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1 PROTOCOL BETWEEN THE GOVERNMENT OF THE REPUBLIC OF KOREA AND THE GOVERNMENT OF UNITED STATES OF AMERICA AMENDING THE FREE TRADE AGREEMENT BETWEEN THE REPUBLIC OF KOREA AND THE UNITED STATES OF AMERICA The Government of the Republic of Korea (Korea) and the Government of the United States of America (United States), the Parties to the Free Trade Agreement between the Republic of Korea and the United States (Agreement), acting in accordance with Article 24.2 (Amendments) of the Agreement, have agreed as follows: 1. Paragraph 3 of the General Notes of the Tariff Schedule of the United States is amended as follows: (a) (b) (c) by striking R and S and replacing it with R, S, and AA ; by striking and after the semicolon in subparagraph (a), and by striking. at the end of subparagraph (b) and replacing it with ; and ; and by inserting the following subparagraph after subparagraph (b): (c) duties on originating goods provided for in the items in staging category AA shall remain at base rates during years one through 29, and such goods shall be duty-free, effective January 1 of year The Tariff Schedule of the United States to Annex 2-B, as it pertains to tariff items , , , , , and , in the Staging Category column, is amended by striking G and replacing it with AA. 3. Chapter Ten (Trade Remedies) is amended as follows: (a) in Article 10.7, by striking paragraph number 1. and replacing it with 2., striking paragraph number 2. and replacing it with 3., striking paragraph number 3. and replacing it with 4., striking paragraph number 4. and replacing it with 5., and inserting the following paragraph before renumbered paragraph 2: 1. The Parties recognize the right to apply trade remedy measures consistent with Article VI of the GATT 1994, the AD Agreement, and the SCM Agreement, and the importance of promoting transparency in antidumping and countervailing

2 duty proceedings and of ensuring the opportunity of all interested parties to participate meaningfully in such proceedings. ; (b) in Article 10.7, by inserting the following paragraphs after renumbered paragraph 5: Transparency and Due Process 6. In any segment of a proceeding in which an investigating authority of a Party determines to conduct an in-person verification of information provided by a responding party and pertinent to the calculation of an antidumping duty margin or the level of a countervailable subsidy, the investigating authority shall promptly notify the responding party of its intent to do so, and normally shall: (a) (b) (c) (d) provide the responding party advance notice of the dates on which the investigating authority intends to conduct any such in-person verification of information; prior to any such in-person verification, provide the responding party a document that sets forth the topics the responding party should be prepared to address during the verification and describes the types of supporting documentation the responding party should make available for review; after the verification is completed prepare a written report describing the methods and procedures that it followed in carrying out the verification and the results of the verification; and make the report available, consistent with the Party s law, to all interested parties in sufficient time for the interested parties to defend their interests in the segment of a proceeding. 7. An investigating authority of a Party shall, consistent with the Party s law, disclose, inter alia, for each interested party for whom the investigating authority has determined an individual rate of duty, the calculations used to determine the rate of dumping or countervailable subsidization and, if different, the calculations used to determine the rate of duty to be applied to imports of the interested party. The disclosure and explanation shall be in sufficient detail so as to permit the interested party to reproduce the calculations without undue difficulty. Such disclosure shall include, whether in electronic format (such as a computer program or spreadsheet) or in any other medium, a detailed explanation of the information the investigating authority used, the sources of that information, and any adjustments it made to the information when used in the calculations. The investigating authority shall provide interested parties adequate opportunity to respond to the disclosure. ; and

3 (c) in footnote 1 and renumbered paragraph 3 of Article 10.7 and in Article (b), by striking the references to paragraphs 3 and 4 and replacing those references with references to paragraphs 4 through Chapter Eleven (Investment) is amended as follows: (a) in Article 11.3, by inserting the following footnote after National Treatment in the title of the article: 1 For greater certainty, whether treatment is accorded in like circumstances under Article 11.3 or Article 11.4 depends on the totality of the circumstances, including whether the relevant treatment distinguishes between investors or investments on the basis of legitimate public welfare objectives. ; (b) by renumbering footnotes 1 through 17 as 2 through 18; (c) in Article 11.4, by inserting the following paragraph after paragraph 2: 3. For greater certainty, the treatment referred to in this Article does not encompass international dispute resolution procedures or mechanisms, such as those included in Section B. ; (d) in Article 11.5, by striking paragraph number 4. and replacing it with 5., striking paragraph number 5. and replacing it with 6., striking paragraph number 6. and replacing it with 7., and inserting the following paragraph after paragraph 3: 4. For greater certainty, the mere fact that a Party takes or fails to take an action that may be inconsistent with an investor s expectations does not constitute a breach of this Article, even if there is loss or damage to the covered investment as a result. ; (e) (f) (g) (h) in renumbered Article , by striking the references to paragraph 4 and replacing those references with references to paragraph 5 ; in renumbered Article , by striking the reference to Paragraph 4 and replacing it with a reference to Paragraph 5 ; in Article (d), by striking the reference to and replacing it with a reference to ; in Article (e), by striking the reference to and and replacing it with a reference to and ; (i) in Article 11.18, by inserting the following paragraph after paragraph 3:

4 4. (a) An investor of a Party may not initiate or continue a claim under this Section if a claim involving the same measure or measures alleged to constitute a breach under Article and arising from the same events or circumstances is initiated or continued pursuant to an agreement between the respondent and a non-party by: (i) (ii) a person of a non-party that owns or controls, directly or indirectly, the investor of a Party; or a person of a non-party that is owned or controlled, directly or indirectly, by the investor of a Party. (b) Notwithstanding subparagraph (a), the claim may proceed if the respondent agrees that the claim may proceed, or if the investor of a Party and the person of a non-party agree to consolidate the claims under the respective agreements before a tribunal constituted under this Section. ; (j) in Article 11.20, by striking paragraph number 9. and replacing it with 10., striking paragraph number 10. and replacing it with 11., striking paragraph number 11. and replacing it with 12., striking paragraph number 12. and replacing it with 13, and inserting the following paragraph after paragraph 8: 9. For greater certainty, if an investor of a Party submits a claim under Section B, including a claim alleging that a Party breached Article 11.5, the investor has the burden of proving all elements of its claims, consistent with general principles of international law applicable to international arbitration. ; (k) in renumbered Article (b), by striking the reference to paragraph 12 and replacing it with a reference to paragraph 13 ; (l) in the chapeau of Article , by inserting the following after Article : or that a claim is manifestly without legal merit ; (m) (n) in Article (c), by inserting the following after In deciding an objection under this paragraph : that a claim submitted is not a claim for which an award in favor of the claimant may be made under Article ; in Article 11.28, in the definition of an investor of a non-party, by inserting the following footnote after make : 19 For greater certainty, the Parties understand that, for purposes of the definitions of investor of a non-party and investor of a Party, an investor attempts to make an investment when that investor has taken concrete action or actions to make an investment, such as channeling resources or capital in order to set up a business, or applying for a permit or license. ;

5 (o) (p) by making consequential adjustments to the numbering of the footnotes so that former footnotes 18, 19, 20, 21, and 22 are renumbered as footnotes 20, 21, 22, 23, and 24, respectively; and by inserting the following annex after Annex 11-G: Annex 11-H Joint Committee Consistent with Article 22.2, the Joint Committee shall, as appropriate, initiate discussions regarding the operation of this Chapter, and consider any potential improvements, to ensure that this Chapter continues to meet the objectives of the Parties, including providing meaningful procedures for resolving investment disputes and effective mechanisms to eliminate frivolous claims and to deter the filing of frivolous claims.. Each Party shall notify the other Party of the completion of its legal requirements and procedures required for the entry into force of this Protocol. This Protocol shall enter into force on the date on which the Parties exchange written notifications that they have completed their respective applicable legal requirements and procedures. This Protocol shall terminate on the date that the Agreement terminates. IN WITNESS WHEREOF the undersigned, being duly authorized by their respective Governments, have signed this Protocol. DONE at <LOCATION> this <DATE>, in duplicate in the Korean and English languages. For the Government of the Republic of Korea For the Government of the United States of America

6 대한민국과미합중국간의자유무역협정을개정하는대한민국정부와미합중국정부간의 의정서 대한민국과미합중국간의자유무역협정 ( 협정 ) 제24.2조 ( 개정 ) 에따라행동하는협정의양당사국인대한민국 ( 대한민국 ) 정부와미합중국 ( 미합중국 ) 정부는다음과같이합의하였다. 1. 미합중국의관세양허표일반주해제3항은다음과같이개정된다. 가. R 및 S 를삭제하고이것을 R, S 및 AA 로대체함으로써나. 가호의마침표뒤에 그리고 를삭제하고, 나호의끝에 그리고 를삽입함으로써, 그리고다. 나호뒤에다음의호를삽입함으로써 다. 단계별양허유형 AA로규정된원산지상품에대한관세는이행 1년차부터이행 29년차까지기준관세율이유지되고, 이행 30년차 1월 1일부터그상품에대하여무관세가적용된다. 2. 부속서 2-나의미합중국관세양허표는, 관세항목 , , , , 및 과관련하여, 단계별양허유형 열에서 G 를삭제하고이것을 AA 로대체함으로써개정된다. 3. 제10장 ( 무역구제 ) 은다음과같이개정된다. 가. 제10.7조에서, 항번호 1. 을삭제하고이것을 2. 로대체함으로써, 항번호 2. 를삭제하고이것을 3. 으로대체함으로써, 항번호 3. 을삭제하고이것을 4. 로대체함으로써, 항번호 4. 를삭제하고이것을 5. 로대체함으로써, 그리고다시번호매김되는제2항앞에다음의항을삽입함으로써 1. 양당사국은 1994년도 GATT 제6조, 반덤핑협정, 그리고보조금및상계조치에관한협정에합치하는무역구제조치를적용할권리와반덤핑및상계관세절차에서의투명성증진과그러한절차에서모든이해당사자들이의미있게참여하기위한기회보장의중요성을인정한다. 나. 제10.7조에서, 다시번호매김되는제5항뒤에다음의항들을삽입함으로써 투명성및적법절차 6. 절차의어떠한부분에서든당사국의조사당국이응답자에의하여제공되고반덤핑관세마진의계산또는상계가능보조금수준과관련된정보에대하여대면검증을수행하기로결정하는경우, 조사당국은신속하게그렇게하고자하는자신의의사를응답자에게통보하고, 통상적으로,

7 가. 나. 다. 라. 조사당국이정보에대한모든그러한대면검증을수행하고자하는날짜를응답자에게사전통보한다. 모든그러한대면검증이전에, 검증과정에서응답자가다룰준비가되어야하는주제를규정하고검토를위하여응답자가이용가능하도록해야하는증빙서류의종류를기술한문서를응답자에게제공한다. 검증이완료된이후, 검증수행시따랐던방법및절차와검증의결과를기술한서면보고서를준비한다. 그리고그당사국의법에합치되게, 절차의부분에서이해당사자들이그들의이익을방어하기위한충분한시간을두고, 모든이해당사자들에게그보고서를이용가능하게한다. 7. 당사국의조사당국은, 특히조사당국이개별적인관세율을결정한해당이해당사자를위하여, 덤핑율또는상계가능보조금지급비율의결정에사용된계산방식, 그리고덤핑율또는상계가능보조금지급비율이적용된관세율과다른경우, 해당이해당사자의수입에적용되는관세율의결정에사용된계산방식을, 당사국의법에합치되게공개한다. 이해당사자들이과도한어려움없이그계산방식을재현하는것을허용하기위하여공개와설명은충분히상세하여야한다. 그러한공개는, 전자적형식 ( 컴퓨터프로그램이나스프레드시트와같은것 ) 인지또는그밖의어떠한매체인지에관계없이, 조사당국이이용한정보, 그정보의출처, 그리고조사당국이계산방식에사용된그정보에행한모든조정에대한상세한설명을포함한다. 조사당국은이해당사자들이그공개에대하여응답할충분한기회를제공한다. 그리고다. 각주 1과다시번호매김되는제10.7조제3항에서, 그리고제10.8조제2항나호에서, 제3항및제4항 에관한언급들을삭제하고이를 제4항부터제7항까지 에관한언급들로대체함으로써 4. 제11장 ( 투자 ) 은다음과같이개정된다. 가. 제11.3조에서, 그조의제목 내국민대우 뒤에다음의각주를삽입함으로써 1) 보다명확히하기위하여, 제11.3조또는제11.4조에따라 동종의상황 에서부여되는대우인지여부는관련대우가투자자들간또는투자들간을정당한공공복지목적에기초하여구별하는지여부를포함하는전체상황에달려있다. 나. 각주 1부터 17까지를 2부터 18까지로다시번호를매김으로써다. 제11.4조에서, 제2항뒤에다음의항을삽입함으로써 3. 보다명확히하기위하여, 이조에서언급되는대우는제2절에포함된것과같은국제분쟁해결절차또는메커니즘을포함하지아니한다.

8 라. 제11.5조에서, 항번호 4. 를삭제하고이것을 5. 로대체함으로써, 항번호 5. 를삭제하고이것을 6. 으로대체함으로써, 항번호 6. 을삭제하고이것을 7. 로대체함으로써, 그리고제3항뒤에다음의항을삽입함으로써 4. 보다명확히하기위하여, 당사국이행위를하거나하지못하는것이투자자의기대와불일치할수있다는단순한사실은그결과로적용대상투자에손실또는손해가있더라도이조의위반을구성하지아니한다. 마. 다시번호매김되는제11.5조제6항에서, 제4항 에관한언급들을삭제하고이를 제5항 에관한언급들로대체함으로써바. 다시번호매김되는제11.5조제7항에서, 제4항 에관한언급을삭제하고이것을 제5항 에관한언급으로대체함으로써사. 제11.6조제1항라호에서, 제3항 에관한언급을삭제하고이것을 제4항 에관한언급으로대체함으로써아. 제11.7조제1항마호에서, 제11.5조제4항ㆍ제11.5조제5항 에관한언급을삭제하고이것을 제11.5조제5항ㆍ제11.5조제6항 에관한언급으로대체함으로써자. 제11.18조에서, 제3항뒤에다음의항을삽입함으로써 4. 가. 제11.16조에따른위반을구성하는것으로주장되는동일한조치또는조치들과관련되고동일한사건또는상황으로부터발생하는청구가다음에의하여피청구국과비당사국간의협정에따라개시되었거나계속된경우당사국의투자자는이절에따른청구를개시하거나계속할수없다. 1) 당사국의투자자를직접적또는간접적으로소유하거나지배하는비당사국의인, 또는 2) 당사국의투자자에의하여직접적또는간접적으로소유되거나지배되는비당사국의인나. 가호에도불구하고, 피청구국이그청구를진행할수있다고동의하는경우, 또는당사국의투자자와비당사국의인이그각협정에따른청구를이절에따라구성된중재판정부에병합하는것에동의한경우그청구는진행할수있다. 차. 제11.20조에서, 항번호 9. 를삭제하고이것을 10. 으로대체함으로써, 항번호 10. 을삭제하고이것을 11. 로대체함으로써, 항번호 11. 을삭제하고이것을 12. 로대체함으로써, 항번호 12. 를삭제하고이것을 13. 으로대체함으로써, 그리고제8항뒤에다음의항을삽입함으로써 9. 보다명확히하기위하여, 당사국의투자자가당사국이제11.5조를위반

9 하였다고주장하는청구를포함하여제2절에따른청구를제기하는경우, 투자자는국제중재에적용가능한국제법의일반원칙에합치되게, 자신의청구의모든요소를입증하는부담을진다. 카. 다시번호매김되는제11.20조제12항나호에서, 제12항 에관한언급을삭제하고이것을 제13항 에관한언급으로대체함으로써타. 제11.20조제6항의두문에서, 이의제기를 뒤에다음을삽입함으로써 : 또는명백하게법률상이유가없는청구라는피청구국의이의제기를 파. 제11.20조제6항다호에서, 이항에따른 앞에다음을삽입함으로써 : 제기된청구가제11.26조에따라청구인에게유리한판정이내려질수있는청구가아니라는 하. 제11.28조에서, 비당사국의투자자 의정의에서 시도하거나 뒤에다음의각주를삽입함으로써 19) 보다명확히하기위하여, 양당사국은 비당사국의투자자 와 당사국의투자자 의정의목적상, 투자자가영업을개시하기위하여자원또는자본을전달하거나허가또는면허를신청하는것과같이, 투자하기위한구체적인행위나행위들을한경우, 투자 하고자시도 하는투자자로양해한다. 거. 기존각주 18, 19, 20, 21 및 22가각각각주 20, 21, 22, 23 및 24로다시번호매김되도록각주번호매김을결과적으로조정함으로써, 그리고너. 부속서 11-사뒤에다음부속서를삽입함으로써 부속서 11-아공동위원회제22.2조에합치되게, 공동위원회는, 적절한경우, 이장의운영에대하여논의를개시하고, 이장이양당사국의목적의충족을지속하는것을보장하기위하여, 투자분쟁을해결하기위한의미있는절차와사소한청구를근절하고사소한청구의제기를방지하기위한효과적인메커니즘의제공을포함하는모든잠재적인개선을고려한다. 각당사국은다른쪽당사국에게이의정서의발효를위하여요구되는자국의법적요건과절차의완료를통보한다. 이의정서는양당사국이각자의적용가능한법적요건과절차를완료하였다는서면통보를교환하는날에발효된다. 이의정서는협정이종료되는날에종료한다. 이상의증거로, 아래의서명자는각자의정부로부터정당하게권한을위임받아이의정서에서명하였다. 년월일에서한국어및영어로각 2부씩작성하였다.

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Microsoft Word - 국제중재 기업인과 변호사를 위한 국제 중재(International Arbitration)의 이해와 활용 법무법인 이산( 移山 ) 서울시 서초구 서초4동 1698-2 형남빌딩 5층 전화: (02) 3477-0150 팩스: 3477-0160 http://www.esanlaw.com 들어가는 말 국제거래에서 발생할 수 있는 분쟁을