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1、Chapter VIII Law of Treaties条约法1. Source条约法最主要的渊源1Concept of a treaty （Art. 2）条约 的概念（第2条）1a. subjects主体2in written form oral agreement?书面形式和口头协议？2b. governed by international law受国际法约束2establishing rights and duties确定具体权利和义务2c. name of a treaty?条约的名称2Bolivia v. Chile case, ICJ, 2018.玻利维亚vs智利3Conclus
2、ion of treaties条约的缔结51.1 Negotiation51.2 Adoption of the text （议定约文） 51.3 Authentication of the text （认证约文）条约最后的文本，不得变更61.4 Consent to be bounded by treaty 同意受条约约束6Signature（签署）61.4.1 Ratification G比准）6Accession（力口入） 72. Reservation to treaties（条约的保留） 82.1 Meaning 含义82.2 Cases where reservations are
3、 prohibited （禁止保留的情形） 92.3 Acceptance of and objection to reservations接受/反对保留意见92.4 Legal effect of reservations and objections保留和反对的法律效力9Registration and Publication条约的登t己或公布103. Legislation in China中国的法律适用103.1 Treaty-making power 制定条约的权力10Constitution 宪法103.2 Treaties and important agreements条约和重
4、要协定11Entry into force of treaties条约的生效113.3 Provision of the treaty or agreement of the negotiating states谈判国条约或协定的规定111. Source条约法最主要的渊源a. customary International Law习惯国际法（明确性，确定性，但十分分散）b. Vienna Convention on the Law of Treaties, 1969 （entered into force in 1980）维也纳条约法公约（调整国与国之间条约的签订，）（国与国际组织之间也可以
5、签订条约，但并非1969年调整 对象）c. Vienna Convention on the Law of Treaties between States and International Organizations or between International Organizations, 1986【1986年国家与国际组织或国际组织间条约法维 也纳公约】（调整国与国际组织或国际组织之间的条约签订）除非未达成一致，否则当事方的自由决定优先，若未达成一致，参考条约法的部分事项。国家同意：1、明示一一条约2、默示一一习惯2. Concept of a treaty （Art. 2）条约的概
6、念（第2条） 他缔约国除之外不修改条约的条款】c. between reserving state and states objecting reservation but not opposing the entry into force of the treaty provisions to which the reservation relates do not apply as between the two States to the extent of the reservation【提出保留的国家与反对保留但不反对与保留有关的条约条款 生效的国家之间的关系不适用于两国之间的保留】
7、5. Registration and Publication条约的登记或公布避免秘密条约5.1 League of Nations国联时期必须送达秘书处，不登记不公布则不发生效力。但是否发生效力取决于当事国的同意，所以形同虚 设5.2 UN Charter （Art. 102）不登记不公布的话不得向联合国的机关援引条约（数据库UNTC）中国第一个向联合国登记的条约是中英联合公报Every treaty and every international agreement entered into by any Member of the United Nations after the pre
8、sent Charter comes into force shall as soon as possible be registered with the Secretariat and published by it.【本宪章生效后，联合国任何会员国所缔结之一切条约及国际 协定，均应尽速向秘书处登记，并由秘书处予以公布。】a. No party to any such treaty or international agreement which has not been registered in accordance with the provisions of paragraph 1
9、 of this Article may invoke that treaty or agreement before any organ of the United Nations.【未经依照本条第一款的规定登记的任何此类条约或 国际协定的缔约国不得在联合国任何机关援引该条约或协定。】6. Legislation in China中国的法律适用Treaty-making power制定条约的权力Constitution 宪法The Standing Committee of the National People s Congress （全国人大常委会）to decide on the ra
10、tification or abrogation of treaties and important agreements concluded with foreign states; The President, in pursuance of the decisions of the Standing Committee of the National People s Congress, appoints or recalls plenipotentiary representatives （全权代表）abroad, and ratifies or abrogates treaties
11、and important agreements concluded with foreign states.The State Council （国务院）to conduct foreign affairs and conclude treaties and agreements with foreign states, and to approve those that do not fall the scope of treaties and important agreements ,【全国人民代表大会常务委员会（全国人大常委会）的决定批准和废除同外国缔 结的条约和重要协定；决策的总统
12、，根据全国人民代表大会常务委员会，任命或回忆驻外全权 代表（全权代表）在国外，批准和废除同外国缔结的条约和重要协定。国务院（国务院）开展外 交事务，同外国缔结条约和协定，批准那些并没有下跌的条约和重要协定的范围。】6.1 Treaties and important agreements条约和重要t办定Law on the Procedure of the Conclusion of Treaties （1990）1990年缔结条约程序法The treaties and important agreements are as follows:a. treaties of friendship
13、and cooperation, treaties of peace and similar treaties of a political nature;treaties and agreements relating to territory and delimitation of boundary lines;b. treaties and agreements relating to judicial assistance and extradition;treaties and agreements which contain stipulations inconsistent wi
14、th the laws of the Peoples Republic of China;c. treaties and agreements which are subject to ratification as agreed by the contracting parties; andother treaties and agreements subject to ratification.【条约和重要协定如下：（一）友好合作条约、和平条约和类似的政治性条约；（二）有关领土 和定界的条约、协定；（三）有关司法协助和引渡的条约、协定；（四）同中华人民共和国法律 有抵触规定的条约、协定；e
15、.缔约双方约定须经批准的条约和协定；和其他须经批准的条 约和协定O】7. Entry into force of treaties条约的生效Provision of the treaty or agreement of the negotiating states谈判国条 约或协定的规定a. Bilateral treaty: e.g., signature, ratification, exchange-Multilateral treaty: e.g., a certain date; consent to be bound by all the negotiatingstates; si
16、gnature, ratification or accession by a fixed number of states*-【a.双边条约：例如,签字、批准、交换b.多边条约：例如，某一日期；同意接受所有谈判的约束州；由一定数目的国家签署、批准或 加入】条约生效一一条约开始对国家进行约束，国家应履行条约义务 有的条约规定某一具体日期、多少个国家批准同意、等等7.2 Failing any such provision or agreement, a treaty enters into force as soon as consent to be bound by the treaty h
17、as been established for all the negotiating States.【如果没有任何这种规定或协定，则一旦为所有谈判国建立了接受该条约约束的同意，该条 约即开始生效。】VCLT维也纳条约法公约1968-1969年进行谈判1969年5月22日认证公文5月23 口开放签字规定需要批准加入才能生效凑够35个议定书1980年1.27才生效An international agreement concluded between states （1969年条约法公约调整的对象）in written form也可以采取口头协议，承认口头协议的法律效力，但一般用书面方式（东格陵
18、兰岛 法律土也位案）and governed by international law, whether embodied in a single instrument or in two or more related instruments and whatever its particular designation （名称）.【国家间以 书面形式缔结并受国际法管辖的国际协定，不论以单一文书或两项或两项以上有关文书或 不论其具体名称为何。】a. subjects 主体最主要的是国家。分1969和1986年。个人与国家签订的本质上不算国际条约，本质上算国 际协定（英伊协定案），不会产生国际
19、法上的权利和义务，不能以条约法的要求来规定。between States （1969）between international organizations （1986） between a state and a foreign private party?b.in written form oral agreement?书面形式和口头协议？条约形式是当事方共同意志的表现，不拘于形式International agreements between states and other subjects of international law or between two or more sub
20、jects of international law, or oral agreements, do not lose their validity by being excluded from the framework of the Convention. (Art. 3)国家间和其他国际法主体之间或两 个或两个以上国际法主体之间的国际协定或口头协定不因被排除在公约框架之外而失去其 效力。】际法约束b. governed by international law受必须符合国际法，若条约违反国际强行法（?如种族灭绝等），则条约无效c. establishing rights and duti
21、es确定具体权利和义务否则可能是政治性文件（如英美大西洋宪章），不具有法律约束力，违反了也不会受到法律制 裁要依据具体用语和内容? non-binding political documentsd. name of a treaty?条约的名称一份文件的名字不影响，主要看是否是在国际法的规范下进行具体的权利义务划分、规定charter, covenant and statute 宪章、规约、盟约convention公约（国际组织主持下，国际会议通过，在某一领域的多边条约）Treaty agreementprotocol议定书（一般是第二份文件，对第一份进行修订或补充）declarationjo
22、int communique, statement 联合公报、宣言等，不一定构成国际条约exchange of notes换文，国家间的照会交换，占条约的大部分memorandum of understanding谅解备忘录，需谨慎，不一定构成条约Bolivia v. Chile case, ICJ5 2018.玻利维亚vs智利Facts:领土归属问题At the time of its independence (in 1818), Bolivia had a coastline of over 400 km along the Pacific Ocean.On 5 April 1879,
23、Chile declared war on Peru and Bolivia, and Chile occupied Bolivias coastal territory.The Treaty of Peace and Friendship of 20 October 1904 officially ended the war. Under the terms of its Article , the territory occupied by Chile was recognized as belonging absolutely and in perpetuity7 to Chile.【玻
24、利维亚独立时(1818年)，沿太平洋有400多公里的海岸线。1879年4月5日，智利对秘 鲁和玻利维亚宣战，智利占领了玻利维亚的沿海领土。1904年10月20日的和平友好条约正 式结束了战争。根据其第2条的规定，智利所占领的领土被承认“绝对和永久”属于智 利。1Bolivias claim mainly rests on the alleged existence of one or more bilateral agreements that would impose on Chile an obligation to negotiate Bolivias sovereign access
25、to the Pacific Ocean.【玻利维亚的要求主要是基于据称存在一项或多项双边协定，这些协定将使智利有义务就 玻利维亚进入太平洋的主权问题进行谈判。】文件如下：105. The Court notes that in 1920 the Parties engaged in negotiations during which Chile expressed willingness to seek that Bolivia acquire its own access to the sea ceding to it an important part of that zone in t
26、he north of Arica and of the railway line. Although these remarks are politically significant, they do not indicate that Chile had accepted an obligation to negotiate Bolivias sovereign access to the Pacific Ocean.【法院指出,1920年,各方进行了谈判，智利 在谈判期间表示愿意“要求玻利维亚获得其自己的海上通道，并将阿里卡北部该区域的一 个重要部分和铁路线割让给玻利维亚”虽然这些话具
27、有重要的政治意义，但并不表示 智利有义务就玻利维亚对太平洋的主权使用权进行谈判。】126. The Court notes that the Declaration of Charana is a document that was signed by the Presidents of Bolivia and Chile .However, the overall language of the Declaration rather indicates that it has the nature of a political document which stresses the /atm
28、osphere of fraternity and cordialityf and the spirit of solidaritybetween the two States, who in the final clause decide to normalize their diplomatic relations. The wording of the Declaration does not convey the existence or the confirmation of an obligation to negotiate Bolivia/s sovereign access
29、to the Pacific Ocean. The engagement i(to continue the dialogue, at different levels, in order to search for formulas to solve the vital issues that both countries face, such as the landlocked situation that affects Bolivid, cannot constitute a legal commitment to negotiate Bolivias sovereign access
30、 to the sea, which is not even specifically mentioned.政治性文件 【法院指 出，Charana宣言由总统签署了一份文件，玻利维亚和智利然而，整个语言的声明表明，它 的本质一份政治文件，强调“友爱的氛围和情意”和“团结精神”在两种状态之间，谁在最 后条款决定他们的外交关系“正常化”。宣言的措辞并不表示存在或确认有义务就玻 利维亚进入太平洋的主权问题进行谈判。参与“继续对话，在不同层次上，为了寻找公式解 决两国所面临的重要问题，如内陆情况影响到玻利维亚“，不能构成法律承诺玻利维亚主权 谈判进入大海，这甚至不是特别提到。】条约：你干什么，我干什么
31、，什么时候干。只是表达意愿、意义、影响、必要性、总结异 同、立场、共同愿望等政治性内容，则不具备具体权利义务规定While the Ministers for Foreign Affairs of the Parties noted in their Joint Declaration of 10 June 1977 that negotiations have been engaged aiming at finding an effective solution that allows Bolivia to access the Pacific Ocean freely and with
32、sovereigntyv , they did not go beyond reaffirming “the need of continuing with the negotiations and did not refer to any obligation to negotiate. Based on this evidence, an obligation for Chile to negotiate cannot be inferred from the Declaration of Charana.虽然双方的外交部长在1977年6月10日的联合声明指出，“谈判 一直针对发现一个有效
33、的解决方案，允许玻利维亚访问太平洋自由和主权”，他们没有超越 重申“继续谈判的需要，没有引用任何义务谈判。根据这一证据，不能从查拉纳宣 言中推断智利进行谈判的义务。】136. On 17 July 2006, the Bolivia-Chile Working Group on Bilateral Affairs issued minutes of a meeting which became known as the 13-Point Agenda (see paragraph 80 above). These minutes listed all issues to be addresse
34、d by Bolivia and Chile in their bilateral relationship. Point 6 of the Agenda referred to the maritime issue”.【2006年7月 17 日,玻利维亚-智利双边事务工 作组发表了一份会议记录，称为“13点议程”(见上文第80段)。这些会议记录列出了玻利维 亚和智利在双边关系中要处理的所有问题。议程第6点提到“海事问题”。138. The Court notes that the item maritime issue7 included in the 13-Point Agenda is
35、a subjectmatter that is wide enough to encompass the issue of Bolivias sovereign access to the Pacific Ocean. The short text in the minutes of the Working Group concerning the maritime issue only states that zzboth delegations gave succinct reports on the discussions that they had on this issue in t
36、he past few days and agreed to leave this issue for consideration by the Vice-Ministers at their meeting. As was remarked by the Head of the Bolivian delegation to the General Assembly of the OAS, /zthe Agenda was conceived as an expression of the political will of both countries to include the mari
37、time issue.【法院指出,列入13点议程的“海事问题”项目是一个主题事 项，其范围之广足以包括玻利维亚进入太平洋的主权问题。分钟的简短文本工作组关于海事 问题只指出，“b 0th代表团给简洁的报告讨论在这个问题上，他们已经在过去的几天里，同 意把这个问题考虑的人在他们的会议”。正如出席美洲国家组织大会的玻利维亚代表团团长 所说，“该议程被认为是两国将海洋问题包括在内的政治意愿的表现”。In the Courts view, the mere mention of the maritime issue does not give rise to an obligation for the
38、 Parties to negotiate generally and even less so with regard to the specific issue of Bolivias sovereign access to the Pacific Ocean.【法院认为，仅仅提到“海洋问题”并没有使当事各方 有义务进行一般性的谈判，甚至更没有义务就玻利维亚进入太平洋的主权问题进行谈判。】Conclusion of treaties条约的缔结3.1 NegotiationEvery State possesses capacity （缔约能力）to conclude treaties,【每
39、个国家都有缔结条约的能 力。】都取决于当事人的共同意志一般通过谈判方式。当事方应有能力进行缔结条约，无缔约权利的，签的条约无效。 国家有全部的权利进行缔约能力。国家需要派人去谈判，则需颁发证明。国家的地方行政单位，除非有国家授权认可，否则不具备缔约权利。Full powers （全权证书）代表有权代表国家进行谈判和缔结条约means a document designating a person to represent the State for negotiating, adopting or authenticating the text of a treaty, for express
40、ing the consent of the State to be bound by a treaty, or for accomplishing any other act with respect to a treaty .【指指定某人代表国家炎 判、通过或鉴定条约文本，表示国家同意受条约约束，或完成与条约有关的任何其他行为的文 件】a. In virtue of their functions and without having to produce full powers, the following are considered as representing their Sta
41、te- Heads of State, Heads of Government and Ministers for Foreign Affairs, heads of diplomatic missions, representatives accredited by States to an international conference.【下列国家的元首、政府首脑和外交部长、外交使团团长、各国派驻参 加国际会议的代表，由于它们的职能而不必产生全部权力，因此被认为是它们国家的代表。】 国家元首、行政首脑、外交部长一一所有都有权 使馆馆长（只能与驻在国的条约签订）国家派往国际会议/国际组织的
42、代表（只能在所在的会议/组织有权）3.2 Adoption of the text （议定约文）The adoption of the text of a treaty takes place by the consent of all the States participating in its drawing up except as provided in paragraph 2.【条约案文的通过，除第2款规定的情况夕卜,须 经参加条约起草工作的所有国家的同意】（全体一致）所有参会缔约国都要同意The adoption of the text of a treaty at an int
43、ernational conference takes place by the vote of two thirds of the States present and voting, unless by the same majority they shall decide to apply a different rule.【国际会议以出席并参加表决的国家三分之二的投票通过条约案文，除非 它们以同样多数决定适用不同的规则。】（多数一致）过2/3同意consensus （协商一致）无反对意见，一致通过3.3 Authentication of the text （认证约文）条约最后的文本，
44、不得变更The text of a treaty is established as authentic and definitive:条约的案文确定为具有权威性和权 威性：a. by such procedure as may be provided for in the text or agreed upon by the States participating in its drawing up; or【通过案文中可能规定的程序或参与拟订案文的国家商定的程 序;或】failing such procedure, by the signature （签署）,signature ad re
45、ferendum （待核准之签 署）or initialling （草签）（外国代表签姓氏的第一个字母，中国签姓）by the representatives of those States of the text of the treaty or of the Final Act of a conference incorporating the text.【如无此程序，则由这些国家的代表在条约案文或列入该案文的会议的最 后文件上签字、全民投票或草签。】认证约文之后只是说内容不再变更，但不代表国家直接受约束了，必须国家明确同意（签 署、交换、批准、接受、赞同等），条约才能对国家起约束作用Co
46、nsent to be bounded by treaty同意受条约约束The consent of a State to be bound by a treaty may be expressed by signature （签署）, exchange of instruments constituting a treaty （换文）,ratification （批准）,acceptance （接 受）,approval （赞同） or accession （力口入）,or by any other means if so agreed. （Art. 11）Often the treaty
47、will specify the method, and if it declares, the states will be bound upon thereto.【同意受条约的国家可能表达的签署，换文，批准，接受，赞同或加入，或通过其他方式如果是 同意了（条款11）。通常条约将规定方法，如果它声明，各国将受其约束。】Signature （签署）The consent of a State to be bound by a treaty is expressed by the signature when:a. the treaty provides that signature shall
48、 have that effect;条约明确规定签署具有此种效益it is otherwise established that the negotiating States were agreed that signature should have that effect; or另行协议约定签署具有此种效果b. the intention of the State to give that effect to the signature appears from the full powers of its representative or was expressed during th
49、e negotiation.全权证书中明确写明签署具有止匕 种效益【一个国家受条约约束的同意是在下列情况下签字表示的：a。条约规定，签字具有上述效力；b。另有规定，谈判国同意，签字应具有这种效力；或c。该国要使签字生效的意图似乎来 自其代表的全权或在谈判期间表示的。】一般为比较正式的活动。若条约还需批准、赞同等，则签署之后不能直接生效，签署只是认 证了约文Ratification （批准）缔约国的国内相关机构表示对条约的认可。国际重大条约。出于考虑：时间间隔给出考虑时 间、民众同意、是否与国内法冲突等。四种情况：条约明确规定批准表示同意；2另行协议/谈判过程中明确表示需要明确批准 （若表示需要批准，即使之