of a preferential trade area in 1995.  The establishment of a comprehensive preferential trade area between these two customs unions could potentially be a major stepping-stone for the creation of a South American Free Trade Agreement.  The result has been negotiations to achieve this objective through automatic tariff reductions and a maximum tariff reduction schedule of 15 years for the most sensitive products.  Brazil's strategic target is to establish a South American Free Trade Area that could be instrumental in the negotiations with the United States on the Free Trade Areas of the Americas.  After eight years of negotiations, the Mercosur trade bloc has reached a free trade deal with three of the five members of the Andean Community of Nations (CAN).  The deal, which should have gone into effect on July 1st  2004, has been postponed for two or three months because of delays in the revision of the list of products and the tariff reduction schedule.  The deal will see tariffs phased out on around 80% of goods traded among CAN members Colombia, Ecuador and Venezuela, and the Mercosur member countries.  Bolivia and Peru were the only two CAN members not included in the accord because they had already secured bilateral deals with Mercosur.

 

In 2003, the Mercosur countries celebrated the XXIVth presidential summit in Asunción, Paraguay, celebrating its commitment to strengthen the political agenda and expand regional integration creating a genuine single market by 2006.

 

Article 2 of the Asunción Treaty established reciprocity of rights and obligations between the State Parties to Mercosur.  This common market would include the gradual elimination of all customs duties among its signatories, the creation of a common external tariff, the adoption of a common trade policy, and the harmonization of economic policies.  

 

In December 17th, 1994, the Protocol of Ouro Preto set up the institutional structure of Mercosur, which started to function in 1995. 

 

The administration and implementation of Mercosur is entrusted to the Council of the common market and the Common Market Group (Art. 9 of Asunción Treaty).  The Common Market Council is composed of the member states' ministers of foreign relations and ministers of economy (Art. 11).  It is the most important and powerful Mercosur institution and is responsible for its political leadership and for decision-making to ensure compliance with the objectives and time frames set for the final establishment of the common market (Art. 10).  The Common Market Group is the executive board of Mercosur.  Composed of 16 members representing the foreign affairs ministries, the economic ministries, and the central banks of each of the countries, it has established its administrative headquarters in Montevideo, Uruguay.  The Common Market Group branches out into the Trade Commission of Mercosur which is responsible for advising and enforcing trade policies, as well as setting directives; the Joint Parliamentary Commission in representation of the four Parliaments; the Economic and Social Consultation Forum which has representatives from the different economic and social groups, and finally the Administrative Secretariat, in Montevideo, which supports the whole operation and is responsible for advising the other offices of Mercosur.  In addition, the Olivos Protocol established a Permanent Appellate Tribunal to hear appeals of arbitration awards.[6]

 

The Brasilia and Olivos Protocols establish Mercosur's dispute resolution procedures and institutions regarding the interpretation, application, or failure to comply with the Asunción Treaty or any of its Protocols, Council Decisions and Group Resolutions.  The Olivos Protocol permits a dispute to be submitted, either by the complainant or by mutual agreement of the parties, to the dispute resolution systems of the World Trade Organization (WTO) or other preferential trade systems that the Mercosur State Parties may have entered into, as long as the parties to the dispute jointly agree on a forum.[7]  This dispute resolution mechanism changed Mercosur by making arbitration awards appealable to the Permanent Appellate Tribunal.  The Tribunal will decide the controversy based on the dispositions of the Treaty of Asunción, on the decisions of the Common Market Council, the resolutions of the Common Market Group, as well as on the principles and norms of international law, which are applicable to the matter.[8]  The Tribunal must render its decision within ninety days.[9]  The Mercosur dispute resolution system, even though strengthened by the addition of the Permanent Appellate Tribunal by the Protocol of Olivos, is still wanting because it lacks an effective mechanism to protect the rights of individual entities or persons and is limited to disputes exclusively arising among member states regarding the application of Mercosur norms.[10]  Individuals may only file their claims with the National Chapter of the Common Market Group of the State Party where they reside.  These claims are considered automatically concluded, with no further formal steps if the matter is not settled within fifteen days from initial notice of the claim.[11]

 

Mercosur represents the third largest trading bloc in the world after the European Union and NAFTA (the FTAA is not taken into account because it is not fully active and has not been completed).[12]  Its initial success brought about a reduction of around 95% of trade barriers among its members.  Since the signing of the Asunción Treaty in 1991 inter-regional trade has almost tripled from 5.1 billion US dollars to 14.38 billion in 1995, while trade with the rest of the world increased from 67 to 120 billion US dollars (Merco Press, June 15, 2004).  The automobile industry is one of the areas that specially boomed as a consequence of Mercosur. In the area of foreign direct investment, the member countries experienced major developments in the late 1990s, because of the process of privatization in telecommunications and investment in financial services.  As of 2000, Mercosur's GDP was $900.9 billion in US dollars.[13]  The Protocol of Montevideo signed on December 15th, 1997 attempts to liberalize the trade in services, setting out a ten-year program especially in the areas of financial services, insurance and professional services, satellite communications, and air transportation.  Of all the member countries, Argentina has committed itself to a higher rate of liberalization than the other Mercosur countries.

 

Although Mercosur was to a certain extent inspired by the European Union model, it is not a supranational organization.  Rather, Mercosur is an intergovernmental organization geared towards the creation of a common market, without discarding a future economic and monetary union, and even a common currency.  Mercosur stands at an integration stage known as a customs union.  A customs union is characterized by a common external tariff among members of the union as well as elimination of barriers of trade between member states.[14]  Mercosur has managed to eliminate most of the trade barriers in goods and services and achieved the establishment of a common external tariff, despite the historic rivalry of the members involved.[15]  It has been questioned, however, whether Mercosur can accurately be termed a "customs union," given its difficulties in maintaining its common external tariff because of the current economic problems of the countries involved.[16] 

 

Pitou van Dijck and Marianne Wiesebron, editors of a significant retrospective study on the subject, determined that "by 1999 Mercosur had become the single largest destination of foreign direct investment among newly industrializing countries, larger even than China."[17]  An important reason for its success is the vast reserves of natural resources and energy provided by its members.  Currently, economic crisis, currency volatility and economic conflicts among member countries have made investments less attractive and the foreign direct investment flow has become unpredictable.  The central theme appears to be in finding equilibrium between macroeconomic stability and policy coordination in order to achieve successful economic integration.

 

The European Union and Mercosur are expected to confirm negotiations and free trade agreements by next October.  Despite the desire to create an economic and trade area with significant political dimensions, there is caution because of fundamental differences with the European Union over certain sensitive issues, such as the agricultural subsidies of the industrialized nations.  In addition, in July, Mercosur and China will begin negotiating a free-trade agreement.[18]

 

Before presenting the sources it is important to point out that research on Mercosur presents certain difficulties for the English-speaking researcher because a considerable amount of sources and information about Mercosur are available in Spanish and Portuguese and have not been translated to English.

 

II. Basic Documents

A. Organization and Structure

·         Agreement between Argentina - Brazil - Paraguay - United States of America - Uruguay concerning a council on trade and investment (done in Washington, June 19, 1991), 30 I.L.M. 1034 (1991).

·         Treaty between Argentina - Brazil - Paraguay - Uruguay establishing a common market (Mercado Comun del Sur or Mercosur) (done in Asunsión, March 26, 1991), 30 I.L.M. 1041 (1991). 

·         The Protocol of Brasilia for the solution of controversies (done in Brasilia, December 17, 1991)

·         The Protocol of Ouro Preto (done in Ouro Preto, December 17, 1991)

·         The Protocol of Olivos (done in Olivos, February 18, 2002)

B. Investment and Competition

·         Protocolo sobre promoción y protección de inversion provenientes de Estados no Partes del Mercosur (done in Buenos Aires, August 5, 1994) (annex to Treaty of Asunción).  Mercosur/CMC/Dec. No 11/94, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 92).

·         Protocolo de Colonia para la Promoción y Proteccion Recíproca de Inversiones en el Mercosur (done in Colonia del Sacramento, Paraguay, December 17, 1994).  Mercosur/CMC/ No 13/93 (there is no English translation in the website).

·         Protocolo de Defensa de la Competencia del Mercosur (done in Fortaleza, December 17, 1996).  Mercosur/CMC/Dec. No 18/96, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 102). 

C. Civil Procedure

·         Protocolo de Cooperación y Asistencia Juridical en Material Civil, Commercial, Laboral y Adminstrativa (Las Leñas) (done in Mendoza, June 27, 1992).  Mercosur/CMC/Dec. No 5/97, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 257). 

·         Protocolo sobre Jurisdicción en Material Contractual (done in Buenos Aires, April 6, 1994).  Reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 275). 

·         Protocolo de Medidas Cautelares (the Protocol on precautionary measures) (done in Ouro Preto, December 7, 1994) (there is no English translation in the website).

·         Acuerdo sobre Arbitraje Comercial Internacional del Mercosur (done in Buenos Aires, July 23, 1998).  Mercosur/CMC/Dec. No 3/98, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 284).

·         Acuerdo sobre el Beneficio de Litigar sin Gastos y Asistencia Jurídica Gratuita entre los Estados Partes del Mercosur (done in Florianópolis, December 15, 2000).  Mercosur/CMC/Dec. No 49/00, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 280).

D. Criminal Procedure

·         Plan de Cooperación y Asistencia Recíproca para la Seguridad Regional en el Mercosur (done in Buenos Aires).  Mercosur/CMC/Dec. No 5/98, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integración y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 297).

·         Protocolo de Asistencia Jurídica Mutua en Asuntos Penales (done in San Luis, June 25, 1996).  Mercosur/CMC/Dec. No 2/96, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integración y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 306).

·         Convencion de Cooperación y Asistencia Recíproca entre las Administraciones de Aduanas del Mercosure Relativo a la Prevención y Lucha Contra Ilícitos Aduaneros.  Mercosur/CMC/Dec. No 1/97, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integración y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 318).

·         Acuerdo sobre Extradición entre los Estados Partes del Mercosur (done in Río de Janeiro, December 10, 1998). Mercosur/CMC/Dec. No 14/98, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integración y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 337).

·         Acuerdo de Asunción sobre Restitución de Vehículos Automotores Terrestres y/o Embarcaciones que Trasponen Ilegalmente las Fronteras entre los Estados Partes del Mercosur (done in Montevideo, December 7, 1999).  Mercosur/CMC/Dec. No 16/99, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integración y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 325).

·         Memorandum de Entendimiento sobre Intercambio de Información y Asistencia Recíproca sobre Vehículos Automotores y Conductores de los Estados Partes del Mercosur, la República de Bolivia y la República de Chile (done in Montevideo, December 7, 1999).  Mercosur/CMC/Dec. No 14/99, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integración y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 333).

·         Convenio de Cooperación entre los Bancos Centrales de los Estados Partes del Mercosur para la Prevención y Represión de Maniobras Tendientes a la Legitimación de Activos Provenientes de Actividades Ilícitas. Mercosur/CMC/Dec. No 40/00, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integración y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 349).

E. Illegal Traffic of Minors

·         Complementación del Plan General de Cooperación y Coordinación Recíproca para la Seguridad Regional en Materia de Tráfico de Menores. Mercosur/CMC/Dec. No 6/00, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integración y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 361).

F. Transportation

·         Acuerdo sobre Transporte de Mercancías Peligrosas en el Mercosur. Mercosur/GMC/Dec. No 2/94, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 385).

·         Protocolo de San Luis en Materia de Responsabilidad Civil Emergentes de Accidentes de Tránsito entre los Estados Partes del Mercosur (done in San Luis, June 25, 1996).  Reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 399).

·         Documentos de cada Estado Parte que Habilitan el Tránsito de Personas en el Mercosur. Mercosur/GMC/Res. No 75/96, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integración y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 405).

G. Trade in Services

·         The Montevideo Protocol on Trade in Services of Mercosur (done in Montevideo, Uruguay, December 15, 1997). Mercosur/GMC/Dec. No 12/98.

H. Education

·         Protocolo de Integración Educativa y Reconocimiento de Certificados, Títulos y Estudios de Nivel Primario y Medio No Técnico (done in Buenos Aires, August 5, 1994). Mercosur/CMC/Dec. No 4/94, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integración y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 458).

·         Protocolo de Integración Educativa para la Prosecución de Estudios de Post-Grado en las Universidades de los Países Miembros del Mercosur (done in Fortaleza, December 17, 1996). Mercosur/CMC/Dec. No 8/96, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integración y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 451).

·         Protocolo de Integración Educativa para la Formación de Recursos Humanos a Nivel de Post-Grado entre los Países Miembros del Mercosur (done in Fortaleza, December 17, 1996). Mercosur/CMC/Dec. No 9/96, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integración y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 455).

·         Acuerdo de Admisión de Títulos y Grados Universitarios para el Ejercicio de Actividades Académicas en los Estados Partes del Mercosur (done in Asunción, June 14, 1999).  Mercosur/CMC/Dec. No 4/99, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 447).

I. Consumer Rights

·         Protocolo de Santa María sobre Jurisdicción Internacional en Materia de Relaciones de Consumo (done in Santa María, November 20, 1996). Mercosur/CMC/Dec. No 10/96, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 475).

J. Insurance

·         Condiciones Generales de Seguro de Responsabilidad Civil del Operador de Transporte Multimodal (OTM) en el Ambito del Mercosur - Daños a la Carga.  Mercosur/GMC/Res. No 62/97, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 485).

·         Convenio de Cooperación entre Autoridades Supervisoras de Empresas Aseguradoras de los Estados Partes del Mercosur.  Mercosur/CMC/Dec. No 8/99, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 494).

K. Labor Law

·         Creación de la Comisión Socio Laboral del Mercosur. Mercosur/GMC/Res. No 15/99, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 511).

L. Postal Agreements

·         Norma Relativa al control Aduanero del Intercambio Ppostal entre Ciudades Situadas en Región de Frontera (Res. GMC No 29/98). Mercosur/GMC/Res. No 21/99, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 530).

M. Trademarks

·         Protocolo de Armonización de Normas en Materia de Diseños Industriales (done in Río de Janeiro, December 10, 1998). Mercosur/CMC/Dec. No 16/98, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 535).

·         Protocolo de Armonización de Normas sobre Propiedad Intelectual en el Mercosur en Materia de Marcas, Indicaciones de Procedencia y Denominaciones de Origen. Mercosur/CMC/Dec. No 8/95, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 542).

N. Social Security

·         Acuerdo Multilateral de Seguridad Social del Mercado Común del Sur (done in Montevideo, December 14, 1997). Mercosur/CMC/Dec. No 19/97, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 551).

O. Environment

·         Directrices Basicas en Materia de Política Ambiental. Mercosur/GMC/Res. No 10/94, reproduced in Ruben B. Santos Belandro, Bases Fundamentales del Derecho de la Integracion y Mercosur.  Montevideo: Asociación de Escribanos del Uruguay, 2001 (page 565). 

P. Agreements between Mercosur and Other Regional Organizations and States

·