1、国际法国际法第五章 国家责任State Responsibility第一节 概述 一、国家责任的性质 二、国家责任理论的发展和演变 The treatment of aliens Primary and secondary rules Crimes Delicts International wrongful act Serious breaches of obligations to the international community as a whole 三、国际法委员会的编纂工作2001年年国家对国际不法行为的责任条款草案国家对国际不法行为的责任条款草案The treament of
2、 aliensThe minimum international standardThe calvo clauseLegal principle,applicable in international disputes,that aliens have no more rights than the citizens of a sovereign state.Therefore,such disputes lie within the purview of the domestic laws and only the courts in the host country have the ju
3、risdiction to hear the case.This doctrine is an integral part of many national constitutions and treaties(specially in Latin America)and forms the basis of Calvo clause.Named after the Argentine diplomat and historian Carlos Calvo(1824-1906)who propounded it in his 1868 book Derecho internacional te
4、rico y prctico de Europa y Amrica.See also Monroe doctrine.Secondary rulesPrimary rulesa.on what conditions a breach of a“primary rule”may be held to have occurredb.the legal consequences of this breachcustomary or treaty rules laying down substantive obligations for StatesArticle 19(the first readi
5、ng in 1996)International crimes and international delicts 1.An act of a State which constitutes a breach of an international obligation is an internationally wrongful act,regardless of the subject-matter of the obligation breached.2.An internationally wrongful act which results from the breach by a
6、State of an international obligation so essential for the protection of fundamental interests of the international community that its breach is recognized as a crime by the community as a whole constitutes an international crime.3.Subject to paragraph 2,and on the basis of the rules of international
7、 law in force,an international crime may result,inter alia,from:(a)a serious breach of an international obligation of essential importance for the maintenance of international peace and security,such as that prohibiting aggression;(b)a serious breach of an international obligation of essential impor
8、tance for safeguarding the right of self-determination of peoples,such as that prohibiting the establishment or maintenance by force of colonial domination;(c)a serious breach on a widespread scale of an international obligation of essential importance for safeguarding the human being,such as those
9、prohibiting slavery,genocide and apartheid;(d)a serious breach of an international obligation of essential importance for the safeguarding and preservation of the human environment,such as those prohibiting massive pollution of the atmosphere or of the seas.4.Any internationally wrongful act which i
10、s not an international crime in accordance with paragraph 2 constitutes an international delict.Internatinal crimes?Erga omnes?Jus cogens(peremptory rules)?most serious breaches of international obligation?Erga omnesThe ICJs decision in the Barcelona Traction case(Belgium v Spain)(Second Phase)ICJ R
11、ep 1970 3 at paragraph 33:“an essential distinction should be drawn between the obligations of a State towards the international community as a whole,and those arising vis-vis another State in the field of diplomatic protection.By their very nature,the former are the concern of all States.In view of
12、 the importance of the rights involved,all States can be held to have a legal interest in their protection;they are obligations erga omnes.Such obligations derive,for example,in contemporary international law,from the outlawing of acts of aggression,and of genocide,as also from the principles and ru
13、les concerning the basic rights of the human person,including protection from slavery and racial discrimination.Some of the corresponding rights of protection have entered into the body of general international law.others are conferred by international instruments of a universal or quasi-universal c
14、haracter.Article 53 treaties conflicting with a peremptory norm of general international law(“jus cogens”).For the purpose of the present Convention,a peremptory norm of general international law is a norm accepted and recognized by the international community of a state as a whole as a norm from wh
15、ich no deragation is permitted and which can be modified only by a subsequent norm of general international law having the same character.Chapter III Serious breaches of obligations under peremptory norms of general international law Article 40 Application of this chapter 1.This chapter applies to t
16、he international responsibility which is entailed by a serious breach by a State of an obligation arising under a peremptory norm of general international law.2.A breach of such an obligation is serious if it involves a gross or systematic failure by the responsible State to fulfil the obligation.Th
17、e typology of State responsibilityThe typology of State responsibility Rainbow Warrior case:The general principles of international law concerning state responsibility are equally applicable in the case of breach of treaty obligation,since in the international law field there is no distinction betwe
18、en contractual and tortious responsibility,so that any violation of a state of any obligation,of whatever origin gives rise to state responsibility.Ordinary State responsibility Aggravated State responsibility Synallagmatic obiligationsCommunity obiligationsprivatepublicReciprocal interests of state
19、 Community interest第二节 国家责任的构成要件 一、国际法上的不法行为第2条一国国际不法行为的要素一国国际不法行为在下列情况下发生:(a)由作为或不作为构成的行为依国际法归于该国;并且(b)该行为构成对该国国际义务的违背。There is an internationally wrongful act of a State when conduct consisting of an action or omission:(a)Is attributable to the State under international law;and (b)Constitutes a br
20、each of an international obligation of the State.第二节 国家责任的构成要件 二、国际不法行为的归责性 第3条把一国的行为定性为国际不法行为 在把一国的行为定性为国际不法行为时须遵守国际法。这种定性不因国内法把同一行为定性为合法行为而受到影响。三、国家行为的内容 条款草案（第4-11条）第4条 一国的机关的行为 1任何国家机关，不论行使立法、行政、司法职能，还是任何其他职能，不论在国家组织中具有何种地位，也不论作为该国中央政府机关或一领土单位机关而具有何种特性，其行为应视为国际法所指的国家行为。2.机关包括依该国国内法具有此种地位的任何个人或实体
21、。三、国家行为的内容第5条行使政府权力要素的个人或实体的行为 虽非第4条所指的国家机关但经该国法律授权而行使政府权力要素的个人或实体，其行为应视为国际法所指的国家行为，但以该个人或实体在特定情况下以此种资格行事者为限。三、国家行为的内容第6条由另一国交由一国支配的机关的行为 由另一国交由一国支配的机关，若为行使支配该机关的国家权力要素而行事，其行为依国际法应视为支配该机关的国家的行为。三、国家行为的内容第7条逾越权限或违背指示 国家机关或经授权行使政府权力要素的个人或实体，若以此种资格行事，即便逾越权限或违背指示，其行为仍应视为国际法所指的国家行为。三、国家行为的内容第8条受到国家指挥或控制的
22、行为 如果一人或一群人实际上是在按照国家的指示或在其指挥或控制下行事，其行为应视为国际法所指的一国的行为。三、国家行为的内容第9条正式当局不存在或缺席时实施的行为 如果一人或一群人在正式当局不存在或缺席和在需要行使上述权力要素的情况下实际上正在行使政府权力要素，其行为应视为国际法所指的一国的行为。三、国家行为的内容 第10条叛乱运动或其他运动的行为 1.成为一国新政府的叛乱运动的行为应视为国际法所指的该国的行为。2.在一个先已存在的国家的一部分领土或其管理下的某一领土内组成一个新的国家的叛乱运动或其他运动的行为，依国际法应视为该新国家的行为。3.本条不妨碍把不论以何种方式涉及有关运动的、按照第
23、4条至第9条的规定应视为该国行为的任何行为归于该国。三、国家行为的内容第 11 条经一国确认并当作其本身行为的行为 按照前述各条款不归于一国的行为，在并且只在该国承认和当作其本身行为的行为的情况下，依国际法应视为该国的行为。第三节 国家责任的免除 解除行为不法性的情况circumstances precluding wrongfulness 同意 自卫 反措施：对应性和相称性 不可抗力 危难 紧急状态第四节 国家责任的形式 继续履约（continued duty of performance）停止不法行为和保证不重复（cessation of wrongful act and non-repe
24、tition）赔偿(reparation)：恢复原状(restitution)补偿(compensation)抵偿(satisfaction)：承认不法行为(acknowledgement of the breach)表示遗憾(an expression of regret)正式道歉(a formal apology)其它合适方式(another appropriate modality)Continued duty of performance Cessation and non-repetition Reparation Reparation Restitution Compensation Satisfaction 第五节 国家责任制度产生的新问题第五节 国家责任制度产生的新问题
