Chapter 5 The Law of TreatiesWord文件下载.docx
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5.InvalidityofTreaties(条约的无效)
6.Withdrawal,Termination,andSuspensionofTreaties(条约的退出、终止、和中止施行)
7.Invalidity,Termination,andSuspension:
GeneralRules
8.ApplicationandEffectsofTreaties
9.AmendmentsandModificationsofTreaties(条约的修正和修改)
10.TreatyInterpretation(条约的解释)
ReadingMaterial:
Brownlie,PrinciplesofPublicInternationalLaw(6thed,OxfordUni.Press,2003),pp.579-607
27THELAWOFTREATIES
1.INTRODUCTION1
Agreatmanyinternationaldisputesareconcernedwiththevalidityandinterpretationofinternationalagreements,andthepracticalcontentofstaterelationsisembodiedinagreements.Thegreatinternationalorganizations,includingtheUnitedNations,havetheirlegalbasisinmultilateralagreements.SinceitbeganitsworktheInternationalLawCommission(国际法委员会)hasconcerneditselfwiththelawoftreaties,andin1966itadoptedasetofseventy-fivedraftarticles.
ThesedraftarticlesformedthebasisfortheViennaConferencewhichintwosessions(1968and1969)completedworkontheViennaConventionontheLawofTreaties(维也纳条约法公约),consistingofeighty-fivearticlesandanAnnex(附件).TheConventionenteredintoforceon27January1980andnotlessthanninety-onestateshavebecomeparties.
TheConventionisnotasawholedeclaratoryofgeneralinternationallaw:
itdoesnotexpressitselfsotobe(seethepreamble).Variousprovisionsclearlyinvolveprogressivedevelopmentofthelaw;
andthepreambleaffirmsthatquestionsnotregulatedbyitsprovisionswillcontinuetobegovernedbytherulesofcustomaryinternationallaw.Nonetheless,agoodnumberofarticlesareessentiallydeclaratoryofexistinglawandcertainlythoseprovisionswhicharenotconstitutepresumptiveevidence(推定证据)ofemergentrulesofgeneralinternationallaw.TheprovisionsoftheConventionarenormallyregardedasaprimarysource:
as,forexample,intheoralproceedingsbeforetheInternationalCourtintheNamibia(纳米比亚)case.*InitsAdvisoryOpinioninthatcasetheCourtobserved:
'
TheruleslaiddownbytheViennaConvention...concerningterminationofatreatyrelationshiponaccountofbreach(adoptedwithoutadissentingvote)mayinmanyrespectsbeconsideredasacodificationofexistingcustomarylawonthesubject'
.
TheConventionwasadoptedbyaverysubstantialmajorityattheConference7andconstitutesacomprehensivecodeofthemainareasofthelawoftreaties.However,itdoesnotdealwith(a)treatiesbetweenstatesandorganizations,orbetweentwoormoreorganizations;
**(b)questionsofstatesuccession;
(c)theeffectofwarontreaties.TheConventionisnotretroactiveineffect.
AprovisionaldraftoftheInternationalLawCommissiondefineda'
treaty'
as:
anyinternationalagreementinwrittenform,whetherembodiedinasingleinstrumentorintwoormorerelatedinstrumentsandwhateveritsparticulardesignation(名称)(treaty,convention,protocol,covenant,charter,statute,act,declaration,concordat(协定),exchangeofnotes(换文),agreedminute(商定记录),memorandumofagreement,modusvivendi(临时协定)oranyotherappellation[名称]),concludedbetweentwoormoreStatesorothersubjectsofinternationallawandgovernedbyinternationallaw.
Thereferenceto'
othersubjects'
ofthelawwasdesignedtoprovidefortreaties'
concludedbyinternationalorganizations,theHolySee(梵蒂冈),andotherinternationalentitiessuchasinsurgents.
IntheViennaConvention,asintheFinalDraftoftheCommission,theprovisionsareconfinedtotreatiesbetweenstates(Art.1).Article3providesthatthefactthattheConventionisthuslimitedshallnotaffectthelegalforceofagreementsbetweenstatesandothersubjectsofinternationallaworbetweensuchothersubjectsofinternationallaw.Article2
(1)(a)definesatreatyas'
aninternationalagreementconcludedbetweenStatesinwrittenformandgovernedbyinternationallaw,whetherembodiedinasingleinstrumentorintwoormorerelatedinstrumentsandwhateveritsparticulardesignation(名称)'
.***
2.CONCLUSIONOFTREATIES
(a)Form
Themannerinwhichtreatiesarenegotiatedandbroughtintoforceisgovernedbytheintentionandconsentoftheparties.Therearenosubstantiverequirementsofform,andthus,forexample,anagreementmayberecordedinanexchangeoflettersortheminutesofaconference.Inpracticeformisgovernedpartlybyusage,andthusformwillvaryaccordingtowhethertheagreementisexpressedtobebetweenstates,headsofstates,governments(increasinglyused),orparticularministersordepartments.TheViennaConventionappliesonlytoagreements'
inwrittenform'
butArticle3stipulatesthatthislimitationiswithoutprejudicetothelegalforceofagreements'
notinwrittenform'
.ObviouslysubstantialpartsoftheConventionarenotrelevanttooralagreements:
thefactremainsthatimportantpartsofthelaw,forexample,relatingtoinvalidityandtermination,willapplytooralagreements.
(b)Fullpowers(全权证书)andsignature(签字)
Theeraofabsolutemonarchsandslowcommunicationsproducedapracticeinwhichasovereign'
sagentwouldbegivenaFullPowertonegotiateandtobindhisprincipal.Inmodernpractice,subjecttoadifferentintentionoftheparties,aFullPowerinvolvesanauthoritytonegotiateandtosignandsealatreaty.InthecaseofagreementsbetweengovernmentsFullPowers(全权证书),inthesenseoftheformaldocumentsevidencingtheseandtheirreciprocalexaminationsbythenegotiators,areoftendispensedwith.24
Thesuccessfuloutcomeofnegotiationistheadoptionandauthentication(认证)oftheagreedtext:
Signaturehas,asoneofitsfunctions,thatofauthentication,butatextmaybeauthenticatedinotherways,forexamplebyincorporatingthetextinthefinalactofaconferenceorbyinitialing(草签).Apartfromauthentication,thelegaleffectsofsignatureareasfollows.Wherethesignatureissubjecttoratification(批准),acceptance(接受),orapproval(赞同)(seeinfra),signaturedoesnotestablishconsenttobebound.However,signaturequalifiesthesignatorystatetoproceedtoratification,acceptance,orapprovalandcreatesanobligationofgoodfaithtorefrainfromactscalculatedtofrustratetheobjectsofthetreaty.25Wherethetreatyisnotsubjecttoratification,acceptance,orapproval,signaturecreatesthesameobligationofgoodfaithandestablishesconsenttobebound.Signaturedoesnotcreateanobligationtoratify.Inrecenttimessignaturehasnotfeaturedintheadoptionofallimportantmultilateraltreaties:
thusthetextmaybeadoptedorapprovedbytheGeneralAssemblyoftheUnitedNationsbyaresolutionandsubmittedtomemberstatesforaccession(加入).27
(c)Ratification
Ratificationinvolvestwodistinctproceduralacts:
thefirstistheactoftheappropriateorganofthestate,whichistheCrownintheUnitedKingdom,andmaybecalledratificationintheconstitutionalsense;
thesecondistheinternationalprocedurewhichbringsatreatyintoforcebyaformalexchangeordeposit(交存)oftheinstrumentsofratification.Ratificationinthelattersenseisanimportantactinvolvingconsenttobebound.***
(d)Accession,acceptance,andapproval
'
Accession,'
adherence'
or'
adhesion'
(参加)occurswhenastatewhichdidnotsignatreaty,alreadysignedbyotherstates,formallyacceptsitsprovisions.Accessionmayoccurbeforeorafterthetreatyhasenteredintoforce.Theconditionsunderwhichaccessionmayoccurandtheprocedureinvolveddependontheprovisionsofthetreaty.Accessionmayappearinaprimaryroleastheonlymeansofbecomingapartytoaninstrument,asinthecaseofaconventionapprovedbytheGeneralAssemblyoftheUnitedNationsandproposedforaccessionbymemberstates.Recentpracticehasintroducedtheterms'
acceptance'
and'
approval'
todescribethesubstanceofaccession.Terminologyisnotfixed,however,andwhereatreatyisexpressedtobeopentosignature'
subjecttoacceptance'
thisisequivalentto'
subjecttoratification'
(e)Expressionofconsenttobebound
Signature,ratification,accession,acceptance,andapprovalarenottheonlymeansbywhichconsenttobeboundmaybeexpressed.Anyothermeansmaybeusedifsoagreed,forexampleanexchangeofinstrumentsconstitutingatreaty.
3.RESERVATIONS
IntheViennaConvention,areservationisdefinedas'
aunilateralstatement,howeverphrasedornamed,madebyaState,whensigning,ratifying,accepting,approvingoraccedingtoatreaty,wherebyitpurportstoexcludeortomodifythelegaleffectofcertainprovisionsofthetreatyintheirapplicationtothatState'
.Thisdefinitionbegsthequestionofvalidity,whichisdeterminedonacontractualandnotaunilateralbasis.Theformerlyacceptedruleforallkindsoftreatywasthatreservationswerevalidonlyifthetreatyconcernedpermittedreservationsandifallotherpartiesacceptedthereservation.Onthisbasisareservationconstitutedacounter-offer(反要约)whichrequiredanewacceptance(承诺),failingwhichthestatemakingthecounter-offerwouldnotbecomeapartytothetreaty.Thisviewrestsonacontractualconceptionoftheabsoluteintegrityofthetreatyasadopted.
IntheperiodoftheLeagueofNations(国际联盟)(1920-46)thepracticeinregardtomultilateralconventionsshowedalackofconsistency.TheLeagueSecretariat,andthelatertheSecretary-GeneraloftheUnitedNations,inhiscapacityasdepositary(保管机关)ofconventionsconcludedundertheauspicesoftheLeague,followedtheprincipleofabsoluteintegrity.Incontrastthemember
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