CESCR

CESCR

General comment No. 3:

第3号一般性意见：

The nature of States parties' obligations (art. 2, para. 1, of the Covenant)

缔约国义务的性质 (《公约》第二条第一款)

Fifth session (1990){§*}

第五届会议(1990年){§*}

1. Article 2 is of particular importance to a full understanding of the Covenant and must be seen as having a dynamic relationship with all of the other provisions of the Covenant.

1. 第二条对于充分理解《公约》来说具有特殊重要意义，必须把它看作与《公约》所有其他条款有着密切的关系。

It describes the nature of the general legal obligations undertaken by States parties to the Covenant.

这一条说明了《公约》缔约国承担的一般法律义务的性质。

Those obligations include both what may be termed (following the work of the International Law Commission) obligations of conduct and obligations of result.

这些义务既包括可称为行为义务的内容(依照国际法委员会的工作)，也包括结果义务。

While great emphasis has sometimes been placed on the difference between the formulations used in this provision and that contained in the equivalent article 2 of the International Covenant on Civil and Political Rights, it is not always recognized that there are also significant similarities.

有时人们特别注重这一条所使用的形式与《公民权利和政治权利国际公约》的第二条形式之间的区别，但同时并不一向认为这两者之间也有着重大的相同之处。

In particular, while the Covenant provides for progressive realization and acknowledges the constraints due to the limits of available resources, it also imposes various obligations which are of immediate effect. Of these, two are of particular importance in understanding the precise nature of States parties obligations.

具体而言，《公约》规定逐步实现权利并确认因资源有限而产生的局限，但它同时也规定了立刻生效的各种义务，其中有两项对于理解缔约国义务的准确性质特别重要。

One of these, which is dealt with in a separate general comment, and which is to be considered by the Committee at its sixth session, is the "undertaking to guarantee" that relevant rights "will be exercised without discrimination … ".

其中之一已在另一项一般性意见中作了处理，即“保障”“在无歧视的条件下行使”有关权利。 这项一般性意见将由委员会第六届会议审议。

2. The other is the undertaking in article 2 (1) "to take steps", which in itself, is not qualified or limited by other considerations.

2. 另一项是第二条第一款中“采取步骤”的义务，其本身不受其他问题的限定或限制。

The full meaning of the phrase can also be gauged by noting some of the different language versions. In English the undertaking is "to take steps", in French it is "to act" ("s'engage à agir") and in Spanish it is "to adopt measures" ("a adoptar medidas").

可以注意到其他一些不同的文本，借以了解这句话的完全含义，在英文本中，这一义务是“采取步骤”；在法文本中是“S’engage à agir”；在西班牙文中是“a adoptar medidas”。

Thus while the full realization of the relevant rights may be achieved progressively, steps towards that goal must be taken within a reasonably short time after the Covenant's entry into force for the States concerned.

因此，虽然可以逐步争取完全实现有关的权利，但是，在《公约》对有关缔约国生效之后的合理较短时间之内就必须采取争取这一目标的步骤。

Such steps should be deliberate, concrete and targeted as clearly as possible towards meeting the obligations recognized in the Covenant.

此类步骤应当周密、具体、以尽可能明确地履行《公约》义务为目标。

3. The means which should be used in order to satisfy the obligation to take steps are stated in article 2 (1) to be "all appropriate means, including particularly the adoption of legislative measures".

3. 为履行采取步骤的义务而使用的手段载于第二条第一款，即“用一切适当方法，尤其包括用立法方法”。

The Committee recognizes that in many instances legislation is highly desirable and in some cases may even be indispensable.

委员会认为，在许多情况之下立法是特别需要的，在有些情况下可能甚至是必不可少的。

For example, it may be difficult to combat discrimination effectively in the absence of a sound legislative foundation for the necessary measures.

例如，如果必要的措施没有可靠的立法基础，可能就很难有效地反对歧视。

In fields such as health, the protection of children and mothers, and education, as well as in respect of the matters dealt with in articles 6 to 9, legislation may also be an indispensable element for many purposes.

另外，在卫生、保护儿童和母亲及教育领域及在第六至九条涉及的事务方面，立法从许多角度看都会是不可或缺的一项内容。

4. The Committee notes that States parties have generally been conscientious in detailing at least some of the legislative measures that they have taken in this regard.

4. 委员会注意到，普遍而言，缔约国自觉地详述了在这方面采取的至少一部分立法措施。

It wishes to emphasize, however, that the adoption of legislative measures, as specifically foreseen by the Covenant, is by no means exhaustive of the obligations of States parties.

但委员会希望强调，正如《公约》特别说明的那样，通过立法措施决不是缔约国义务的终点。

Rather, the phrase "by all appropriate means" must be given its full and natural meaning.

相反，“用一切适当方法”的措词必须完整和准确地理解。

While each State party must decide for itself which means are the most appropriate under the circumstances with respect to each of the rights, the "appropriateness" of the means chosen will not always be self-evident.

每一缔约国必须决定在每项权利的具体方面什么是自己最适当的方法，但是所选择的方法究竟是否适当并不一定是十分显然的。

It is therefore desirable that States parties' reports should indicate not only the measures that have been taken but also the basis on which they are considered to be the most "appropriate" under the circumstances.

因此，缔约国的报告最好不仅应说明自己已经采取了的措施，而且应说明它们在具体情况下被认为最“适当”的依据。

However, the ultimate determination as to whether all appropriate measures have been taken remains one for the Committee to make.

但是，最后应由委员会确定，是否已经采用了一切的适当办法。

5. Among the measures which might be considered appropriate, in addition to legislation, is the provision of judicial remedies with respect to rights which may, in accordance with the national legal system, be considered justiciable.

5. 除了立法之外，可被认为是适当的措施中还包括，为根据国家法律制度看属于司法范围的权利提供司法补救办法。

The Committee notes, for example, that the enjoyment of the rights recognized, without discrimination, will often be appropriately promoted, in part, through the provision of judicial or other effective remedies.

例如，委员会注意到，不受歧视地享有公认的人权往往可以通过司法或其他有效补救办法得到适当的促进。

Indeed, those States parties which are also parties to the International Covenant on Civil and Political Rights are already obligated (by virtue of articles 2 (paras. 1 and 3), 3 and 26) of that Covenant to ensure that any person whose rights or freedoms (including the right to equality and non-discrimination) recognized in that Covenant are violated, "shall have an effective remedy" (art. 2 (3) (a)).

事实上，同属《公民权利和政治权利国际公约》缔约国的本《公约》缔约国已有义务(根据该《公约》第二条(第1和3款)、第三条和第二十六条)确保《公约》承认的权利或自由(包括平等和不受歧视权利)受侵犯的任何人“得到有效的补救”(第二条第3款(甲)项)。

In addition, there are a number of other provisions in the International Covenant on Economic, Social and Cultural Rights, including articles 3, 7 (a) (i), 8, 10 (3), 13 (2) (a), (3) and (4) and 15 (3) which would seem to be capable of immediate application by judicial and other organs in many national legal systems.

另外，在《经济、社会、文化权利国际公约》中还有其他一些条款，包括第三条、第七条(甲)项(1)目、第八条、第十条第三项、第十三条第二款(甲)项、第三款、第四款和第十五条第三款，看来也能由许多国家法律体系的司法和其他机构加以立即适用。

Any suggestion that the provisions indicated are inherently non-self-executing would seem to be difficult to sustain.

认为所说的条款本身无法加以执行的任何看法都是很难成立的。

6. Where specific policies aimed directly at the realization of the rights recognized in the Covenant have been adopted in legislative form, the Committee would wish to be informed, inter alia, as to whether such laws create any right of action on behalf of individuals or groups who feel that their rights are not being fully realized.

6. 如果直接以实现《公约》确认的各项权利为目标的政策已经以立法形式确立，委员会则希望了解，除其他外，此类法律是否给予认为自己权利未能充分实现的个人或集团任何行动的权利。

In cases where constitutional recognition has been accorded to specific economic, social and cultural rights, or where the provisions of the Covenant have been incorporated directly into national law, the Committee would wish to receive information as to the extent to which these rights are considered to be justiciable (i.e. able to be invoked before the courts).

如果宪法中承认了特定的经济、社会和文化权利，或《公约》权利被直接列入了国家法律，委员会希望得到资料，了解在何种程度上这些权利可诉诸司法(即能够在法庭加以援引)。

The Committee would also wish to receive specific information as to any instances in which existing constitutional provisions relating to economic, social and cultural rights have been weakened or significantly changed.

委员会还希望得到具体的资料，说明有关经济、社会和文化权利的现有宪法条款是否有任何减弱或重大变化。

7. Other measures which may also be considered "appropriate" for the purposes of article 2 (1) include, but are not limited to, administrative, financial, educational and social measures.

7. 其他一些措施也可被认为是“适当”的，因为第二条第一款的目的包括，但不仅限于，行政、财务、教育和社会措施。

8. The Committee notes that the undertaking "to take steps … by all appropriate means including particularly the adoption of legislative measures" neither requires nor precludes any particular form of government or economic system being used as the vehicle for the steps in question, provided only that it is democratic and that all human rights are thereby respected.

8. 委员会指出，“采取步骤，…用一切适当方法，尤其包括用立法方法”的义务既不要求也不排除利用任何特别的政府或经济制度作为采取步骤的工具，只要这种制度是民主的，并尊重一切人权。

Thus, in terms of political and economic systems the Covenant is neutral and its principles cannot accurately be described as being predicated exclusively upon the need for, or the desirability of a socialist or a capitalist system, or a mixed, centrally planned, or laissez-faire economy, or upon any other particular approach.

因而，就政治和经济制度而言《公约》属于中立性质，不能把它的原则完全说成是出于社会主义或资本主义制度的需要，或出于中央计划经济或自由市场经济或两者兼而有之的经济需要，也不能把它归于任何其他特定的属性。

In this regard, the Committee reaffirms that the rights recognized in the Covenant are susceptible of realization within the context of a wide variety of economic and political systems, provided only that the interdependence and indivisibility of the two sets of human rights, as affirmed inter alia in the preamble to the Covenant, is recognized and reflected in the system in question.

在这方面，委员会重申《公约》的权利可在各种经济和政治制度下加以实现，只要所涉的制度承认和体现《公约》序言申明的两组人权之间的相互依存和不可分割性质。

The Committee also notes the relevance in this regard of other human rights and in particular the right to development.

委员会还在这方面注意到其他人权的相关性，特别是发展权利。

9. The principal obligation of result reflected in article 2 (1) is to take steps "with a view to achieving progressively the full realization of the rights recognized" in the Covenant.

9. 第二条第一款所反映的主要结果义务是采取步骤，“逐渐达到本《公约》中所承认的权利的充分实现”。

The term "progressive realization" is often used to describe the intent of this phrase.

“逐步…实现”一语往往被用来说明这句话的意图。

The concept of progressive realization constitutes a recognition of the fact that full realization of all economic, social and cultural rights will generally not be able to be achieved in a short period of time.

逐步实现的概念等于承认，在短时期内一般无法充分实现所有的经济、社会和文化权利。

In this sense the obligation differs significantly from that contained in article 2 of the International Covenant on Civil and Political Rights which embodies an immediate obligation to respect and ensure all of the relevant rights.

从这个意义上讲，这一义务与《公民权利和政治权利国际公约》第二条的义务有重大区别，该条中具有立即尊重和确保一切有关权利的义务。

Nevertheless, the fact that realization over time, or in other words progressively, is foreseen under the Covenant should not be misinterpreted as depriving the obligation of all meaningful content.

然而，不应把本《公约》中长期实现或逐步实现误解为解除了有其充分含义的义务。

It is on the one hand a necessary flexibility device, reflecting the realities of the real world and the difficulties involved for any country in ensuring full realization of economic, social and cultural rights. On the other hand, the phrase must be read in the light of the overall objective, indeed the raison d'être, of the Covenant which is to establish clear obligations for States parties in respect of the full realization of the rights in question.

一方面这是一种有必要灵活性的安排，反映了当今世界的现实和任何国家争取充分实现经济、社会和文化权利面临的困难；另一方面，必须结合《公约》的总目标，即其存在的理由来理解这句话，这一目标就是为缔约国确立充分实现所涉各种权利的明确义务。

It thus imposes an obligation to move as expeditiously and effectively as possible towards that goal.

因而它确立了尽可能迅速和有效地争取目标的义务。

Moreover, any deliberately retrogressive measures in that regard would require the most careful consideration and would need to be fully justified by reference to the totality of the rights provided for in the Covenant and in the context of the full use of the maximum available resources.

而且，在这方面的任何后退的措施都需要最为慎重的考虑，必须有充分的理由，顾及到《公约》规定权利的完整性，并以充分利用了所有可能的资源为条件。

10. On the basis of the extensive experience gained by the Committee, as well as by the body that preceded it, over a period of more than a decade of examining States parties' reports the Committee is of the view that a minimum core obligation to ensure the satisfaction of, at the very least, minimum essential levels of each of the rights is incumbent upon every State party.

10. 委员会以本身及其前身十多年来审议缔约国报告所积累的大量经验为基础，认为每个缔约国均有责任承担最低限度的核心义务，确保至少使每种权利的实现达到一个最基本的水平。

Thus, for example, a State party in which any significant number of individuals is deprived of essential foodstuffs, of essential primary health care, of basic shelter and housing, or of the most basic forms of education is, prima facie, failing to discharge its obligations under the Covenant.

因此，如果在一缔约国内有任一较大数目的个人被剥夺了粮食、基本初级保健、基本住房或最基本的教育形式，该缔约国就等于没有履行《公约》下的义务。

If the Covenant were to be read in such a way as not to establish such a minimum core obligation, it would be largely deprived of its raison d'être.

如果不把《公约》看作是确定了此种最起码的核心义务，就等于使其基础上失去了存在的理由。

By the same token, it must be noted that any assessment as to whether a State has discharged its minimum core obligation must also take account of resource constraints applying within the country concerned.

同样，必须指出，关于一缔约国是否履行了最起码的核心义务的任何评估都必须考虑到该国内的资源局限。

Article 2 (1) obligates each State party to take the necessary steps "to the maximum of its available resources".

第二条第一款规定每一缔约国的义务是，“尽最大能力”采取必要步骤。

In order for a State party to be able to attribute its failure to meet at least its minimum core obligations to a lack of available resources it must demonstrate that every effort has been made to use all resources that are at its disposition in an effort to satisfy, as a matter of priority, those minimum obligations.

一缔约国如要将未履行最低核心义务归因于缺乏资源，它就必须表明已经尽了一切努力利用可得的一切资源作为优先事项履行最起码的义务。

11. The Committee wishes to emphasize, however, that even where the available resources are demonstrably inadequate, the obligation remains for a State party to strive to ensure the widest possible enjoyment of the relevant rights under the prevailing circumstances.

11. 但是，委员会希望强调，甚至在明显缺乏可得资源的情况下，缔约国仍有义务努力争取保证在这种条件下尽可能广泛地享有有关的权利。

Moreover, the obligations to monitor the extent of the realization, or more especially of the non-realization, of economic, social and cultural rights, and to devise strategies and programmes for their promotion, are not in any way eliminated as a result of resource constraints.

另外，监测实现、或特别是未实现经济、社会和文化权利的程度的义务以及制订促进权利的战略和方案的义务决不能因为资源局限而有任何减损。

The Committee has already dealt with these issues in its general comment No. 1 (1989).

委员会已在第1号一般性意见(1989)中论述了这个问题。

12. Similarly, the Committee underlines the fact that even in times of severe resources constraints whether caused by a process of adjustment, of economic recession, or by other factors the vulnerable members of society can and indeed must be protected by the adoption of relatively low-cost targeted programmes.

12. 与此相似，委员会强调，甚至在调整进程、经济衰退或其他因素造成严重资源困难的情况下，仍可以也必须通过耗资相对较少的专门方案保护社会中易受损害者。

In support of this approach the Committee takes note of the analysis prepared by UNICEF entitled "Adjustment with a human face: protecting the vulnerable and promoting growth, {§1}the analysis by UNDP in its Human Development Report 1990 {§2}and the analysis by the World Bank in the World Development Report 1990. {§3}

为支持这一立场，委员会注意到儿童基金会题为《注意到人的问题的调整：保护易受害者和促进增长》{§1}的分析报告，开发计划署在《1990年人文发展报告》{§2}中的分析以及世界银行在《1990年世界发展报告》{§3}中的分析。

13. A final element of article 2 (1), to which attention must be drawn, is that the undertaking given by all States parties is "to take steps, individually and through international assistance and cooperation, especially economic and technical … ".

13. 第二条第一款中必须加以注意的最后一项内容是，所有缔约国承担的义务是“个别采取步骤或经由国际援助和合作，特别是经济和技术…合作”。

The Committee notes that the phrase "to the maximum of its available resources" was intended by the drafters of the Covenant to refer to both the resources existing within a State and those available from the international community through international cooperation and assistance.

委员会指出，《公约》起草人采用“尽最大能力”一语的意图是要提及一国内现有的资源和国际社会通过国际合作和援助可以提供的资源。

Moreover, the essential role of such cooperation in facilitating the full realization of the relevant rights is further underlined by the specific provisions contained in articles 11, 15, 22 and 23.

另外，第十一、十五、二十二和二十三条中的特别规定又进一步强调了这种合作促进充分实现有关权利的重要作用。

With respect to article 22 the Committee has already drawn attention, in general comment No. 2 (1990), to some of the opportunities and responsibilities that exist in relation to international cooperation.

至于第二十二条，委员会已经在第2号一般性意见(1990)中提请注意在国际合作方面存在着的一些机会和责任。

Article 23 also specifically identifies "the furnishing of technical assistance" as well as other activities, as being among the means of "international action for the achievement of the rights recognized …".

第二十三条特别指明了“进行技术合作”及其他活动是“实现本《公约》所承认的权利而采取的国际行动”。

14. The Committee wishes to emphasize that in accordance with Articles 55 and 56 of the Charter of the United Nations, with well-established principles of international law, and with the provisions of the Covenant itself, international cooperation for development and thus for the realization of economic, social and cultural rights is an obligation of all States.

14. 委员会希望强调，根据《联合国宪章》第五十五条和五十六条、国际法的确立原则以及所涉《公约》本身，国际合作争取发展从而实现经济、社会和文化权利是所有国家的一项义务。

It is particularly incumbent upon those States which are in a position to assist others in this regard.

在这方面有援助其他国家能力的缔约国更有这一义务。

The Committee notes in particular the importance of the Declaration on the Right to Development adopted by the General Assembly in its resolution 41/128 of 4 December 1986 and the need for States parties to take full account of all of the principles recognized therein.

委员会尤其注意到大会1986年12月4日第41/128号决议通过的《发展权利宣言》的重要意义以及各缔约国充分考虑其中承认的所有原则的必要性。

It emphasizes that, in the absence of an active programme of international assistance and cooperation on the part of all those States that are in a position to undertake one, the full realization of economic, social and cultural rights will remain an unfulfilled aspiration in many countries.

委员会强调，如果没有能进行合作的缔约国制订的一项给予国际援助和合作的积极方案。 全面实现经济、社会和文化权利在许多国家就将会一直成为未能实现的愿望。 在这方面。

In this respect, the Committee also recalls the terms of its general comment No. 2 (1990).

委员会还再次提请注意第2号一般性意见(1990)的措词。

Notes

注

{§*} Contained in document E/1991/23.

{§*} 载于E/1991/23号文件。

{§1}G.A. Cornia, R. Jolly and F. Steward, Eds., Oxford, Clarendon Press, 1987.

{§1}G.A. Cornia, R. Jolly and F. Steward, Eds., Oxford, Clarendon Press, 1987.

{§2}Oxford, Oxford University Press, 1990.

{§2}Oxford, Oxford University Press, 1990.

{§3}Oxford, Oxford University Press, 1990.

{§3}Oxford, Oxford University Press, 1990.