CCPR

CCPR

General Comment No 33

第33号一般性意见

The Obligations of States Parties under the Optional Protocol to the International Covenant on Civil and Political Rights

缔约国在《公民权利和政治权利国际公约任择议定书》下的义务

Ninety-fourth session (2008)

第九十四届会议(2008年)

Document CCPR/C/GC/33

Document CCPR/C/GC/33

1. The Optional Protocol to the International Covenant on Civil and Political Rights was adopted and opened for signature, ratification and accession by the same act of the General Assembly, resolution 2200 A (XXI) of 16 December 1966, by which the Covenant itself was adopted.

1. 《公民权利和政治权利国际公约任择议定书》由联合国大会1966年12月16日第2200A(XXI)号决议通过并开放供签字、批准和加入，《公约》本身亦是由同一项决议通过的。

Both the Covenant and the Optional Protocol entered into force on 23 March 1976.

《公约》和《任择议定书》均于1976年3月23日生效。

2. Although the Optional Protocol is organically related to the Covenant, it is not automatically in force for all States parties to the Covenant.

2. 虽然《任择议定书》有机地与《公约》相关，但它不对《公约》的所有缔约国自动生效。

Article 8 of the Optional Protocol provides that States parties to the Covenant may become parties to the Optional Protocol only by a separate expression of consent to be bound.

《任择议定书》第八条规定，《公约》的缔约国只能通过另行表示同意接受约束方可成为《任择议定书》的缔约方。

A majority of States parties to the Covenant have also become parties to the Optional Protocol.

大多数《公约》缔约国亦已成为《任择议定书》的缔约方。

3. The preamble to the Optional Protocol states that its purpose is “further to achieve the purposes” of the Covenant by enabling the Human Rights Committee, established in Part IV of the Covenant, “to receive and consider, as provided in the present Protocol, communications from individuals claiming to be victims of violations of any of the rights set forth in the Covenant”.

3. 《任择议定书》的序言指出，其目的是为了“进一步达成”《公约》的：“目标”，授权《公约》第四部分所设的人权事务委员会“依照本议定书所定办法，接受并审查个人声称因公约所载任何权利遭受侵害而为受害人的来文”。

The Optional Protocol sets out a procedure, and imposes obligations on States parties to the Optional Protocol arising out of that procedure, in addition to their obligations under the Covenant.

《任择议定书》规定了一项程序并为《任择议定书》缔约国规定了除其在《公约》下的义务之外由于此项程序而产生的义务。

4. Article 1 of the Optional Protocol provides that a State party to the Optional Protocol “recognizes the competence of the Committee to receive and consider communications from individuals subject to its jurisdiction who claim to be victims of a violation by that State party of any of the rights set forth in the Covenant”.

4. 《任择议定书》第一条规定，《任择议定书》的缔约国“承认委员会有权接受并审查该国管辖下的个人声称为该缔约国侵害公约所载任何权利的受害者的来文”。

It follows that States parties are obliged not to hinder access to the Committee and must prevent any retaliatory measures against any person who has submitted a communication to the Committee.

因此，缔约国有义务不妨碍个人诉诸委员会，而且必须防止针对任何已向委员会提交来文者采取的报复措施。

5. Article 2 of the Optional Protocol requires that individuals who submit communications to the Committee must have exhausted all available domestic remedies.

5. 《任择议定书》第二条要求，向委员会提交来文的个人必须已用尽所有可以运用的国内补救办法。

In its response to a communication, a State party, where it considers that this condition has not been met, should specify the available and effective remedies that the author of the communication has failed to exhaust.

在对一份来文作出回应时，缔约国如认为来文未满足该项条件，则应说明来文提交人未用尽的可以运用的有效补救办法。

6. Although not a term found in the Optional Protocol or the Covenant, the Human Rights Committee uses the description “author” to refer to an individual who has submitted a communication to the Committee under the Optional Protocol.

6. 虽然在《任择议定书》或《公约》中均未使用“提交人”一词，人权事务委员会使用该词指依据《任择议定书》向委员会提交来文的个人。

The Committee uses the term “communication” contained in article 1 of the Optional Protocol instead of terms such as “complaint” or “petition”, although the latter term is reflected in the current administrative structure of the Office of the High Commissioner for Human Rights, where communications under the Optional Protocol are initially handled by a section known as the Petitions Team.

委员会使用《任择议定书》第一条所载的“来文”一词而不使用诸如“申诉”或“请愿书”等用语――虽然“请愿书”用语在人权事务高级专员办事处的目前行政结构有其对应，在该办事处根据《任择议定书》提交的来文最初是由被称为“请愿书小组”处理的。

7. Terminology similarly reflects the nature of the role of the Human Rights Committee in receiving and considering a communication.

7. 术语同样反映了人权事务委员会在接受和审查来文方面所起作用的性质。

Subject to the communication being found admissible, after considering the communication in the light of all written information made available to it by the individual and by the State party concerned, “the Committee shall forward its views to the State party concerned and to the individual”. {§1}

在来文可予受理的情况下，在根据个人和所涉缔约国向其提供的全部书面资料审查来文之后，“委员会应向所涉缔约国及该个人提出其意见”。 {§1}

8. The first obligation of a State party against which a claim has been made by an individual under the Optional Protocol is to respond to the communication within the time limit of six months set out in article 4, paragraph 2.

8. 个人根据《任择议定书》提交诉求所针对的缔约国的第一项义务是，在第四条第2款所规定的六个月的时限内对来文作出回应。

Within that time limit, “the receiving State shall submit to the Committee written explanations or statements clarifying the matter and the remedy, if any, that may have been taken by that State”.

在这一时限内，“收到通知的国家应书面向委员会提出解释或声明，说明原委，如该国业已采取救济办法，则亦应一并说明”。

The Committee’s rules of procedure amplify these provisions, including the possibility in exceptional cases of treating separately questions of the admissibility and merits of the communication. {§2}

该委员会的议事规则扩充了这些规定，其中包括在特殊情况下单独处理来文的可否受理与理据问题的可能性。{§2}

9. In responding to a communication that appears to relate to a matter arising before the entry into force of the Optional Protocol for the State party (the ratione temporis rule), the State party should invoke that circumstance explicitly, including any comment on the possible “continuing effect” of a past violation.

9. 在回应似与《任择议定书》对该缔约国生效前的事项相关的来文时(属时理由规则)，该缔约国应明确援引这种情况，包括就过去的侵权行为可能存在的“持续影响”作出任何评论。

10. In the experience of the Committee, States do not always respect their obligation.

10. 从委员会的经验来看，国家并不总是尊重它们的义务。

In failing to respond to a communication, or responding incompletely, a State which is the object of a communication puts itself at a disadvantage, because the Committee is then compelled to consider the communication in the absence of full information relating to the communication.

如不对来文作出回应，或作出不全面的反应，来文所针对的缔约国就会使自己处于不利的地位，因为委员会就会被迫在没有关于来文的充分信息的情况下审查来文。

In such circumstances, the Committee may conclude that the allegations contained in the communication are true, if they appear from all the circumstances to be substantiated.

在这种情况下，委员会可能得出结论认为来文所载的指控是真实的――如果这些指控从所有情节看来证据充足。

11. While the function of the Human Rights Committee in considering individual communications is not, as such, that of a judicial body, the Views issued by the Committee under the Optional Protocol exhibit some of the principal characteristics of a judicial decision.

11. 虽然人权事务委员会在审查个人来文时的职能，就其本身而言，并非司法机构之职能，但委员会根据《任择议定书》发表的《意见》呈现一项司法决定所具有的某些主要特点。

They are arrived at in a judicial spirit, including the impartiality and independence of Committee members, the considered interpretation of the language of the Covenant, and the determinative character of the decisions.

这些《意见》是本着司法精神达成的，其中包括委员会成员的不偏倚性和独立性、对《公约》语文的慎重解释以及决定的终决性质。

12. The term used in article 5, paragraph 4, of the Optional Protocol to describe the decisions of the Committee is “Views”. {§3}

12. 《任择议定书》第五条第4款所使用的用来描述委员会决定的词语是“意见”。 {§3}

These decisions state the Committee’s findings on the violations alleged by the author of a communication and, where a violation has been found, state a remedy for that violation.

这些决定陈述委员会就来文提交人所指侵权情况得出的结论，如认定有侵权情况，则为此侵权情况指明补救办法。

13. The Views of the Committee under the Optional Protocol represent an authoritative determination by the organ established under the Covenant itself charged with the interpretation of that instrument.

13. 委员会依据《任择议定书》通过的《意见》是根据《公约》本身设立的、负责解释该文书的机构的权威性裁决。

These Views derive their character, and the importance which attaches to them, from the integral role of the Committee under both the Covenant and the Optional Protocol.

这些《意见》的性质以及赋予它们的重要性，是从委员会在《公约》和《任择议定书》下发挥的内在作用中产生的。

14. Under article 2, paragraph 3 (a), of the Covenant, each State party undertakes “to ensure that any person whose rights or freedoms as herein recognized are violated shall have an effective remedy, notwithstanding that the violation has been committed by persons acting in an official capacity”.

14. 《公约》第二条第3款(甲)项规定，每一缔约国承担“保证任何一个被侵犯了本盟约所承认的权利或自由的人，能得到有效的补救，尽管此种侵犯是以官方资格行事的人所为”。

This constitutes the basis of the wording consistently used by the Committee in issuing its Views in cases where a violation has been found:

这是委员会在认定有侵权的案件中发表《意见》时一贯使用的措辞之基础：

“In accordance with article 2, paragraph 3 (a), of the Covenant, the State party is required to provide the author with an effective remedy.

“根据《公约》第二条第3款(甲)项，缔约国有义务为提交人提供有效的补救措施。

By becoming a party to the Optional Protocol the State party has recognized the competence of the Committee to determine whether there has been a violation of the Covenant or not and that, pursuant to article 2 of the Covenant, the State party has undertaken to ensure to all individuals within its territory or subject to its jurisdiction the rights recognized in the Covenant and to provide an effective and enforceable remedy in case a violation has been established. In this respect, the Committee wishes to receive from the State party, within 180 days, information about the measures taken to give effect to the Committee’s Views.”

由于成为《任择议定书》的缔约方，缔约国已承认了委员会有权能裁定是否有违反《公约》的情况；而且，根据《公约》第二条，缔约国已承诺确保在其领土上的或受其管辖的所有人享有《公约》承认的权利并承诺在确认存在违约的情况下，提供有效且可强制执行的补救措施；在这方面，委员会希望在180天内得到缔约国为落实《委员会意见》所采取的措施方面的信息。 ”

15. The character of the Views of the Committee is further determined by the obligation of States parties to act in good faith, both in their participation in the procedure under the Optional Protocol and in relation to the Covenant itself.

15. 《委员会意见》的性质亦是由缔约国有义务在参与《任择议定书》下的程序方面和在《公约》本身方面诚意履行所进一步决定的。

A duty to cooperate with the Committee arises from an application of the principle of good faith to the observance of all treaty obligations. {§4}

与委员会合作的义务是从适用诚意履行所有条约义务的原则所产生的。 {§4}

16. The Committee decided, in 1997, under its rules of procedure, to appoint a member of the Committee as Special Rapporteur for follow-up on Views. {§5}

16. 1997年，委员会根据其议事规则决定任命一名委员会成员担任特别报告员，负责《意见》的后续行动问题。{§5}

That member, through written representations, and frequently also through personal meetings with diplomatic representatives of the State party concerned, urges compliance with the Committee’s Views and discusses factors that may be impeding their implementation.

通过书面交涉、也经常通过与有关缔约国外交代表进行个人会晤的方式，该名成员敦促遵守《委员会的意见》并讨论可能会阻碍执行的因素。

In a number of cases, this procedure has led to acceptance and implementation of the Committee’s Views where previously the transmission of those Views had met with no response.

在一些案件中，这一程序促成了《委员会的意见》的接受和执行，而以前这些《意见》的转呈未得到任何反应。

17. It is to be noted that failure by a State party to implement the Views of the Committee in a given case becomes a matter of public record through the publication of the Committee’s decisions, inter alia, in its annual reports to the General Assembly.

17. 应注意的是，通过在向大会提交的委员会的年度报告等场合中公布委员会的决定，缔约国不执行某一案件中的《委员会的意见》就成为公开记录之事件。

18. Some States parties, to which the Views of the Committee have been transmitted in relation to communications concerning them, have failed to accept the Committee’s Views, in whole or in part, or have attempted to reopen the case.

18. 有些缔约国，已向其转呈关于这些国家来文的《委员会的意见》，未能全部或部分接受《委员会的意见》或试图重审案件。

In a number of those cases, these responses have been made where the State party took no part in the procedure, having not carried out its obligation to respond to communications under article 4, paragraph 2, of the Optional Protocol.

在一些此类案件中，这些回应是在缔约国未参加上述程序、未履行它在《任择议定书》第四条第2款下的答复来文的义务的情况下作出的。

In other cases, rejection of the Committee’s Views, in whole or in part, has come after the State party has participated in the procedure and where its arguments have been fully considered by the Committee.

在其他案件中，全部或部分地拒绝《委员会的意见》的反应，是在缔约国参加了上述程序、其论点已被委员会充分考虑的情况下作出的。

In all such cases, the Committee regards dialogue between the Committee and the State party as ongoing with a view to implementation.

在所有这些案件中，委员会将其与缔约国之间的对话视为着眼于执行的持续性对话。

The Special Rapporteur for follow-up on Views conducts this dialogue, and regularly reports on progress to the Committee.

负责《意见》的后续行动问题的特别报告员开展这一对话并定期向委员会报告进展情况。

19. Measures may be requested by an author, or decided by the Committee on its own initiative, when an action taken or threatened by the State party would appear likely to cause irreparable harm to the author or the victim unless withdrawn or suspended pending full consideration of the communication by the Committee.

19. 除非在委员会充分审查来文前撤销或暂停缔约国采取的或威胁的一项看来可能会对提交人或受害者造成无可补救伤害的行动的情况下，提交人可能会要求采取一些措施，或者委员会可能主动决定一些措施。

Examples include the imposition of the death penalty and violation of the duty of non-refoulement.

实例包括施加死刑和违反不驱回义务。

In order to be in a position to meet these needs under the Optional Protocol, the Committee established, under its rules of procedure, a procedure to request interim or provisional measures of protection in appropriate cases. {§6}

为能够满足《任择议定书》下的这些需要，委员会根据其议事规则设立了一项程序，要求在适当情况下采取临时或暂时保护措施。{§6}

Failure to implement such interim or provisional measures is incompatible with the obligation to respect in good faith the procedure of individual communication established under the Optional Protocol.

不执行此类临时或暂时措施，与诚意尊重根据《任择议定书》设立的有关个人来文的程序之义务是不相符合的。

20. Most States do not have specific enabling legislation to receive the Views of the Committee into their domestic legal order.

20. 大多数国家没有具体的立法授权将《委员会的意见》纳入其国内法律秩序。

The domestic law of some States parties does, however, provide for the payment of compensation to the victims of violations of human rights as found by international organs.

然而，某些缔约国的国内法的确规定了向国际机构认定的侵犯人权行为的受害者支付赔偿。

In any case, States parties must use whatever means lie within their power in order to give effect to the Views issued by the Committee.

无论如何，缔约国必须使用其权限范围内的一切手段落实委员会发表的《意见》。

Notes

注

{§1} Art. 5, para. 4, of the Optional Protocol.

{§1} 《任择议定书》第五条第4款。

{§2} Rule 97, para. 2, of the rules of procedure of the Human Rights Committee (CCPR/C/3/Rev.8).

{§2} 人权事务委员会议事规则第97条第2段，CCPR/C/3/Rev.8，2005年9月22日。

{§3} In French, the term is “constatations”, and in Spanish, “observaciones”.

{§3} 法文本中使用的词语是“constatations”，西班牙文本中使用的是“observaciones”。

{§4} Art. 26, 1969 Vienna Convention on the Law of Treaties.

{§4} 1969年《维也纳条约法公约》第二十六条。

{§5} Rule 101 of the rules of procedure of the Human Rights Committee.

{§5} 人权事务委员会议事规则第101条。

{§6} Rule 92 (previously rule 86) of the rules of procedure of the Human Rights Committee:

{§6} 人权事务委员会议事规则第92条（以前为第86条）（见CCPR/C/3/Rev.8，2005年9月22日）：

“The Committee may, prior to forwarding its Views on the communication to the State party concerned, inform that State of its Views as to whether interim measures may be desirable to avoid irreparable damage to the victim of the alleged violation.

“在向有关缔约国转交其关于来文的意见之前，委员会可向该缔约国说明就是否应采取临时措施以避免对据称违约行为的受害者造成无可补救的伤害问题委员会所持的《意见》。

In doing so, the Committee shall inform the State party concerned that such expression of its Views on interim measures does not imply a determination on the merits of the communication. ”

在这样做的同时，委员会应向有关缔约国说明，它所表达的关于临时措施的《意见》并不意味着就来文的理据问题作出了裁定。”