国际公法学习笔记Chapter X（2019.12）

1、国豕责任 TOC o 1-5 h z 1、简介1 HYPERLINK l bookmark0 o Current Document The nature of state responsibility国家责任的性质1 HYPERLINK l bookmark20 o Current Document subjective element- attributable to state主观因素可归责性2 HYPERLINK l bookmark22 o Current Document a. conduct of organs of a State国家机关的行为2 HYPERLINK l book

2、mark24 o Current Document c. Ultra vires acts （越权行为） 2 HYPERLINK l bookmark26 o Current Document ? overall control （总体控制） 3 HYPERLINK l bookmark28 o Current Document objective element- breach of international obligations客观因素3 HYPERLINK l bookmark30 o Current Document The question of fault （过错问题） 4 H

3、YPERLINK l bookmark32 o Current Document Circumstances precluding wrongfulness抖F除不法性的条件4 HYPERLINK l bookmark34 o Current Document Prior consent of the victim state 受害者国家的事先同意4 HYPERLINK l bookmark36 o Current Document Self-defence反措施4 HYPERLINK l bookmark38 o Current Document Countermeasures （反措施/对

4、抗措施） 5 HYPERLINK l bookmark40 o Current Document Gabcikovo-Nagymaros Project case,ICJ,19975 HYPERLINK l bookmark42 o Current Document Force majeure （不可抗力）6 HYPERLINK l bookmark44 o Current Document Distress （危难） 7 HYPERLINK l bookmark46 o Current Document Necessity （紧急情况）7 HYPERLINK l bookmark48 o C

5、urrent Document Gabcikovo-Nagymaros Project case,ICJ,19977 HYPERLINK l bookmark2 o Current Document Content of the International Responsibility10 HYPERLINK l bookmark4 o Current Document Cessation or non-repetition （停止和不重复） 10 HYPERLINK l bookmark6 o Current Document Reparation （赔偿损害）11 HYPERLINK l

6、bookmark8 o Current Document Restitution，恢复原状11 HYPERLINK l bookmark10 o Current Document Compensation补偿11 HYPERLINK l bookmark12 o Current Document satisfaction 满足/抵偿11 HYPERLINK l bookmark14 o Current Document Invocation of state responsibility 国家责任的援弓I12 HYPERLINK l bookmark16 o Current Document

7、Invocation by injured state （Art. 42）12 HYPERLINK l bookmark18 o Current Document Invocation by state other than injured state（Art. 48）121、简介国家对其国际不法行为所应承担的国际法律责任。可以纠正不法行为，树立正确规范，使 受害国家的利益得到补偿The international responsibility of a State which is entailed by an internationally wrongful act （国 际不法行为）.【

8、由国际不法行为引起的国家的国际责任】 second-order issues 次级事项关心的都是次级事项，次要规则。正常法律关系要考虑的是primary rule （权利义务），只 有构成权利义务的违反（权利义务是什么，是否有效，是否违反，都是条约法所要解释的 问题）才会考虑国家责任的问题（secondary rule）Draft Articles on Responsibility of States for Internationally Wrongful Acts, ILC, 2001【关于国家 对国际不法行为责任的条款草案，国际法委员会，2001年】法律渊源：习惯国际法规则，用责任保障

9、权利义务的实施和平衡。国际不法行为国家责任 条款草案，简称ARSIWA。非条约，但是大部分是对习惯国际法的编撰，国际法院经常援引1. The nature of state responsibility 国家责任的性质国家责任的核心要素：1、两国间存在有效的国际法律关系，条约是否有效，是否终止；2、have constituted a grave peril for the environment in the area, one would be bound to conclude that the peril was not imminent at the time at which Hu

10、ngary suspended and then abandoned the works relating to the dam.见上段The Court would stress, however, that, even supposing, as Hungary maintained, thatthe construction and operation of the dam would have created serious risks, Hungary had means available to it, other than the suspension and abandonme

11、nt of the works, of responding to that situation. It could likewise, if necessary, have supplied Budapest with drinking water by processing the river water in an appropriate manner.The two Parties expressly recognized that that possibility remained open even though - and this is not determinative of

12、 the state of necessity - the purification of the river water, like the other measures envisaged, clearly would have been a more costly technique.【然而，法院将强调，即使如匈牙利所坚持的那样，假定大坝的建设和运 营将产生严重的风险，匈牙利有办法，除了暂停和放弃工程，以应对这种情况如果有必 要，它也可以以适当的方式处理河水，向布达佩斯提供饮用水。双方明确承认，这种可能 性甚至仍然存在尽管这不是必然性状态的决定性因素净化河流的水，像其他措施 设想，显然会

13、有更多昂贵的技术。】The Court concludes from the foregoing that, with respect to both Nagymaros and Gabci kovo, the perils invoked by Hungary, without prejudging their possible gravity, were not sufficiently established in 1989, nor were they imminent; and that Hungary had available to it at that time means o

14、f responding to these perceived perils other than the suspension and abandonment of works with which it had been entrusted. What is more, negotiations were under way which might have led to a review of the Project and the extension of some of its time-limits, without there being need to abandon it.

15、The Court infers from this that the respect by Hungary, in 1989, of its obligations under the terms of the 1977 Treaty would not have resulted in a situation ucharacterized so aptly by the maxim summum jus summa injuria”. :去院从上 述情况得出结论，关于Nagymaros和GabE ikov。，风险由匈牙利、调用没有贸然预断其可能 的重力，在1989年没有充分建立，也没有“即

16、将”建立；这匈牙利当时向它提供了对这些所 认为的问题作出反应的手段除了中止和放弃工作以外的危险委托。更重要的是，谈判正在 进行，这可能会导致一个审查该项目和延长其某些时限，但没有这样做需要放弃它。法院 由此推断，匈牙利的尊重，在1989年，根据1977年条约的规定，它的义务将不会产生在这 种情况下，“summum jus summa ia”是最恰当的。】Content of the International ResponsibilityCessation or non-repetition （停止和不重复）停止不法行为（前提：一直持续的不法行为），必要情况下，给出不再重复的承诺和保障，为了给

17、出“信心”并非每个案件都必须承诺不重复Reparation （赔偿损害）最主要的原则：充分的赔偿，物质、精神等，最终目的是清楚不法行为造成的一切后果 基本形式（可单独或合并采取）【不能看书上的】：To make full reparation for the injury caused by the internationally wrongful act, includes any damage, whether material or moral, to wipe out all the consequences of the illegal actrestitution （恢复原状）co

18、mpensation （补偿）satisfaction （满足/抵偿）【对国际不法行为造成的损害作出充分赔偿，包括任何物质或道德上的损害，以消除所有 非法行为的后果】Restitution恢复原状恢复原状：恢复到不法行为前的情况前提条件：能够恢复原状，且不会导致不公平的结果（恢复原状得到的好处不能和恢复原状 的负担不成比例）Eg.炸船/杀人等就无法恢复；阿根廷和乌拉圭纸浆厂案（乌拉圭建造纸浆厂，违反条约，阿 根廷主张恢复原状，法院认为好处和负担不成比例，即违反程序义务，未违反实质义务）to re-establish the situation which existed before the

19、wrongful act was committed.conditionsrestitution is not materially impossible; anddoes not involve a burden out of all proportion to the benefit deriving from restitution instead of compensation.【1、重新建立违法行为发生前的情形提交。2、条件赔偿在物质上并非不可能；和所带来 的负担与所带来的利益不成比例吗赔偿而不是补偿。】Compensation补偿补偿：恢复原状不可行，进行物质补偿。在恢复原状之后进

20、行以符合公平市场价值为标准，也包括精神慰藉to cover any financially assessable damage including loss of profitsfair market value【1、赔偿任何经济上可评估的损失，包括利润损失；2、公平市场价 值】satisfaction 满足/抵偿抵偿/满足：非金钱的补偿，为造成人员/物质损害包括：官方道歉，惩处责任人员等不能对责任国进行侮辱relates to non-monetary compensation.means: official apologies, the punishment of guilty minor

21、 officials or the formal acknowledgement of the unlawful character of an actmay not take a form humiliating to the responsible State.【1、非货币性补偿。2、方式：正式道歉，处罚有过错的下级官员或正式对违法行为性质的承认3、不可以采取侮辱负责任国家的形式。】Invocation of state responsibility 国家责任的援弓IInvocation by injured state (Art. 42)涉外国际性；受害国有权援引，1、专门针对受害国的义

22、务被违反只有受害国有权援引2、对集体义务的违反，不是针对某个国家，而是多个国家/国际社会单独作为受害国，若受到特别的影响，则可以主张国家责任（公海污染，因潮汐特别影响个别国家）A state is entitled as an injured state to invoke the responsibility of another State if the obligation breached is owed to:that State individually; ora group of States including that State, or the international

23、community as a whole, and the breachof the obligation specially affects that State【一个国家有权作为受害国援引另一个国家的责任，如果违反的义务是由于：a.个别状态; 或b.包括该国在内的一组国家或整个国际社会，和违反的义务特别影响到那个国家】Invocation by state other than injured state (Art. 48)受害国之外的国家援引国家责任被违反的义务是针对国家集体/整个国际社会，则即使不是受害国也有权主张国家责任 对世义务：民族自决权；基本人权；(侵略、种族灭绝等)the o

24、bligation breached is owed to a group of States including that State, and is established for the protection of a collective interest of the group; orthe obligation breached is owed to the international community as a whole.“ an essential distinction should be drawn between the obligations of a State

25、 towards the international community as a whole, and those arising vis-a-vis another. By their very nature the former are the concern of all States. In view of the importance of the rights involved, all States can be held to have a legal interest in their protection; they are obligations erga omnes

26、(对世义务， 对切的义务). Barcelona Traction case (Belgium v. Spain), ICJ, 1970e.g. aggression, genocide, the principles and rules concerning the basic rights of thehuman person, including protection from slavery and racial discrimination, the rightof self-determination of peoplesa.所违反的义务是欠包括该国在内的一组国家的，而且是为保护集

27、团的集体利益而设 立；b或所违反的义务是欠整个国际社会的。“国家的义务之间应作出根本的区别对整个国际社会，以及相对于国际社会所产生的 影响另一个就其性质而言，前者是所有国家都关心的问题。针对权利的重要性涉及 到，所有国家都可以持有合法权益在他们的保护；他们是义务erga诸圣（对世义务，对一切 的义务）。巴塞罗那牵引案（比利时诉西班牙），国际法院，1970年例如：侵略、种族灭 绝、有关基本人权的原则和规则人，包括受保护免受奴役和种族歧视的权利民族自决】（核心）证明存在国际不法行为，是承担国家责任的前提条件：主观要素一一可归因性，客 观要素一一国际义务，违反国际法的行为；3、损害后果，必要的因果关

28、系the existence of an international legal obligation in force as between statesthe existence of internationally wrongful actsis attributable to the State under international law; andconstitutes a breach of an international obligation of the Stateloss or damage has resulted from the internationally wr

29、ongful actsao在国家之间有效的国际法律义务的存在；bo国际不法行为的存在（i）根据国际法属于国家；和 构成违反国家的国际义务；co国际不法行为造成的损失或损害】subjective element- attributable to state主观因素可归责性conduct of organs of a State国家机关的行为whether the organ exercises legislative, executive judicial or any other functionwhatever its character as an organ of the central

30、 government or of a territorial unit of the state.an organ includes any person or entity which has that status in accordance with the internal law of the State.【1、该机关是否行使立法、行政、司法或其他职能；2、不论它作为中央政府机关或国家领土单位 的性质如何。3、机关包括依照国家国内法具有这种地位的任何个人或实体。】 国家不必对国民的所有行为承担责任，只有国家与实际行为人存在联系。什么样的人，做了什么事才可归因。纯粹的私人行为，国家不

31、需要承担责任。联系的表现：1、国家机关的行为，国家一般要对其承担责任。未规定是什么机关，不论什么 机关，国家都应承担责任；不论是中央政府还是地方单位，国家都应承担责任，不论级别。（是否为国家机关的判断根据一国国内法判断）。可以是机关内的工作人员，人也算代表 （警察上班时算机关行为，度假时就是纯粹的私人行为了）； 2、不是国家机关的机构/人， 国家根据立法授权其进行某些行为，则在授权范围内也算国家行为conduct of persons or entities empowered to exercise elements of governmental authority【有权行使政府权力的个人

32、或实体的行为】Ultra vires acts （越权行为）The conduct shall be considered an act of the State under international law if the organ, person or entity acts in that capacity, even if it exceeds its authority or contravenes instructions.【如果 机关、个人或实体以这种身份行事，即使它超越其权限或违背指令。】超越权限/违背职责，只要是在职责范围内行事，则其行为仍要归因到国家，保障国家对这些 人的

33、监督和管理conduct of organs placed at the disposal of a State by another State【由另一国家交付使用的机 关的行为】一国由另外一国支配的行为，（eg英国枢密院是部分英联邦国家的司法机关）则视为支配国 的行为conduct of an insurrectional （叛乱团体）or other movement【起义或其他运动的进行】 叛乱团体：反政府活动等。叛乱团体所针对的现有政府不用为叛乱团体行为承担责任，但有 例外：1、叛乱团体成为政府了/建立了新的国家，则应对取得政权之前的行为承担责任 （1979年伊朗的伊斯兰革命运动，成

34、功，建立新政权，则对此前革命时的行为承担责任）The conduct of an insurrectional movement which becomes the new Government of a State shall be considered an act of that State under international law.The conduct of a movement, insurrectional or other, which succeeds in establishing a new State in part of the territory of a p

35、re-existing State or in a territory under its administration shall be considered an act of the new State under international law.【1、叛乱运动的进行成为一个国家的新政府，应被视为该国根据国际法采取的行动。2、 在已有国家的部分领土上或在其管理的领土上成功地建立新国家的运动、叛乱或其他行 为，应被视为新国家根据国际法采取的行动。】conduct of a person or group of persons shall not be attributable to S

36、tate, except: 一个人或一 群人的行为不应归因于国家，但下列情形除外：】特殊情况，原则上私人行为不算国家行为，例外：1、行为是根据国家指示或者是在国家控制之下进行的（EG.尼加拉瓜反叛军，美国支持的， 则其屠杀平民等行为可否归因到美国？必须证明美国对其进行有效控制一一如果没有控制 就不会发生行为，才为有效，若没有控制也会发生，则不算有效控制。后来有“主体控 制”，但国际法院不认同）2、证实当局不存在/缺席状态，。可以视为国家行为3、国家承认/支持私人行为conduct on the instructions of, or under the direction or control

37、 of State“it would in principle have to be proved that that state had effective control of the military or paramilitary operation in the course of which the alleged violations were committed.,z （Nicaragua case, ICJ, 1986）? overall control （总体控制）conduct carried out in the absence or default of the of

38、ficial authoritiesconduct acknowledged and adopted by a State as its own【1、在国家的指示下或在国家的指挥或控制下进行的行为，.原则上必须证明该国有效地控制了 军事或准军事行动，在这一过程中发生了所指控的侵犯行为（尼加拉瓜案件，国际法院，1986年） 吗？总体控制（总体控制）；2、在没有或没有官方授权的情况下进行的行为；3、国家承认并采纳的行 为】objective element- breach of international obligations客观因素actions （作为）（不应做却做了）or omission

39、s （不作为）不作为（有义务做却不做）The characterization of an act of a State as internationally wrongful is governed by international law. Such characterization is not affected by the characterization ofthe same act as lawful by internal law.根据国际法判断是否为不法行为，符合国内法不管用regardless of its origin or character （treaty or cu

40、stom）不考虑义务的来源，无论是条约还是 习惯，只要违反义务都算【1、行动或遗漏；2、将一国行为定性为国际不法行为是受国际法管辖的。这种定性不受国内法对同一行为定性为合法的影响。3、不论其起源或性质（条约或习俗）】? serious breaches of obligations under peremptory norms of general international lawstates shall cooperate to bring to an end through lawful means any serious breach;所有 国家都有义务终止违法行为no State s

41、hall recognize as lawful a situation created by a serious breach nor render aid or assistance in maintaining that situation不得协助/援助【？严重违反一般国际法强制性规范所规定的义务。1、各国应进行合作，通过合法手段终止任何严 重违约行为；2、任何国家不得承认因严重违反行为而造成的情况是合法的，也不得帮助或协助维持 这种情况】The question of fault （过错问题）principle of objective responsibility （客观责任）客观责

42、任原则irrespective of good or bad faith不考虑主观因素，只要发生客观结果，就要承担责任principle of subjective responsibility （主观责任）element of intentional （故意）or negligent （过失）conduct若不存在故意或过失则不用 承担责任。国际条款草案未明确规定，但多数倾向于客观责任原则Circumstances precluding wrongfulness排除不法性的条件Prior consent of the victim state 受害者国家的事先同意lawful governm

43、entvoluntarynot violation of jus cogensthe act remains within the limits of that consent before the commission of the act【1、合法的政府；2、自愿的。3、没有违反绝对法；4、本法仍在本法施行前该同意的范围内】 排除不法性的情形，即使违法，也不承担责任：适用条件一一1、受害国的同意，（EG一国同意其他国家派遣军队帮忙管理，如索马里海盗）。严格条 件：一国合法政府同意；必须是自愿做出的；同意涉及的事项不得违反国际强行法；涉及的 行为必须是在同意的范围内2、自卫（联合国宪章第51

44、条）SHf-defence反措施如果不法行为是针对其他国的不法行为进行的反措施，则该不法行为的不法性可以被排除。 采取反措施的必须是受害国；针对的是在先的不法行为；反措施应与遭受的损害相称，要成比例（子弹VS原子弹），不得违反武力与武力相威胁的原 则外交、领事代表的不可侵犯性反措施的目的是促使不法国家停止不法行为，而不是惩罚Countermeasures (反措施/对抗措施)victim statea prior wrongful actproportionalityobligations not affected by countermeasuresrefrain from the thre

45、at or use of force;protection of fundamental human rights;Hi. jus cogensiv. respect the inviolability of diplomatic or consular agents, premises, archives and documents.ao受害者的状态；bo先前的错误行为；c.比例；do不受反措施影响的义务1、避免以武力 相威胁或使用武力；2、保护基本人权;3、强制法；4、尊重外交领事机关、场所、档案和文件的不可 侵犯性。】Gab出kovo-Nagvmaros Project case JCJ

46、, 1997Facts:16.09.197730.06.1977197813.05.198921.07.198927.10.198923.07.199111. 199119.05.19921977 Treaty signature1977 Treaty entered into force Work statedHungary: suspended the works at NagymarosHungary: suspended the worksHungary: abandon the worksSlovak: provisional solution (Variant C)Slovak:

47、work on Variant C beganHungary: terminated 1977 TreatyQuestion:The Court has concluded that Czechoslovakia committed an internationally wrongful act in putting Variant C into operation.Thus, it now has to determine whether such wrongfulness may be precluded on the ground that the measure so adopted

48、was in response to Hungarys prior failure to comply with its obligations under international law?【法院的结论是，捷克斯洛伐克将变式C投入使用是犯了一项国际不法行为。因 此，它现在必须确定是否可以排除这种不法行为，理由是所采取的措施是对匈牙利先前未能遵守其根 据国际法承担的义务作出的反应。】In order to be justifiable, a countermeasure must meet certain conditions. In the first place it must be t

49、aken in response to a previous international wrongful act of another State and must be directed against that State. Although not primarily presented as a countermeasure, it is clear that Variant C was a response to Hungarys suspension and abandonment of works and that it was directed against that St

50、ate; and it is equally clear, in the Courts view, that Hungarys actions were internationally wrongful.【对策要具有正当性，必须具备一定的条件。首先，它必须是对另一个国家以前的国际不法行为的反应，必须是针对该国的。虽然不是主要作为一种对策提 出，但显然变式C是对匈牙利暂停和放弃工作的反应，是针对该国的；同样明显的是，在法 院看来，匈牙利的行为在国际上是错误的。】Secondly, the injured State must have called upon the State committi

51、ng the wrongful act to discontinue its wrongful conduct or to make reparation for it. It is clear from the facts of the case, as recalled above by the Court, that Czechoslovakia requested Hungary to resume the performance of its treaty obligations on many occasions.第二，受害 国必须要求作出错误行 为的国家停止其错误行为或对其作出赔

52、偿。根据上述法院所回顾的案件事实，很明显，捷 克斯洛伐克曾多次要求匈牙利恢复履行其条约义务】In the view of the Court, an important consideration is that the effects of a countermeasure must be commensurate with the injury suffered, taking account of the rights in question. Modern development of international law has strengthened this principle

53、for non-navigational uses of international watercourses as well, as evidenced by the adoption of the Convention of 21 May 1997 on the Law of the Non-Navigational Uses of International Watercourses by the United Nations General Assembly.【法院认为，一项重要的考虑是，一项反措施的效果必须与所受 的损害相称，同时考虑到有关的权利。现代国际法的发展加强了这一原则为非航

54、行利用国 际水道，就是明证公约的收养法律的1997年5月21 EJ国际水道的非航行利用联合国大会】The Court considers that Czechoslovakia, by unilaterally assuming control of a shared resource, and thereby depriving Hungary of its right to an equitable and reasonable share of the natural resources of the Danube - with the continuing effects of the

55、 diversion of these waters on the ecology of the riparian area of the Szigetkoz - failed to respect the proportionality which is required by international law. The Court thus considers that the diversion of the Danube carried out by Czechoslovakia was not a lawful countermeasure because it was not p

56、roportionate.【法 院认为，捷克斯洛伐克，单方面假设一个共享资源的控制权，从而剥夺了匈牙利的一个公平 和合理共享自然资源的多瑙河这些水域的转移的持续影响河岸的生态区域的 Szigetkoz未能尊重国际法要求的比例。因此，法院认为捷克斯洛伐克将多瑙河改道 不是一项合法的对策，因为它不相称。】4.4 Force majeure （不可抗力）不可抗拒的，无力控制的，没有办法预见的，导致实际不能履行。事实上已经完全没有可 能性的证明是非自愿的。若只是履行困难，但不是不能履行，也不可主张不可抗力 a. an irresistible force or an unforeseen eventb

57、eyond the control of the Statemaking it materially impossible in the circumstances to perform the obligationao不可抗拒的力量或不可预见的事件b。不受国家控制c。使其在物质上无法履行义务】Distress （危难）遭遇极端危险的情况下，为挽救生命，只能违反义务都是客观因素，但明确知道自己会违反，出于维护利益必须证明危难不是主张国造成的，不能造成更大的损害（保我不受伤，要你命）The author of the act has no other reasonable way of savi

58、ng the author/s life or the lives of other persons entrusted to the authors care.The situation of distress is not due to the conduct of the State invoking it.The act in question is not likely to create a comparable or greater peril.【a行为人没有其他合理的方法挽救行为人的生命或者其他由行为人照顾的人的生命。bo危难的情 况并不是由于援引它的国家的行为造成的。Co上述

59、行为不太可能造成类似或更大的危险。】Necessity （紧急情况）不取决于加害国的行为，不要求对方行为具有不法性，不存在非自愿因素，可以自己选 择，危难涉及个人危险，紧急情况涉及国家安全。适用条件：1、为了保护对该国来说至关重要的基本利益（经济利益不算，环境危险算）； 2、采取的不法行为是唯一的方法，不存在其他替代性方案；3、证明应对的是严重的或迫 切的危险；4、危机情况不得是自己造成；5、不得对他国造成危害；6、成功案例：托利凯尼亚号a. The only way for the State to safeguard an essential interest against a grav

60、e and imminent peril.b.The State has not contributed to the situation of necessity.Shall not seriously impair an essential interest of the State or States towards which the obligation exists, or of the international community as a whole.c. The international obligation in question does not exclude th