Report of the International Law Commission

国际法委员会报告

Sixty-seventh session

第六十七届会议

(4 May-5 June and 6 July-7 August 2015)

(2015年5月4日至6月5日和7月6日至8月7日)

General Assembly Seventieth Session Supplement No. 10 (A/70/10)

大会正式记录 第七十届会议 补编第10号 (A/70/10)

Note

说明

Symbols of United Nations documents are composed of capital letters combined with figures.

联合国文件都用大写英文字母附加数字编号。

Mention of such a symbol indicates a reference to a United Nations document.

凡是提到这种编号，就是指联合国的某一个文件。

The word Yearbook followed by suspension points and the year (e.g. Yearbook … 1971) indicates a reference to the Yearbook of the International Law Commission.

前有年份和省略号的“年鉴”(如《1971年…年鉴》)是指《国际法委员会年鉴》。

A typeset version of the report of the Commission will be included in Part Two of volume II of the Yearbook of the International Law Commission 2015.

委员会报告的排版本将载入《2015年国际法委员会年鉴》第二卷第二部分。

Chapter I

第一章

Introduction

导言

1. The International Law Commission held the first part of its sixty-seventh session from 4 May to 5 June 2015 and the second part from 6 July to 7 August 2015 at its seat at the United Nations Office at Geneva.

1. 国际法委员会分别于2015年5月4日至6月5日和2015年7月6日至8月7日在联合国日内瓦办事处委员会所在地举行了第六十七届会议第一期会议和第二期会议。

The session was opened by Mr. Shinya Murase, First Vice-Chairman of the sixty-sixth session of the Commission.

本届会议由委员会第六十六届会议第一副主席村濑信也先生主持开幕。

A. Membership

A. 委员

2. The Commission consists of the following members:

2. 委员会包括下列成员：

Mr. Mohammed Bello Adoke (Nigeria)

穆罕默德·贝洛·阿多克先生(尼日利亚)

Mr. Ali Mohsen Fetais Al-Marri (Qatar)

阿里·穆赫辛·费塔伊斯·马里先生(卡塔尔)

Mr. Lucius Caflisch (Switzerland)

卢修斯·卡弗利施先生(瑞士)

Mr. Enrique J.A. Candioti (Argentina)

恩里克·坎迪奥蒂先生(阿根廷)

Mr. Pedro Comissário Afonso (Mozambique)

佩德罗·科米萨里奥·阿丰索先生(莫桑比克)

Mr. Abdelrazeg El-Murtadi Suleiman Gouider (Libya)

阿卜杜勒拉齐克·穆尔塔迪·苏莱曼·古伊德尔先生(利比亚)

Ms. Concepción Escobar Hernández (Spain)

康塞普西翁·埃斯科瓦尔·埃尔南德斯女士(西班牙)

Mr. Mathias Forteau (France)

马蒂亚斯·福尔托先生(法国)

Mr. Juan Manuel Gómez-Robledo (Mexico)

胡安·曼努埃尔·戈麦斯－罗夫莱多先生(墨西哥)

Mr. Hussein A. Hassouna (Egypt)

侯赛因·哈苏纳先生(埃及)

Mr. Mahmoud D. Hmoud (Jordan)

马哈茂德·哈穆德先生(约旦)

Mr. Huikang Huang (China)

黄惠康先生(中国)

Ms. Marie G. Jacobsson (Sweden)

玛丽·雅各布松女士(瑞典)

Mr. Maurice Kamto (Cameroon)

莫里斯·卡姆托先生(喀麦隆)

Mr. Kriangsak Kittichaisaree (Thailand)

江萨·吉滴猜萨里先生(泰国)

Mr. Roman A. Kolodkin (Russian Federation)

罗曼·阿·科洛德金先生(俄罗斯联邦)

Mr. Ahmed Laraba (Algeria)

艾哈迈德·拉腊巴先生(阿尔及利亚)

Mr. Donald M. McRae (Canada)

唐纳德·麦克雷先生(加拿大)

Mr. Shinya Murase (Japan)

村濑信也先生(日本)

Mr. Sean D. Murphy (United States of America)

肖恩·墨菲先生(美利坚合众国)

Mr. Bernd H. Niehaus (Costa Rica)

贝恩德·尼豪斯先生(哥斯达黎加)

Mr. Georg Nolte (Germany)

格奥尔格·诺尔特先生(德国)

Mr. Ki Gab Park (Republic of Korea)

朴基甲先生(大韩民国)

Mr. Chris Maina Peter (United Republic of Tanzania)

克里斯·马伊纳·彼得先生(坦桑尼亚联合共和国)

Mr. Ernest Petrič (Slovenia)

埃内斯特·彼得里奇先生(斯洛文尼亚)

Mr. Gilberto Vergne Saboia (Brazil)

吉尔贝托·贝尔涅·萨博亚先生(巴西)

Mr. Narinder Singh (India)

纳林德尔·辛格先生(印度)

Mr. Pavel Šturma (Czech Republic)

帕维尔·斯图尔马先生(捷克共和国)

Mr. Dire D. Tladi (South Africa)

迪雷·特拉迪先生(南非)

Mr. Eduardo Valencia-Ospina (Colombia)

爱德华多·巴伦西亚－奥斯皮纳先生(哥伦比亚)

Mr. Marcelo Vázquez-Bermúdez (Ecuador)

马塞洛·巴斯克斯－贝穆德斯先生(厄瓜多尔)

Mr. Amos S. Wako (Kenya)

阿莫斯·瓦科先生(肯尼亚)

Mr. Nugroho Wisnumurti (Indonesia)

努格罗霍·维斯努穆尔蒂先生(印度尼西亚)

Mr. Michael Wood (United Kingdom of Great Britain and Northern Ireland)

迈克尔·伍德先生(大不列颠及北爱尔兰联合王国)

B. Casual vacancy

B. 临时空缺

3. On 8 May 2015 the Commission elected Mr. Roman A. Kolodkin to fill the casual vacancy occasioned by the resignation of Mr. Kirill Gevorgian.

3. 2015年5月8日，委员会选举罗曼·阿·科洛德金先生填补因基里尔·格沃尔吉扬先生辞职造成的临时空缺。

C. Officers and the Enlarged Bureau

C. 主席团成员和扩大的主席团

4. At its 3244th meeting, on 4 May 2015, the Commission elected the following officers:

4. 委员会在2015年5月4日举行的第3244次会议上，选出了下列主席团成员：

Chairman:

主席：

Mr. Narinder Singh (India)

纳林德尔·辛格先生(印度)

First Vice-Chairman:

第一副主席：

Mr. Amos S. Wako (Kenya)

阿莫斯·瓦科先生(肯尼亚)

Second Vice-Chairman:

第二副主席：

Mr. Pavel Šturma (Czech Republic)

帕维尔·斯图尔马先生(捷克共和国)

Chairman of the Drafting Committee:

起草委员会主席：

Mr. Mathias Forteau (France)

马蒂亚斯·福尔托先生(法国)

Rapporteur:

报告员：

Mr. Marcelo Vázquez-Bermúdez (Ecuador)

马塞洛·巴斯克斯－贝穆德斯先生(厄瓜多尔)

5. The Enlarged Bureau of the Commission was composed of the officers of the present session, the previous Chairmen of the Commission and the Special Rapporteurs.

5. 委员会扩大的主席团由本届会议主席团成员、委员会前任主席 和特别报告员 组成。

6. The Commission set up a Planning Group composed of the following members: Mr. Amos S. Wako (Chairman), Mr. L. Caflisch, Mr. P. Comissário Afonso, Mr. A. El-Murtadi Suleiman Gouider, Ms. C. Escobar Hernández, Mr. M. Forteau, Mr. H.A. Hassouna, Mr. M.D. Hmoud, Mr. H. Huang, Ms. M.G. Jacobsson, Mr. K. Kittichaisaree, Mr. A. Laraba, Mr. D.M. McRae, Mr. S. Murase, Mr. S.D. Murphy, Mr. B.H. Niehaus, Mr. G. Nolte, Mr. K.G. Park, Mr. E. Petrič, Mr. P. Šturma, Mr. D.D. Tladi, Mr. N. Wisnumurti, Mr. M. Wood, and Mr. M. Vázquez-Bermúdez (ex officio).

6. 委员会设立了由下列委员组成的规划组：阿莫斯·瓦科先生(主席)、卡弗利施先生、科米萨里奥·阿丰索先生、穆尔塔迪·苏莱曼·古伊德尔先生、埃斯科瓦尔·埃尔南德斯女士、福尔托先生、哈苏纳先生、哈穆德先生、黄先生、雅各布松女士、吉滴猜萨里先生、拉腊巴先生、麦克雷先生、村濑先生、墨菲先生、尼豪斯先生、诺尔特先生、朴先生、彼得里奇先生、斯图尔马先生、萨博亚先生、辛格先生、斯图尔马先生、特拉迪先生、维斯努穆尔蒂先生、伍德先生和巴斯克斯－贝穆德斯先生(当然成员)。

D. Drafting Committee

D. 起草委员会

7. At its 3245th, 3250th, 3257th, 3261st, 3269th, 3278th and 3280th meetings, on 5, 13 and 27 May and on 3 June and 14, 24 and 29 July 2015, the Commission established a Drafting Committee, composed of the following members for the topics indicated:

7. 委员会在分别于2015年5月5日、13日、27日，6月3日以及和7月14日、24日和29日举行的第3245、3250、3257、3261、3269、3278和3280次会议上，为下列专题设立了由下列委员组成的起草委员会：

(a) Identification of customary international law: Mr. M. Forteau (Chairman), Mr. M. Wood (Special Rapporteur), Mr. M.D. Hmoud, Mr. H. Huang, Mr. M. Kamto, Mr. K. Kittichaisaree, Mr. R.A. Kolodkin, Mr. D.M. McRae, Mr. S. Murase, Mr. S.D. Murphy, Mr. G. Nolte, Mr. K.G. Park, Mr. E. Petrič, Mr. P. Sturma, Mr. D.D. Tladi, and Mr. M. Vázquez-Bermúdez (ex officio).

(a) 习惯国际法的识别：福尔托先生(主席)、伍德先生(特别报告员)、哈穆德先生、黄先生、卡姆托先生、吉滴猜萨里先生、科洛德金先生、麦克雷先生、村濑先生、墨菲先生、诺尔特先生、朴先生、彼得里奇先生、斯图尔马先生、特拉迪先生和巴斯克斯－贝穆德斯先生(当然成员)。

(b) Protection of the atmosphere: Mr. M. Forteau (Chairman), Mr. S. Murase (Special Rapporteur), Mr. M.D. Hmoud, Mr. H. Huang, Mr. M. Kamto, Mr. K. Kittichaisaree, Mr. D.M. McRae, Mr. S.D. Murphy, Mr. G. Nolte, Mr. K.G. Park, Mr. E. Petrič, Mr. D.D. Tladi, Mr. M. Wood, and Mr. M. Vázquez-Bermúdez (ex officio).

(b) 保护大气层：福尔托先生(主席)、村濑先生(特别报告员)、哈穆德先生、黄先生、卡姆托先生、吉滴猜萨里先生、麦克雷先生、墨菲先生、诺尔特先生、朴先生、彼得里奇先生、特拉迪先生、伍德先生和巴斯克斯－贝穆德斯先生(当然成员)。

(c) Crimes against humanity: Mr. M. Forteau (Chairman), Mr. S.D. Murphy (Special Rapporteur), Ms. C. Escobar Hernández, Mr. M.D. Hmoud, Ms. M.G. Jacobsson, Mr. M. Kamto, Mr. K. Kittichaisaree, Mr. R.A. Kolodkin, Mr D.M. McRae, Mr. K.G. Park, Mr. E. Petrič, Mr. G.V. Saboia, Mr. D.D. Tladi, Mr. A.S. Wako, Mr. M. Wood, and Mr. M. Vázquez-Bermúdez (ex officio).

(c) 危害人类罪：福尔托先生(主席)、墨菲先生(特别报告员)、埃斯科瓦尔·埃尔南德斯女士、哈穆德先生、雅各布松女士、卡姆托先生、吉滴猜萨里先生、科洛德金先生、麦克雷先生、朴先生、彼得里奇先生、萨博亚先生、特拉迪先生、瓦科先生、伍德先生和巴斯克斯－贝穆德斯先生(当然成员)。

(d) Subsequent agreements and subsequent practice in relation to the interpretation of treaties: Mr. M. Forteau (Chairman), Mr. G. Nolte (Special Rapporteur), Mr. K. Kittichaisaree, Mr. R.A. Kolodkin, Mr. D.M. McRae, Mr. S.D. Murphy, Mr. K.G. Park, Mr. P. Šturma, Mr. D.D. Tladi, Mr. M. Wood, and Mr. M. Vázquez-Bermúdez (ex officio).

(d) 与条约解释相关的嗣后协定和嗣后惯例：福尔托先生(主席)、诺尔特先生(特别报告员)、吉滴猜萨里先生、科洛德金先生、麦克雷先生、墨菲先生、朴先生、斯图尔马先生、特拉迪先生、伍德先生和巴斯克斯－贝穆德斯先生(当然成员)。

(e) Protection of the environment in relation to armed conflicts: Mr. M. Forteau (Chairman), Ms. M.G. Jacobsson (Special Rapporteur), Ms. C. Escobar Hernández, Mr. J.M. Gómez-Robledo, Mr. M.D. Hmoud, Mr. H. Huang, Mr. K. Kittichaisaree, Mr. D.M. McRae, Mr. S. Murase, Mr. S.D. Murphy, Mr. G. Nolte, Mr. K.G. Park, Mr. G.V. Saboia, Mr. P. Šturma, Mr. M. Wood, and Mr. M. Vázquez-Bermúdez (ex officio).

(e) 与武装冲突有关的环境保护：福尔托先生(主席)、雅各布松女士(特别报告员)、埃斯科瓦尔·埃尔南德斯女士、戈梅斯·罗夫莱多先生、哈穆德先生、黄先生、吉滴猜萨里先生、麦克雷先生、村濑先生、墨菲先生、诺尔特先生、朴先生、萨博亚先生、斯图尔马先生、伍德先生和巴斯克斯－贝穆德斯先生(当然成员)。

(f) Immunity of State officials from foreign criminal jurisdiction: Mr. M. Forteau (Chairman), Ms. C. Escobar Hernández (Special Rapporteur), Mr. M.D. Hmoud, Ms. M.G. Jacobsson, Mr. M. Kamto, Mr. K. Kittichaisaree, Mr. R.A. Kolodkin, Mr. D.M. McRae, Mr. S.D. Murphy, Mr. G. Nolte, Mr. K.G. Park, Mr. E. Petrič, Mr. G.V. Saboia, Mr. D.D. Tladi, Mr. A.S. Wako, Mr. M. Wood, and Mr. M. Vázquez-Bermúdez (ex officio).

(f) 国家官员的外国刑事管辖豁免：福尔托先生(主席)、埃斯科瓦尔·埃尔南德斯女士(特别报告员)、哈穆德先生、雅各布松女士、卡姆托先生、吉滴猜萨里先生、科洛德金先生、麦克雷先生、墨菲先生、诺尔特先生、朴先生、彼得里奇先生、萨博亚先生、特拉迪先生、瓦科先生、伍德先生和巴斯克斯－贝穆德斯先生(当然成员)。

(g) Provisional applications of treaties: Mr. M. Forteau (Chairman), Mr. J.M. Gómez-Robledo (Special Rapporteur), Ms. C. Escobar Hernández, Mr. M. Kamto, Mr. R.A. Kolodkin, Mr. D.M. McRae, Mr. S.D. Murphy, Mr. G. Nolte, Mr. K.G. Park, Mr. E. Petrič, Mr. D.D. Tladi, Mr. M. Wood, and Mr. M. Vázquez-Bermúdez (ex officio).

(g) 条约的暂时适用：福尔托先生(主席)、戈梅斯－罗夫莱多先生(特别报告员)、埃斯科瓦尔·埃尔南德斯女士、卡姆托先生、科洛德金先生、麦克雷先生、墨菲先生、诺尔特先生、朴先生、彼得里奇先生、特拉迪先生、伍德先生和巴斯克斯－贝穆德斯先生(当然成员)。

8. The Drafting Committee held a total of 34 meetings on the seven topics indicated above.

8. 起草委员会就上列七项专题一共举行了34次会议。

E. Study Group and Working Group

E. 研究组和工作组

9. At its 3249th meeting on 12 May 2015, the Commission reconstituted the following Study Group:

9. 在2015年5月12日第3249次会议上，委员会重建了以下研究组：

Study Group on The Most-Favoured-Nation clause: Mr. D.M. McRae (Chairman), Mr. L. Caflisch, Mr. M. Forteau, Mr. M.D. Hmoud, Mr. M. Kamto, Mr. S. Murase, Mr. S.D. Murphy, Mr. K.G. Park, Mr. N. Singh, Mr. P. Šturma, Mr. D.D. Tladi, Mr. M. Wood, and Mr. M. Vázquez-Bermúdez (ex officio).

最惠国条款研究组：麦克雷先生(主席)、卡弗利施先生、福尔托先生、哈穆德先生、卡姆托先生、村濑先生、墨菲先生、朴先生、辛格先生、斯图尔马先生、特拉迪先生、伍德先生和巴斯克斯－贝穆德斯先生(当然成员)。

10. The Planning Group reconstituted the following Working Group:

10. 规划组重建了以下工作组：

Working Group on Long-term Programme of work for the quinquennium: Mr. D. McRae (Chairman), Mr. L. Caflisch, Ms. C. Escobar Hernández, Mr. M. Forteau, Mr. H.A. Hassouna, Mr. M.D. Hmoud, Ms. M.G. Jacobsson, Mr. K. Kittichaisaree, Mr. A. Laraba, Mr. S. Murase, Mr. S.D. Murphy, Mr. G. Nolte, Mr. K.G. Park, Mr. E. Petrič, Mr. N. Singh, Mr. P. Šturma, Mr. D.D. Tladi, Mr. A.S. Wako, Mr. N. Wisnumurti, Mr. M. Wood, and Mr. M. Vázquez-Bermúdez (ex officio).

五年期长期工作方案工作组：麦克雷先生(主席)、卡弗利施先生、埃斯科瓦尔·埃尔南德斯女士、福尔托先生、哈苏纳先生、哈穆德先生、雅各布松女士、吉滴猜萨里先生、拉腊巴先生、村濑先生、墨菲先生、诺尔特先生、朴先生、彼得里奇先生、辛格先生、斯图尔马先生、特拉迪先生、瓦科先生、维斯努穆尔蒂先生、伍德先生和巴斯克斯－贝穆德斯先生(当然成员)。

F. Secretariat

F. 秘书处

11. Mr. Miguel de Serpa Soares, Under-Secretary-General and United Nations Legal Counsel, represented the Secretary-General.

11. 副秘书长兼联合国法律顾问米格尔·塞尔帕·苏亚雷斯先生担任秘书长的代表。

Mr. George Korontzis, Director of the Codification Division of the Office of Legal Affairs, acted as Secretary to the Commission and, in the absence of the Legal Counsel, represented the Secretary-General from 4 May to 5 June 2015.

法律事务厅编纂司司长乔治·科伦济斯先生担任委员会秘书，并在法律顾问缺席时从2015年5月4日至6月5日代表秘书长。

Mr. Huw Llewellyn, Principal Legal Officer, served as Principal Assistant Secretary.

特等法律干事休·卢埃林先生担任首席助理秘书。

Upon the retirement of Mr. George Korontzis and the appointment of Mr. Huw Llewellyn as Director of the Codification Division of the Office of Legal Affairs, Mr. Huw Llewellyn served as Secretary to the Commission from 8 June 2015.

在乔治·科伦济斯先生退休并任命休·卢埃林先生为法律事务厅编纂司司长后，休·卢埃林先生从2015年6月8日起担任委员会秘书。

Mr. Trevor Chimimba and Mr. Arnold Pronto, Senior Legal Officers, served as Senior Assistant Secretaries.

高级法律干事特雷沃尔·齐敏巴先生和阿诺德·普龙托先生担任高级助理秘书。

Ms. Hanna Dreifeldt-Lainé and Mr. David Nanopoulos, Legal Officers, served as Assistant Secretaries to the Commission.

法律干事哈娜·德雷菲尔特－莱恩女士和戴维·纳诺波利斯先生担任委员会助理秘书。

G. Agenda

G. 议程

12. At its 3244th meeting, on 4 May 2015, the Commission adopted an agenda for its sixty-seventh session consisting of the following items:

12. 委员会在2015年5月4日的第3244次会议上通过了第六十七届会议议程，包括下列项目：

1. Organization of the work of the session.

1. 会议工作安排。

2. Immunity of State officials from foreign criminal jurisdiction.

2. 国家官员的外国刑事管辖豁免。

3. Subsequent agreements and subsequent practice in relation to the interpretation of treaties.

3. 与条约解释相关的嗣后协定和嗣后惯例。

4. The Most-Favoured-Nation clause.

4. 最惠国条款。

5. Provisional application of treaties.

5. 条约的暂时适用。

6. Identification of customary international law.

6. 习惯国际法的识别。

7. Protection of the environment in relation to armed conflicts.

7. 与武装冲突有关的环境保护。

8. Protection of the atmosphere.

8. 保护大气层。

9. Crimes against humanity.

9. 危害人类罪。

10. Programme, procedures and working methods of the Commission and its

10. 委员会方案、程序和工作方法以及文件。

documentation. 11. Date and place of the sixty-eighth session.

11. 第六十八届会议的日期和地点。

12. Cooperation with other bodies.

12. 与其他机构的合作。

13. Other business.

13. 其他事项。

Chapter II

第二章

Summary of the work of the Commission at its sixty-seventh session

委员会第六十七届会议工作概况

13. In relation to the topic “The Most-Favoured-Nation clause”, the Commission received and welcomed with appreciation the final report on the work of the Study Group on The Most-Favoured-Nation clause and endorsed the summary conclusions of the Study Group.

13. 关于“最惠国条款”专题，委员会收到并赞赏地欢迎关于最惠国条款问题研究组工作的最后报告。

The Commission commended the final report to the attention of the General Assembly, and encouraged its widest possible dissemination.

委员会提请大会注意这份最后报告，鼓励最为广泛地分发这份报告。

The Commission thus concluded its consideration of the topic (chap. IV).

委员会因此完成了这一专题的审议工作(第四章)。

14. With regard to the topic “Protection of the atmosphere”, the Commission had before it the second report of the Special Rapporteur (A/CN.4/681 and Corr.1 (Chinese only)), which, upon a further analysis of the draft guidelines submitted in the first report, presented a set of revised draft guidelines relating to the use of terms, the scope of the draft guidelines, and the common concern of humankind, as well as draft guidelines on the general obligation of States to protect the atmosphere and on international cooperation.

14. 关于“保护大气层”专题，委员会收到特别报告员的第二次报告(A/CN.4/681和Corr.1(只有中文本)。 该报告进一步分析了第一次报告提出的指南草案，提出了一套关于用语、准则草案的范围及人类的共同关切的修订指南草案，还提出了关于国家保护大气层的一般义务和关于国际合作的指南草案。

Following its debate on the report, the Commission decided to refer draft guidelines 1, 2, 3 and 5, as contained in the Special Rapporteur’s second report, to the Drafting Committee, with the understanding that draft guideline 3 be considered in the context of a possible preamble.

委员会讨论了特别报告员的第二次报告，决定将该报告所载指南草案1、2、3和5转交起草委员会，但有一项谅解是：将结合可能的序言对指南草案3进行审议。

Upon consideration of the report of the Drafting Committee (A/CN.4/L.851), the Commission provisionally adopted draft guidelines 1, 2 and 5 and four preambular paragraphs, together with commentaries thereto (chap.

在审议了起草委员会的报告之后，委员会暂时通过了指南草案1、2和5及四个序言段落，还通过了相关评注(第五章)。

V). 15. As regards the topic “Identification of customary international law”, the Commission had before it the third report of the Special Rapporteur (A/CN.4/682), which contained, inter alia, additional paragraphs to three of the draft conclusions proposed in the second report and five new draft conclusions relating respectively to the relationship between the two constituent elements of customary international law, the role of inaction, the role of treaties and resolutions, judicial decisions and writings, the relevance of international organizations, as well as particular custom and the persistent objector.

15. 关于“习惯国际法的识别”专题，委员会收到特别报告员的第三次报告(A/CN.4/682)。 该报告载有第二次报告提出的结论草案中的三项草案的补充段落，还载有五项新的结论草案，分别涉及：习惯国际法的两组成要素之间的关系；不作为的作用；条约和决议、司法裁决和论著的作用；国际组织的相关性；以及特别习惯和一贯反对者。

Following the debate in Plenary, the Commission decided to refer the draft conclusions contained in the third report to the Drafting Committee.

在全体会议进行辩论之后，委员会决定将第三次报告所载结论草案转交起草委员会。

The Commission received the report of the Drafting Committee (A/CN.4/L.869), and took note of draft conclusions 1 to 16 [15] provisionally adopted by the Drafting Committee at the sixty-sixth and sixty-seventh sessions (chap. VI).

委员会收到了起草委员会的报告(A/CN.4/L.869)，注意到起草委员会在第六十六和第六十七届会议期间暂时通过的结论草案1至16(第六章)。

16. With respect to the topic “Crimes against humanity”, the Commission considered the first report of the Special Rapporteur (A/CN.4/680), which contained, inter alia, two draft articles relating respectively to the prevention and punishment of crimes against humanity and to the definition of crimes against humanity.

16. 关于“危害人类罪”专题，委员会审议了特别报告员的第一次报告(A/CN.4/680)。 该报告载有两个条款草案，分别涉及防止及惩治危害人类罪和危害人类罪的定义。

Following the debate in Plenary, the Commission decided to refer the draft articles proposed by the Special Rapporteur to the Drafting Committee.

在全体会议进行辩论之后，委员会决定将特别报告员提出的条款草案转交起草委员会。

Upon consideration of the report of the Drafting Committee (A/CN.4/L.853), the Commission provisionally adopted draft articles 1 to 4, together with commentaries thereto (chap.

在审议了起草委员会的报告(A/CN.4/L.853)之后，委员会暂时通过了第1至第4条草案，包括相关评注(第七章)。

VII). 17. As regards the topic “Subsequent agreements and subsequent practice in relation to the interpretation of treaties”, the Commission had before it the third report of the Special Rapporteur (A/CN.4/683), which contained, inter alia, one draft conclusion relating to constituent instruments of international organizations.

17. 关于“与条约解释相关的嗣后协定和嗣后惯例”专题，委员会收到特别报告员的第三次报告(A/CN.4/683)。 该报告载有一项结论草案，涉及国际组织的组成文书。

Following the debate in Plenary, the Commission decided to refer the draft conclusion proposed by the Special Rapporteur to the Drafting Committee.

在全体会议进行辩论之后，委员会决定将特别报告员提出的结论草案转交起草委员会。

Upon consideration of the report of the Drafting Committee (A/CN.4/L.854), the Commission provisionally adopted draft conclusion 11, together with a commentary thereto (chap. VIII).

在审议了起草委员会的报告(A/CN.4/L.854)之后，委员会暂时通过了结论草案11,包括相关评注(第八章)。

18. With respect to the topic “Protection of the environment in relation to armed conflicts”, the Commission had before it the second report of the Special Rapporteur (A/CN.4/685), which, inter alia, identified and examined existing rules of armed conflict directly relevant to the protection of the environment in relation to armed conflict.

18. 关于“与武装冲突有关的环境保护”专题，委员会收到特别报告员的第二次报告(A/CN.4/685)，该报告列明并研讨了与武装冲突方面的环境保护直接相关的现行武装冲突规则。

The report contained five draft principles and three draft preambular paragraphs relating to the scope and purpose of the draft principles as well as use of terms.

报告载有五项原则草案和与这些原则草案的范围和宗旨及用语相关的序言段落。

Following the debate in Plenary, the Commission decided to refer the draft preambular paragraphs and the draft principles, as contained in the report of the Special Rapporteur, to the Drafting Committee, with the understanding that the provision on use of terms was referred for the purpose of facilitating discussions and was to be left pending by the Drafting Committee.

在全体会议进行辩论之后，委员会决定将特别报告员的报告所载序言段落草案和原则草案转交起草委员会，但有一项谅解是：提交关于“用语”的规定，是为了便利讨论，对这方面的规定起草委员会拟暂不处理。

The Commission subsequently received the report of the Drafting Committee (A/CN.4/L.870), and took note of the draft introductory provisions and draft principles I-(x) to II-5, provisionally adopted by the Drafting Committee (chap. IX).

委员会随后收到起草委员会的报告(A/CN.4/L.870)，注意到起草委员会暂时通过的导言部分规定草案和原则1-(x)至原则2-5的草案(第九章)。

19. In relation to the topic “Immunity of State officials from foreign criminal jurisdiction”, the Commission had before it the fourth report of the Special Rapporteur (A/CN.4/686), which was devoted to the consideration of the remaining aspects of the material scope of immunity ratione materiae, namely what constituted an “act performed in an official capacity”, and its temporal scope.

19. 关于“国家官员的外国刑事管辖豁免”专题，委员会收到特别报告员的第四次报告(A/CN.4/686)，该报告专门研讨属事管辖的实质范围所涉余下方面，即何为“以官方身份实施的行为”，及其时间范围。

The report contained proposals for draft article 2, subparagraph (f), defining an “act performed in an official capacity” and draft article 6 on the scope of immunity ratione materiae.

报告载有第2条(f)款草案，该款对“以官方身份实施的行为”作出界定；还载有关于属事管辖的范围的第6条草案。

Following the debate in Plenary, the Commission decided to refer the two draft articles to the Drafting Committee.

在全体会议进行辩论之后，委员会决定将两项条款草案转交起草委员会。

The Commission subsequently received the report of the Drafting Committee (A/CN.4/L.865), and took note of draft articles 2, subparagraph (f), and 6, provisionally adopted by the Drafting Committee (chap. X).

委员会随后收到起草委员会的报告(A/CN.4/L.865)，注意到起草委员会暂时通过的第2条(f)款和第6条草案(第十章)。

20. As regards the topic “Provisional application of treaties”, the Commission had before it the third report of the Special Rapporteur (A/CN.4/687), which considered the relationship of provisional application to other provisions of the Vienna Convention on the Law of Treaties of 1969, and the question of provisional application with regard to international organizations.

20. 关于“条约的暂时适用”专题，委员会收到特别报告员的第三次报告(A/CN.4/687)，该报告讨论暂时适用与1969年《维也纳条约法公约》的其他规定的关系，以及关于国际组织的暂时适用问题。

The Commission also had before it a memorandum (A/CN.4/676), prepared by the Secretariat, on provisional application under the Vienna Convention on the Law of Treaties between States and International Organizations or between International Organizations of 1986.

委员会还收到一份秘书处编写的备忘录(A/CN.4/676)，该备忘录述及1986年《关于国家和国际组织间或国际组织相互间条约法的维也纳公约》之下的暂时适用。

The Commission referred six draft guidelines, proposed by the Special Rapporteur, to the Drafting Committee.

委员会将特别报告员提出的六项准则草案转交起草委员会。

The Commission subsequently received an interim oral report, presented by the Chairman of the Drafting Committee, on draft guidelines 1 to 3, provisionally adopted by the Drafting Committee, and which was presented to the Commission for information only (chap. XI).

委员会随后收到到起草委员会主席关于起草委员会暂时通过准则草案1－3的临时口头报告，该报告提交委员会供参考(第十一章)。

21. The Commission established a Planning Group to consider its programme, procedures and working methods (chap. XII, sect. A).

21. 委员会设立了负责研究委员会的方案、程序和工作方法的规划组(第十二章A节)。

The Commission decided to include the topic “Jus cogens” in its programme of work, and to appoint Mr. Dire Tladi as Special Rapporteur for the topic (chap. XII, sect. A.1).

委员会决定将“强制法”专题列入工作方案，并任命迪雷·特拉迪先生担任该专题的特别报告员(第十二章A.1节)。

22. The Commission continued its exchange of information with the International Court of Justice, the Asian-African Legal Consultative Organization, the Inter-American Juridical Committee, the Committee of Legal Advisers on Public International Law of the Council of Europe and the African Union Commission on International Law.

22. 委员会继续同国际法院、亚非法律协商组织、美洲司法委员会、欧洲委员会国际公法法律顾问委员会以及非洲联盟国际法委员会交流信息。

The United Nations High Commissioner for Human Rights also addressed the Commission.

联合国人权事务高级专员向委员会发表讲话。

An informal exchange of views was held between members of the Commission and the International Committee of the Red Cross.

委员会委员和红十字国际委员会成员以非正式方式交流看法。

23. The Commission recommended that its sixty-eighth session be held in Geneva from 2 May to 10 June and 4 July to 12 August 2016 (chap. XII, sect. B).

23. 委员会建议，委员会第六十八届会议于2016年5月2日至6月10日和7月4日至8月12日在日内瓦举行(第十二章B节)。

Chapter III

第三章

Specific issues on which comments would be of particular interest to the Commission

委员会特别想听取意见的具体问题

24. The Commission considers as still relevant the requests for information contained in Chapter III of its Report on its last session on the topics “Protection of the atmosphere”, “Identification of customary international law” and “Crimes against humanity”, and would welcome any additional information.

24. 委员会认为，其上届会议报告第三章所载的关于就一些专题提供资料的请求依然是有用的，并欢迎提供任何另外资料，这些专题是“保护大气层”、“习惯国际法的识别” 以及“危害人类罪”。

25. The Commission would also welcome any information on the following issues, by 31 January 2016, in order to be taken into account in the respective reports of the Special Rapporteurs.

25. 委员会还欢迎就下列问题在2016年1月31日之前提供任何资料，从而能在各特别报告员的报告里加以考虑。

A. Subsequent agreements and subsequent practice in relation to the interpretation of treaties

A. 与条约解释相关的嗣后协定和嗣后惯例

26. It would assist the Commission if States and international organizations could provide it with:

26. 各国和国际组织如能向委员会提供下列资料，则对委员会有帮助：

(a) any examples of decisions of national courts in which a subsequent agreement or subsequent practice has contributed to the interpretation of a treaty; and

(a) 嗣后协定或嗣后惯例为条约解释作出贡献的任何国内法院判决实例；以及

(b) any examples where pronouncements or other action by a treaty body consisting of independent experts have been considered as giving rise to subsequent agreements or subsequent practice relevant for the interpretation of a treaty.

(b) 由独立专家组成的条约机构的宣判或其他行动被视为引起与条约解释相关的嗣后协定或嗣后惯例的任何实例。

B. Protection of the environment in relation to armed conflicts

B. 与武装冲突有关的环境保护

27. The Commission would appreciate being provided by States with information on whether, in their practice, international or domestic environmental law has been interpreted as applicable in relation to international or non-international armed conflict.

27. 委员会很希望各国提供资料，说明在它们的实践中，在涉及国际或非国际武装冲突时，国际或国内环境法是否被解释为适用。

The Commission would particularly appreciate receiving examples of:

委员会特别希望收到下列方面的实例：

(a) treaties, including relevant regional or bilateral treaties;

(a) 条约，包括有关的区域或双边条约；

(b) national legislation relevant to the topic, including legislation implementing regional or bilateral treaties;

(b) 与本专题有关的国内法律，包括执行区域或双边条约的国内法律；

(c) case-law in which international or domestic environmental law was applied to disputes in relation to armed conflict.

(c) 对涉及武装冲突的争端适用国际或国内环境法的判例法。

28. The Commission would also invite information from States as to whether they have any instruments aimed at protecting the environment in relation to armed conflict, for example, national legislation and regulations; military manuals, standard operating procedures, Rules of Engagement or Status of Forces Agreements applicable during international operations; and environmental management policies related to defence-related activities.

28. 委员会还希望各国提供资料，说明它们是否有旨在在武装冲突背景下保护环境的文书，例如：国家法律和规章；在国际行动期间适用的军事手册、标准操作程序、接战规则或部队地位协定；以及涉及防卫相关活动的环境管理政策。

The Commission would, in particular, be interested in instruments related to preventive and remedial measures.

委员会对涉及预防和补救措施的文书特别感兴趣。

C. Immunity of State officials from foreign criminal jurisdiction

C. 国家官员的外国刑事管辖豁免

29. The Commission would appreciate being provided by States with information on their legislation and practice, in particular judicial practice, related to limits and exceptions to the immunity of State officials from foreign criminal jurisdiction.

29. 委员会很希望各国提供资料，说明其法律和惯例，尤其是涉及国家官员的外国刑事管辖豁免的限制和例外的司法惯例。

D. Provisional application of treaties

D. 条约的暂时适用

30. The Commission would appreciate being provided by States with information on their practice concerning the provisional application of treaties, including domestic legislation pertaining thereto, with examples, in particular in relation to:

30. 委员会很希望各国提供资料，说明其暂时适用条约的实践，包括涉及这一问题的国内法律，并特别举例说明：

(a) the decision to provisionally apply a treaty;

(a) 关于暂时适用条约的决定；

(b) the termination of such provisional application; and

(b) 此种暂时适用的终止；以及

(c) the legal effects of provisional application.

(c) 暂时适用的法律效力。

E. Jus cogens

E. 强制法

31. The Commission would appreciate being provided by States with information, relating to their practice on the nature of jus cogens, the criteria for its formation and the consequences flowing therefrom as expressed in:

31. 委员会很希望各国提供资料，说明以下文件体现的与强制法性质、强制法形成标准及成为强制法的后果有关的实践：

(a) official statements, including official statements before legislatures, courts and international organizations; and

(a) 正式陈述，包括在立法机构、法院和国际组织的正式陈述；以及

(b) decisions of national and regional courts and tribunals, including quasi-judicial bodies.

(b) 国家和区域法院以及仲裁法庭，包括准司法机构的判决。

Chapter IV

第四章

The Most-Favoured-Nation clause

最惠国条款

A. Introduction

A. 导言

32. The Commission, at its sixtieth session (2008), decided to include the topic “The Most-Favoured-Nation clause” in its programme of work and to establish, at its sixty-first session, a Study Group on the topic.

32. 委员会在第六十届会议(2008年)上决定把“最惠国条款”专题纳入工作方案，在第六十一届会议上成立了一个专题研究组。

33. The Study Group, co-chaired by Mr. Donald M. McRae and Mr. A. Rohan Perera, was established at the sixty-first session (2009), and was reconstituted at the sixty-second (2010) and sixty-third (2011) sessions, under the same co-chairmanship.

33. 研究组由唐纳德·麦克雷先生和罗汉·佩雷拉先生担任共同主席，在委员会第六十一届会议(2009年)上成立， 在第六十二届(2010年)和第六十三届会议(2011年)上重新设立，仍由他们两人共同主持。

At the sixty-fourth (2012), sixty-fifth (2013) and sixty-sixth sessions, the Commission reconstituted the Study Group, under the chairmanship of Mr. Donald M. McRae.

在第六十四届(2012年)、第六十五届(2013年)和第六十六届会议上，委员会重新设立了研究组，由唐纳德·麦克雷先生担任主席。

In the absence of Mr. McRae during the 2013 and 2014 sessions, Mr. Mathias Forteau served as chairman.

麦克雷先生于2013年和2014年届会期间缺席时，由马蒂亚斯·福尔托先生任主席。

B. Consideration of the topic at the present session

B. 本届会议审议此专题的情况

34. At the present session, the Commission, at its 3249th meeting on 12 May 2015, reconstituted the Study Group on The Most-Favoured-Nation clause, under the chairmanship of Mr. Donald M. McRae.

34. 委员会本届会议在2015年5月12日举行的第3249次会议上重新设立了最惠国条款研究组，由唐纳德·麦克雷先生担任研究组主席。

35. The Study Group held two meetings, on 12 May and 16 July 2015, during which it undertook and completed a substantive and technical review of the draft final report.

35. 研究组于2015年5月12日和7月16日举行了两次会议，其间对最后报告草稿进行了实质性和技术性审议。

Overall, since it was first established in 2009, the Study Group held 24 meetings.

研究组自2009年首次成立以来共举行了24次会议。

36. The Commission received and considered the final report of the Study Group at its 3264th and 3277th meetings on 6 and 23 July 2015, respectively.

36. 委员会在2015年7月6日和23日举行的第3264次和第3277次会议上分别收到并审议了研究组的最后报告。

The final report appears as an annex to the present report.

最后报告列为本报告的附件。

The Commission notes that the final report is divided into five parts.

委员会注意到最后报告分为五部分。

Part I provides the background, including the origins and purpose of the work of the Study Group, an analysis of the prior work of the Commission on the 1978 draft articles on the most-favoured-nation (MFN) clause, and of developments subsequent to the completion of the 1978 draft articles, in particular in the area of investment, as well as an analysis of MFN provisions in other bodies, such as the United Nations Conference on Trade and Development and the Organization for Economic Co-operation and Development.

第一部分提供了包括研究组的起源和目的在内的背景，分析了委员会之前对1978年最惠国待遇条款草案开展的工作以及1978年条款草案完成后的动态，尤其是投资领域的动态，并且分析了联合国贸易和发展会议和经济合作与发展组织等其他机构的最惠国规定。

The general orientation of the Study Group has been not to seek a revision of the 1978 draft articles or to prepare a new set of draft articles.

研究组的总体导向不是寻求修订1978年条约草案或者起草一套新的条款草案。

37. Part II of the report addresses the contemporary relevance of MFN clauses and issues concerning their interpretation, including in the context of the General Agreement on Tariffs and Trade and the World Trade Organization, other trade agreements, and investment treaties.

37. 报告的第二部分讨论最惠国条款的当代意义以及与条款解释有关的问题，包括以关税及贸易总协定和世界贸易组织、其他贸易协定和投资条约为背景的解释问题。

It also considers the types of MFN provisions in bilateral investment treaties (BIT) and highlights the interpretative issues that have arisen in relation to the MFN clauses in BITs, namely: (a) defining the beneficiary of an MFN clause; (b) defining the necessary treatment; and (c) defining the scope of the MFN clause.

本部分还考虑了双边投资协定中最惠国规定的类型，并突出了有关双边投资协定中最惠国条款的解释性问题，即(a) 界定最惠国条款的受惠方，(b) 界定必要的待遇，和(c) 界定最惠国条款的范围。

38. Part III analyses: (a) the policy considerations in investment relating to the interpretation of investment agreements, taking into account questions of asymmetry in BIT negotiations and the specificity of each BIT; (b) the implications of investment dispute settlement arbitration as “mixed arbitration”; and (c) the contemporary relevance of the 1978 draft articles to the interpretation of MFN provisions.

38. 第三部分分析：(a) 与投资协定的解释相关的投资中的政策考虑因素，同时考虑到双边投资协定谈判的非对称性和每个双边投资协定的具体性问题；(b) 解决投资争端的仲裁作为“混合仲裁”的影响；和(c) 1978年条款草案对解释最惠国规定的当代意义。

39. Part IV seeks to provide some guidance on the interpretation of MFN clauses, setting out a framework for the proper application of the principles of treaty interpretation to MFN clauses.

39. 第四部分力求为最惠国条款的解释提供一些指导，阐述对最惠国条款恰当适用条约解释原则的框架。

It surveys the different approaches in the case-law to the interpretation of MFN provisions in investment agreements, addressing in particular three central questions: (a) Are MFN provisions in principle capable of applying to the dispute settlement provisions of BITs?; (b) Is the jurisdiction of a tribunal affected by conditions in BITs regarding which dispute settlement provisions may be invoked by investors?; (c) In determining whether an MFN provision in a BIT applies to the conditions for invoking dispute settlement, what factors are relevant in the interpretative process?

该部分审视了判例法中对投资协定中最惠国规定的不同解释办法，尤其讨论了三个核心问题：(a) 最惠国规定原则上是否能够适用于双边投资协定的争端解决规定？ (b) 双边投资协定中关于投资者可以援引哪些争端解决规定的条件是否影响法庭的司法管辖权？ (c) 在确定双边投资协定中的最惠国条款是否适用于援引争端解决的条件时，哪些因素在解释过程中是相关的？

This Part also examines the various ways in which States have reacted in their treaty practice to the Maffezini decision, including by: (a) Specifically stating that the MFN clause does not apply to dispute resolution provisions; (b) specifically stating that the MFN clause does apply to dispute resolution provisions; or (c) specifically enumerating the fields to which the MFN clause applies.

本部分还考察了各国在条约实践中对马菲基尼案裁决 的多种应对办法，包括：(a) 具体声明最惠国条款不适用于争端解决规定，(b) 具体声明最惠国条款适用于争端解决规定，和(c) 具体列出适用于最惠国条款的领域。

40. Part V of the report contains the conclusions reached by the Study Group, underlining, in particular, the importance and relevance of the Vienna Convention of the Law of Treaties (VCLT), as a point of departure, in the interpretation of investment treaties.

40. 报告的第五部分载有研究组得出的结论，尤其强调把《维也纳条约法公约》作为解释投资条约的出发点的重要性和相关性。

The interpretation of MFN clauses is to be undertaken on the basis of the rules for the interpretation of treaties as set out in the VCLT.

应根据《维也纳条约法公约》规定的条约解释规则对最惠国条款进行解释。

41. At its 3277th meeting, on 23 July 2015, the Commission welcomed with appreciation the final report on the work of the Study Group.

41. 委员会在2015年7月23日举行的第3277次会议上赞赏地欢迎研究组工作的最后报告。

The Commission commended the final report to the attention of the General Assembly, and encouraged its widest possible dissemination.

委员会把最后报告推荐给大会，请其注意，并鼓励尽可能广泛地传播最后报告。

42. At its 3277th meeting, on 23 July 2015, the Commission adopted the following summary conclusions:

42. 在2015年7月23日第3277次会议上，委员会通过了下述概括性结论：

(a) The Commission notes that MFN clauses remain unchanged in character from the time the 1978 draft articles were concluded.

(a) 委员会注意到，自1978年条款草案完成以来，最惠国条款的性质保持不变。

The core provisions of the 1978 draft articles continue to be the basis for the interpretation and application of MFN clauses today.

1978年条款草案的核心规定仍然是今天解释和适用最惠国条款的基础。

However, they do not provide answers to all the interpretative issues that can arise with MFN clauses;

然而，它们没有回答最惠国条款可能引起的所有解释问题。

(b) The Commission underlines the importance and relevance of the Vienna Convention of the Law of Treaties (VCLT), as a point of departure, in the interpretation of investment treaties.

(b) 委员会强调把《维也纳条约法公约》作为解释投资条约的出发点的重要性和相关性。

The interpretation of MFN clauses is to be undertaken on the basis of the rules for the interpretation of treaties as set out in the VCLT;

应根据《维也纳条约法公约》规定的条约解释规则对最惠国条款进行解释。

(c) The central interpretative issue in respect of the MFN clauses relates to the scope of the clause and the application of the ejusdem generis principle.

(c) 关于最惠国条款的核心解释问题是此类条款的范围以及同类原则的适用。

That is, the scope and nature of the benefit that can be obtained under an MFN provision depends on the interpretation of the MFN provision itself;

也就是说，根据一项最惠国规定可以获得的优惠的范围和性质取决于对这条最惠国规定的解释。

(d) The application of MFN clauses to dispute settlement provisions in investment treaty arbitration, rather than limiting them to substantive obligations, brought a new dimension to thinking about MFN provisions and perhaps consequences that had not been foreseen by parties when they negotiated their investment agreements.

(d) 在投资条约的仲裁中，将最惠国条款适用于争端解决规定而不仅限于实质性义务，为思考最惠国规定提供了一个新角度，或许也带来了缔约方在投资协定谈判时没有预见到的结果。

Nonetheless, the matter remains one of treaty interpretation;

不过，这仍然是条约解释上的一个问题。

(e) Whether MFN clauses are to encompass dispute settlement provisions is ultimately up to the States that negotiate such clauses.

(e) 最惠国条款是否涵盖争端解决规定最终取决于谈判制定这些条款的国家。

Explicit language can ensure that an MFN provision does or does not apply to dispute settlement provisions.

明确的措辞可以确保最惠国规定适用于或不适用于争端解决规定。

Otherwise the matter will be left to dispute settlement tribunals to interpret MFN clauses on a case-by-case basis.

否则，将由争端解决法庭逐案对最惠国条款进行解释。

43. The Commission wishes to highlight that the interpretative techniques reviewed in the report of the Study Group are designed to assist in the interpretation and application of MFN provisions.

43. 委员会希望强调的是，研究组在本报告中审视的多种解释办法是为了帮助解释和适用最惠国规定。

C. Tribute to the Study Group and its Chairman

C. 向研究组及其主席致谢

44. At its 3277th meeting, on 23 July 2015, the Commission adopted the following resolution by acclamation:

44. 在2015年7月23日举行的第3277次会议上，委员会以鼓掌方式通过了以下决议：

“The International Law Commission,

“国际法委员会，

Having welcomed with appreciation the report of the Study Group on The Most-Favoured Nation clause,

赞赏地欢迎最惠国条款研究组的报告；

Expresses to the Study Group and its Chairman, Mr. Donald M. McRae, its deep appreciation and warm congratulations for the outstanding contribution made in the preparation of the report on the Most-Favoured Nation clause and for the results achieved by the Study Group;

向研究组及其主席唐纳德·麦克雷先生表达深挚感谢和热烈祝贺，他们在起草最惠国条款报告的工作中做出了突出贡献，研究组取得了良好结果；

Recalls, with gratitude, the contribution of Mr. A. Rohan Perera, who served as co-chairman of the Study Group, from 2009 to 2011, as well as of Mr. Mathias Forteau, who served as chairman, in the absence of Mr. McRae during the 2013 and 2014 sessions.”

感谢地忆及2009年至2011年期间担任研究组共同主席的罗汉·佩雷拉先生做出的贡献，以及马蒂亚斯·福尔托先生做出的贡献，他在麦克雷先生2013年和2014年届会期间缺席时担任了主席职务。 ”

Chapter V

第五章

Protection of the atmosphere

保护大气层

A. Introduction

A. 导言

45. The Commission, at its sixty-fifth session (2013), decided to include the topic “Protection of the atmosphere” in its programme of work, together with an understanding, and appointed Mr. Shinya Murase as Special Rapporteur.

45. 委员会在第六十五届会议(2013年)决定将“保护大气层”专题连同一项谅解列入其工作方案，并任命村濑信也先生为特别报告员。

46. The Commission received and considered the first report of the Special Rapporteur at its sixty-sixth session (2014).

46. 委员会在第六十六届会议(2014年)上，收到并审议了特别报告员的第一次报告。

B. Consideration of the topic at the present session

B. 本届会议审议此专题的情况

47. At the present session, the Commission had before it the second report of the Special Rapporteur (A/CN.4/681 and Corr.1 (Chinese only)).

47. 在本届会议上，委员会收到了特别报告员的第二次报告(A/CN.4/681和Corr.1 (仅有中文))。

Building upon the first report, in the light of comments made in the Commission and the Sixth Committee of the General Assembly, the Special Rapporteur, in the second report, provided a further analysis of the draft guidelines submitted in the first report, offering a set of revised guidelines relating to the Use of terms, including a definition of the atmosphere, the Scope of the draft guidelines, and the Common concern of humankind.

根据委员会和大会第六委员会会上提出的意见，特别报告员依据第一次报告，在第二次报告中进一步分析了第一次报告中提出的指南草案，就包括大气层定义在内的用语、指南草案范围和人类的共同关切提出了一套经修订的指南。

Moreover, the Special Rapporteur offered an analysis of the general obligation of States to protect the atmosphere and international cooperation for the protection of the atmosphere.

此外，特别报告员还分析了国家保护大气层的一般义务和保护大气层的国际合作，

Draft guidelines were presented on the General obligation of States to protect the atmosphere and on International cooperation.

提出了关于国家保护大气层的一般义务和国际合作的指南草案。

He suggested that common concern of humankind, the general obligation of States to protect the atmosphere and international cooperation were established in State practice and fundamentally interconnected, thereby forming a trinity for the protection of the atmosphere.

他提到，在国家做法中已确立人类共同关切、国家保护大气层的一般义务和国际合作，三者从根本上是相互关联的，因而，组成了保护大气层的三位一体。

The Special Rapporteur also presented a detailed future plan of work, in light of comments made in the Commission in 2014 requesting such a plan.

特别报告员根据委员会2014年会议上有委员提出的要求一份今后工作计划的意见，还提出了一份详细的今后工作计划。

He estimated, on a tentative basis, that work on the topic could be completed in 2020, following a consideration of such issues as the principle of sic utere tuo ut alienum non laedas, the principle of sustainable development (utilization of the atmosphere and environmental impact assessment), the principle of equity, special circumstances and vulnerability, in 2016; prevention, due diligence and precaution, in 2017; principles guiding interrelationships with other fields of international law, in 2018; compliance and implementation, and dispute settlement, in 2019.

特别报告员初步估计，在审议下列各项问题之后，该专题的工作可能于2020年完成：使用自己的财产时不得损害他人财产的原则、可持续发展原则(大气层的利用和环境影响评估)、公平原则、特殊情况与脆弱性(2016年)；预防、尽职、预警(2017年)；与国际法其他领域内指导相互关系的原则(2018年)；遵守与实施及争端解决(2019年)。

48. The Commission considered the report at its 3244th to 3249th meetings, on 4, 5, 6, 7, 8 and 12 May 2015.

48. 委员会在2015年5月4日、5日、6日、7日、8日和12日的第3244次至3249次会议上审议了该份报告。

49. In addition to the debate of the Commission, there was a dialogue with scientists organized by the Special Rapporteur on 7 May 2015.

49. 除了委员会的辩论之外，2015年5月7日，特别报告员组织了与科学家的对话。

Members of the Commission found the dialogue useful and were appreciative to the presenters for the contributions made.

委员会委员认为对话有益，并感谢发言者所作的贡献。

50. Following its debate on the report, the Commission, at its 3249th meeting, on 12 May 2015, decided to refer draft guidelines 1, 2, 3 and 5, as contained in the Special Rapporteur’s second report to the Drafting Committee, with the understanding that draft guideline 3 be considered in the context of a possible preamble.

50. 在对报告进行辩论之后，委员会在2015年5月12日第3249次会议上决定将特别报告员第二次报告中所载的指南草案1、2、3和5转交起草委员会，一项谅解是，结合可能的序言来审议指南草案3。

Moreover, the Special Rapporteur proposed to defer the referral by the Commission of draft guideline 4 on the general obligation of States to protect the atmosphere to the Drafting Committee pending further analysis in 2016.

此外，特别报告员提议，在2016年进行进一步分析之后，再由委员会向起草委员会转交关于国家保护大气层一般义务的指南草案4。

51. At its 3260th meeting, on 2 June 2015, the Commission received the report of the Drafting Committee and provisionally adopted draft guidelines 1, 2 and 5 and four preambular paragraphs (see section C.1, below).

51. 委员会在2015年6月2日举行的第3260次会议上收到起草委员会的报告，并暂时通过了指南草案1、2和5以及四个序言部分段落(见下文第C.1节)。

52. At its 3287th to 3288th meetings, on 5 and 6 August 2015, the Commission adopted the commentaries to the draft guidelines provisionally adopted at the present session (see section C.2, below).

52. 在2015年7月5日和6日的第3287次至第3228次会议上，委员会通过了本届会议暂时通过的指南草案的评注(见下文第C.2节)。

C. Text of the draft guidelines on the protection of the atmosphere, together with preambular paragraphs, provisionally adopted so far by the Commission

C. 委员会迄今为止暂时通过的指南草案案文及序言部分段落

1. Text of the draft guidelines, together with preambular paragraphs

1. 指南草案案文及序言部分段落

53. The text of the draft guidelines on the protection of the atmosphere, together with preambular paragraphs, provisionally adopted so far by the Commission is reproduced below.

53. 委员会迄今为止暂时通过的关于保护大气层的指南草案案文及序言部分段落载录如下。

Preamble

序言

Acknowledging that the atmosphere is essential for sustaining life on Earth, human health and welfare, and aquatic and terrestrial ecosystems,

承认大气层是维持地球上的生命、人类健康和福祉以及水生和陆地生态系统所不可缺少的，

Bearing in mind that the transport and dispersion of polluting and degrading substances occur within the atmosphere,

铭记大气层中存在污染物质和降解物质的输送和扩散，

Recognising therefore that the protection of the atmosphere from atmospheric pollution and atmospheric degradation is a pressing concern of the international community as a whole,

因此认识到保护大气层免遭大气污染和大气层退化是整个国际社会面临的紧迫关切问题，

Recalling that these draft guidelines are not to interfere with relevant political negotiations, including those on climate change, ozone depletion, and long-range transboundary air pollution, and that they also neither seek to “fill” gaps in treaty regimes nor impose on current treaty regimes legal rules or legal principles not already contained therein,

忆及本指南草案不会影响有关的政治谈判，包括关于气候变化、臭氧消耗、远距离跨界空气污染的政治谈判，也不会试图“弥补”条约制度中存在的缺陷，或是给现行条约制度强加上条约制度尚不具有的法律规则或法律原则，

[Some other paragraphs may be added, and the order of paragraphs may be coordinated, at a later stage.]

[之后可增加其他段落或调整段落顺序。

Guideline 1

] 指南1

Use of terms

用语

For the purposes of the present draft guidelines,

为了本指南草案的目的，

(a) “Atmosphere” means the envelope of gases surrounding the Earth;

(a) “大气层”指环绕地球的气体圈层；

(b) “Atmospheric pollution” means the introduction or release by humans, directly or indirectly, into the atmosphere of substances contributing to deleterious effects extending beyond the State of origin, of such a nature as to endanger human life and health and the Earth’s natural environment;

(b) “大气污染”指人类直接或间接向大气层引入或释放某些物质，产生的有害影响超出来源国，危及人类生命和健康以及地球自然环境的现象；

(c) “Atmospheric degradation” means the alteration by humans, directly or indirectly, of atmospheric conditions having significant deleterious effects of such a nature as to endanger human life and health and the Earth’s natural environment.

(c) “大气层退化”指人类直接或间接改变大气状况，产生较大有害影响，危及人类生命和健康以及地球自然环境的现象。

Guideline 2

指南2

Scope of the guidelines

指南的范围

1. The present draft guidelines [contain guiding principles relating to] [deal with] the protection of the atmosphere from atmospheric pollution and atmospheric degradation.

1. 本指南草案[所载指导原则涉及][涉及] 保护大气层免遭大气污染和大气层退化。

2. The present draft guidelines do not deal with, but are without prejudice to, questions concerning the polluter-pays-principle, the precautionary principle, common but differentiated responsibilities, the liability of States and their nationals, and the transfer of funds and technology to developing countries, including intellectual property rights.

2. 本指南草案不处理、但也不妨碍以下问题：污染者付费原则、谨慎原则、共同但有区别的责任、国家及其国民的赔偿责任，以及向发展中国家转让资金，包括知识产权。

3. The present draft guidelines do not deal with specific substances, such as black carbon, tropospheric ozone, and other dual-impact substances, which are the subject of negotiations among States.

3. 本指南草案不涉及具体物质，例如国家之间正在谈判的黑碳、对流层臭氧以及其他双重影响物质。

4. Nothing in the present draft guidelines affects the status of airspace under international law nor questions related to outer space, including its delimitation.

4. 本指南草案中的任何内容都不影响国际法规定的空气空间的地位，也不影响与外层空间，包括外层空间划界有关的问题。

Guideline 5

指南5

International cooperation

国际合作

1. States have the obligation to cooperate, as appropriate, with each other and with relevant international organisations for the protection of the atmosphere from atmospheric pollution and atmospheric degradation.

1. 国家有义务就保护大气层免遭大气污染和大气层退化，酌情与其他国家或有关国际组织合作。

2. States should cooperate in further enhancing scientific knowledge relating to the causes and impacts of atmospheric pollution and atmospheric degradation.

2. 国家应就进一步增进关于大气污染和大气层退化的原因与影响的科学知识开展合作。

Cooperation could include exchange of information and joint monitoring.

合作应包括信息交流和联合监测。

2. Text of the draft guidelines, together with preambular paragraphs, and commentaries thereto provisionally adopted by the Commission at its sixty-seventh session

2. 委员会第六十七届会议暂时通过的指南草案和序言段落案文及其评注

54. The text of the draft guidelines, together with preambular paragraphs, and commentaries thereto, provisionally adopted by the Commission at its sixty-seventh session is reproduced below.

54. 委员会第六十七届会议暂时通过的指南草案和序言段落案文及其评注载录如下。

General commentary

总评注

The Commission recognises the importance of being fully engaged with the international community’s present-day needs.

委员会认识到充分照顾国际社会当前需要的重要性。

It is acknowledged that both the human and natural environments can be adversely affected by certain changes in the condition of the atmosphere mainly caused by the introduction of harmful substances, causing transboundary air pollution, ozone depletion, as well as changes in the atmospheric conditions leading to climate change.

人们承认，人类环境和自然环境都可能因大气层条件的某些改变而受到不利影响，这些改变主要由引入有害物质所致，造成跨界空气污染、臭氧层耗竭，以及最终导致气候变化的大气层条件改变。

The Commission seeks, through the progressive development of international law and its codification, to provide guidelines that may assist the international community as it addresses critical questions relating to transboundary and global protection of the atmosphere.

委员会意在通过国际法的逐步发展和编纂提供指南，协助国际社会处理与跨界和全球大气层保护有关的关键问题。

In doing so, the Commission does not desire to interfere with relevant political negotiations, including those on long-range transboundary air pollution, ozone depletion and climate change, seek to “fill” gaps in treaty regimes nor to impose on current treaty regimes legal rules or legal principles not already contained therein.

委员会做这项工作，不会影响有关的政治谈判，包括关于气候变化、臭氧层消耗、远距离跨界空气污染的政治谈判，也不会试图“弥补”条约制度中存在的缺陷，或是给现行条约制度规定条约制度尚不具有的法律规定或法律原则。

Preamble

序言

Acknowledging that the atmosphere is essential for sustaining life on Earth, human health and welfare, and aquatic and terrestrial ecosystems,

承认大气层是维持地球上的生命、人类健康和福祉以及水生和陆地生态系统所不可缺少的，

Bearing in mind that the transport and dispersion of polluting and degrading substances occur within the atmosphere,

铭记大气层中存在污染物质和降解物质的输送和扩散，

Recognising therefore that the protection of the atmosphere from atmospheric pollution and atmospheric degradation is a pressing concern of the international community as a whole,

因此认识到保护大气层免遭大气污染和大气层退化是整个国际社会面临的紧迫关切问题，

Recalling that these draft guidelines are not to interfere with relevant political negotiations, including those on climate change, ozone depletion, and long-range transboundary air pollution, and that they also neither seek to “fill” gaps in treaty regimes nor impose on current treaty regimes legal rules or legal principles not already contained therein,

忆及本指南草案不会影响有关的政治谈判，包括关于气候变化、臭氧层消耗、远距离跨界空气污染的政治谈判，也不会试图“弥补”条约制度中存在的缺陷，或是给现行条约制度规定条约制度尚不具有的法律规则或法律原则，

[Some other paragraphs may be added, and the order of paragraphs may be coordinated, at a later stage.]

[之后可增加其他段落或调整段落顺序。

Commentary

] 评注

(1) On previous occasions, preambles have been prepared once the Commission has concluded work on the particular topic.

(1) 在以往情况下，委员会在结束某个专题的工作结束时拟订序言部分。

In the present case, the Commission referred draft guideline 3 (on the common concern of humankind), as contained in the Special Rapporteur’s second report, to the Drafting Committee, for consideration in the context of a possible preamble.

这次的情况是，委员会在2015年5月12日第3249次会议上决定将特别报告员第二份报告所载指南草案3 (人类的共同关切)转交起草委员会，与可能拟订的序言一并审议。

Accordingly, a preamble was prepared reflecting the current stage of consideration, it being understood that there may be additional preambular paragraphs as the work progresses.

因此，拟出了反映现阶段审议情况的序言部分，与此相关的谅解是，随着工作的进展，还可能增加序言段落。

(2) The preamble seeks to provide a contextual framework for the draft guidelines.

(2) 序言部分是要为指南草案提供一个背景框架。

The first preambular paragraph is overarching in acknowledging the essential importance of the atmosphere for sustaining life on Earth, human health and welfare, and aquatic and terrestrial ecosystems.

第一序言段是总括性的，承认大气层是维持地球上的生命、人类健康和福祉以及水生和陆地生态系统所不可或缺的。

The atmosphere is the Earth’s largest single and one of the most important natural resources.

大气层是地球最大的单一自然资源，也是最重要的自然资源之一。

It was listed as a natural resource — along with mineral, energy and water resources — by the former United Nations Committee on Natural Resources, as well as in the 1972 Stockholm Declaration on the Human Environment and in the 1982 World Charter for Nature.

原联合国自然资源委员会、 1972年《斯德哥尔摩宣言》 及1982年《世界大自然宪章》 将之与矿物、能源和水资源并列，视为自然资源。

The atmosphere provides renewable “flow resources” essential for human, plant and animal survival on the planet, and it serves as a medium for transportation and communication.

大气层为人类、植物和动物在地球上生存提供了至关重要的可再生的“流动资源”；它还被用作运输和传播的媒介。

The atmosphere was long considered to be non-exhaustible and non-exclusive, since it was assumed that everyone could benefit from it without depriving others.

大气层过去长期被视为无限、非专属的资源，因为存在一种认为人人可在不剥夺他人的情况下从中受益的假设。

That view is no longer held.

人们如今不再持有这种看法。

It must be borne in mind that the atmosphere is a limited resource with limited assimilation capacity.

必须牢记，大气层是一种吸收能力有限的有限资源。

(3) The second preambular paragraph addresses the functional aspect of the atmosphere as a medium through which transport and dispersion of polluting and degrading substances occur.

(3) 第二序言段指出大气层作为污染物质和降解物质输送和扩散媒介的功能方面。

The Commission considered it appropriate to refer to this functional aspect in the preamble.

委员会认为宜在序言部分提及这个功能方面。

This decision reflects a concern that the inclusion of the functional aspect as part of the definition may suggest that this transport and dispersion is desirable, which is not the intention of the Commission.

这一决定反映了一种关切，即将功能方面包括在定义之中可能暗示这种输送和扩散是所希望的，但这不是委员会的意向。

Long-range transboundary movement of polluting and degrading substances is recognized as one of the major problems of the present-day atmospheric environment, with the Arctic region being identified as one of the areas most seriously affected by the worldwide spread of deleterious pollutants.

污染物质和降解物质的长途跨界输送被视为当今大气环境的主要问题之一， 北极地区被认为是受有害污染物世界范围扩散影响的最为严重的地区之一。

(4) The third preambular paragraph pronounces, bearing in mind the aforementioned importance of the problems relating to the atmosphere, that the protection of the atmosphere from atmospheric pollution and atmospheric degradation is a “pressing concern of the international community as a whole.

(4) 第三序言段，在铭记上述与大气层有关的问题的重要性的前提下，申明保护大气层免遭大气污染和大气层退化是“整个国际社会面临的紧迫关切问题”。

” While a number of treaties and literature demonstrate some support for the concept of “common concern of humankind”, the Commission decided not to adopt this language for the characterization of the problem, as the legal consequences of the concept of common concern of humankind remain unclear at the present stage of development of international law relating to the atmosphere.

虽然一些条约和文献表明对于“人类共同关切”概念存在一定程度的支持”， 但委员会决定不用这个词语为问题定性，因为共同关切概念的法律后果在关于大气层的国际法发展的当前阶段尚不清楚。

It was considered appropriate to express the concern of the international community as a matter of a factual statement, and not as a normative statement, as such, of the gravity of the atmospheric problems.

据认为，以事实性陈述来表术大气层问题的严重性这个国际社会关心的问题较妥，不宜用某种规范性的词句来表述。

In this context, therefore, the expression “a pressing concern of the international community as a whole” has been employed.

因此，在这方面采用了“整个国际社会面临的紧迫关切问题”这个表述。

This is an expression that the Commission has frequently employed as one of the criteria for the selection of new topics for inclusion in its long-term programme of work.

委员会常用这种表述作为为纳入长期工作方案选择新专题的判断标准之一。

(5) The fourth preambular paragraph is the reproduction of the 2013 understanding of the Commission on the inclusion of the topic in its programme of work at its sixty-fifth session in 2013.

(5) 第四序言段取自委员会在2013年就本专题纳入第六十五届会议工作方案达成的谅解。

It was agreed that the terminology and location of this paragraph would be revisited at a later stage in the Commission’s work on this topic.

委员会同意，本段的用语和位置将在委员会关于本专题的工作的以后一个阶段重新审视。

(6) Some other preambular paragraphs may be added, and the order of paragraphs may be coordinated, at a later stage.

(6) 以后可再增加一些段落，并调整段落顺序。

Guideline 1

指南1

Use of terms

用语

For the purposes of the present draft guidelines,

为了本指南草案的目的，

(a) “Atmosphere” means the envelope of gases surrounding the Earth;

(a) “大气层”指环绕地球的气体圈层；

(b) “Atmospheric pollution” means the introduction or release by humans, directly or indirectly, into the atmosphere of substances contributing to deleterious effects extending beyond the State of origin, of such a nature as to endanger human life and health and the Earth’s natural environment;

(b) “大气污染”指人类直接或间接向大气层引入或释放某些物质，产生的有害影响超出来源国，危及人类生命和健康以及地球自然环境的现象；

(c) “Atmospheric degradation” means the alteration by humans, directly or indirectly, of atmospheric conditions having significant deleterious effects of such a nature as to endanger human life and health and the Earth’s natural environment.

(c) “大气层退化”指人类直接或间接改变大气状况，产生较大有害影响，危及人类生命和健康以及地球自然环境的现象。

Commentary

评注

(1) The Commission has considered it desirable, as a matter of practical necessity, to provide a draft guideline on the “Use of terms” in order to have a common understanding of what is to be covered by the present draft guidelines.

(1) 委员会认为，出于实际需要，最好提供一项关于“用语”的指南草案，以便就本指南草案的涵盖范围达成共同的理解。

The terms used are provided only “for the purposes of the present draft guidelines”, and are not intended in any way to affect any existing or future definitions of any such terms in international law.

提供这些用语仅是“为了本指南草案的目的”，无意影响这些词语在国际法中的任何现有或未来定义。

(2) No definition has been given to the term “atmosphere” in the relevant international instruments.

(2) 有关国际文书中没有“大气层”一语的定义。

The Commission, however, considered it necessary to provide a working definition for the present draft guidelines, and the definition given in paragraph (a) is inspired by the definition given by a working group of the Intergovernmental Panel on Climate Change (IPCC).

然而，委员会认为有必要为本指南草案提供一个工作定义，(a) 项所载定义参考了政府间气候变化专门委员会(气专委)工作组给出的定义。

(3) The Commission considered it necessary that its legal definition be consistent with the approach of scientists.

(3) 委员会认为，有必要的是，其使用的法律定义应一科学家的定义一致。

According to scientists, the atmosphere exists in what is called the atmospheric shell.

据科学家认为，大气层存在于所谓的大气壳层当中。

It extends upwards from the Earth’s surface, which is the bottom boundary of the dry atmosphere.

干大气层从其底层分界线―― 地球表面向上延伸。

The average composition of the atmosphere up to an altitude of 25 kilometres is as follows: Nitrogen (78.08%), oxygen (20.95%), together with trace gases, such as argon (0.93%), helium and radiatively active greenhouse gases, such as carbon dioxide (0.035%) and ozone, as well as greenhouse water vapour in highly variable amounts.

海拔25千米以下的大气层的平均组成状况如下：氮(78.08%)、氧(20.95%)、氩(0.93%)和若干痕量气体，诸如氩(0.93%)、氦以及二氧化碳(0.035%)和臭氧等相对活跃的温室气体，还有数量变化不定的水蒸气。

The atmosphere also contains clouds and aerosols.

大气层中还有云和气溶胶。

The atmosphere is divided vertically into five spheres on the basis of temperature characteristics.

大气层按照温度特性被垂直分为四层。

From the lower to upper layers, these spheres are: troposphere, stratosphere, mesosphere, thermosphere, and the exosphere.

从最下层至最上层分别为：对流层、平流层、中间层、热层、散逸层。

Approximately 80% of air mass exists in the troposphere and 20% in the stratosphere.

约有80%的大气层质量位于对流层，20%的大气层质量位于平流层。

The thin, white, hazy belt (with a thickness of less than 1% of the radius of the globe) that one sees when looking at the earth from a distance is the atmosphere.

从一定距离以外遥望地球时看到的薄薄一层白色雾带(厚度不到地球半径的1%)就是大气层。

Scientifically these spheres are grouped together as the “lower atmosphere,” which extends to an average altitude of 50 kilometres, and can be distinguished from the “upper atmosphere”.

在科学上，这些气层一起组成“低层大气层”，它往上延伸至平均海拔50千米的高度，以此可与“高层大气层”区别开来。

The temperature of the atmosphere changes with altitude.

大气层的温度随高度变化而变化。

In the troposphere (up to the tropopause, at a height of about 12 kilometres), the temperature decreases as altitude increases because of the absorption and radiation of solar energy by the surface of the planet.

在对流层(至海拔12千米的对流层顶)，因为地球表面吸收和反射太阳光，温度随着高度的上升而下降。

In contrast, in the stratosphere (up to the stratopause, at a height of nearly 50 kilometres), temperature gradually increases with height because of the absorption of ultraviolet radiation by ozone.

反之，在平流层(至约50千米的平流层顶)，因为臭氧吸收紫外线辐射，所以温度随着高度上升 逐渐上升。

In the mesosphere (up to the mesopause, at a height of above 80 kilometres), temperatures again decrease with altitude.

在中间层(至海拔超过80千米的中间层顶)，温度再次随着高度上升而下降。

In the thermosphere, temperatures once more rise rapidly because of X-ray and ultraviolet radiation from the sun.

在热层，来自太阳的X射线和紫外线辐射使温度再次快速上升。

The atmosphere “has no well-defined upper limit”.

大气层“没有明确的上层界限”。

(4) The definition, in paragraph (a), of the “atmosphere” as the envelope of gases surrounding the Earth represents a “physical” description of the atmosphere.

(4) (a)项中将大气层界定为环绕地球的气体圈层，是对大气层的“物理”描述。

There is also a “functional” aspect, which involves the large-scale movement of air.

此外还有一个“功能”层面，涉及空气的大规模移动。

The atmospheric movement has a dynamic and fluctuating feature.

大气移动具有动态的、变幻不定的特点。

The air moves and circulates around the earth in a complicated formation called “atmospheric circulation”.

空气以一种所谓“大气环流”的复杂形态环绕着地球移动。

The Commission has decided, as noted earlier in the commentary to the preamble, to refer to this functional aspect of the atmosphere in the second paragraph of the preamble.

正如前边序言评注里所说，委员会决定在序言第二段里提及大气层的这一功能方面。

(5) It is particularly important to recognize the function of the atmosphere as a medium within which there is constant movement as it is within that context that the “transport and dispersion” of polluting and degrading substances occurs.

(5) 尤为重要的是，要认识到大气层作为内部存在不断运动的媒介的功能，因为正是在这个背景内发生污染物质和降解物质的输送和扩散。

Indeed, the long-range transboundary movement of polluting substances is one of the major problems for the atmospheric environment.

事实上，污染物质的长途跨界移动是大气环境的主要问题之一。

In addition to transboundary pollution, other concerns relate to the depletion of the ozone layer and to climate change.

除了跨界污染以外，还存在着与臭氧层消耗和气候变化有关的其他关注问题。

(6) Paragraph (b) defines “atmospheric pollution” and addresses transboundary air pollution, whereas paragraph (c) defines “atmospheric degradation” and refers to global atmospheric problems.

(6) (b)项界定了“大气污染”，提及跨界空气污染，而(c)项界定了“大气层退化”，提及全球大气层问题。

By stating “by humans”, both paragraphs (b) and (c) make it clear that the draft guidelines address “anthropogenic” atmospheric pollution and atmospheric degradation.

(b)、(c)两项都用了“人类”一词，意在指明本指南草案所针对的是“人为”大气污染和大气层退化。

The Commission is aware that the focus on human activity, whether direct or indirect, is a deliberate one as the present guidelines seek to provide guidance to States and the international community.

委员会意识到，将重点放在直接和间接的人类活动方面是故意的，因为本指南是要为各国和国际社会提供指导意见。

(7) The term “atmospheric pollution” (or, air pollution) is sometimes used broadly to include global deterioration of atmospheric conditions such as ozone depletion and climate change, but the term is used in the present draft guidelines in a narrow sense, in line with existing treaty practice.

(7) “大气污染”(或“空气污染”)一语有时广义使用，包含大气层条件的全球恶化，诸如臭氧层消耗和气候变化， 但是，这个词语在本指南草案中是狭义使用，与现有条约实践一致。

It thus excludes the global issues from the definition of atmospheric pollution.

这样，该词语将全球问题排除在大气污染定义之外。

(8) In defining “atmospheric pollution”, paragraph (b), uses the language that is essentially based on article 1 (a) of the 1979 Convention on Long-Range Transboundary Air Pollution (LRTAP), which provides that:

(8) 为界定“大气污染”，(b)项所用词语基本依据1979年《远距离跨界空气污染公约》(《跨界污染公约》)第1条(a)项， 其中规定：

“[a]ir pollution” means “the introduction by man, directly or indirectly, of substances or energy into the air resulting in deleterious effects of such a nature as to endanger human health, harm living resources and ecosystems and material property and impair or interfere with amenities and other legitimate uses of the environment, and ‘air pollutants’ shall be construed accordingly.”

“空气污染”指“由人类直接或间接将物质或能量引入空气的现象，所致有害影响的性质包括危害人的健康、破坏生命资源和生态系统及物质财产，并损害或干扰舒适度及对环境的其他合理使用，而对‘空气污染物’应作相应理解。

It may also be noted that article 1, paragraph (4), of the United Nations Convention on the Law of the Sea (UNCLOS) defines the term “pollution” as meaning “the introduction by man, directly or indirectly, of substances or energy into the marine environment, including estuaries, which results or is likely to result in such deleterious effects as harm to living resources and marine life, hazards to human health …

” 或许还可以指出，《联合国海洋法公约》(《海洋法公约》) 第一条第(4)款将“污染”一词界定为指“人类直接或间接把物质或能量引入海洋环境，其中包括河口湾，以致造成或可能造成损害生物资源和海洋生物、危害人类健康…”。

” The deleterious effects arising from an introduction or release have to be of such a nature as to endanger human life and health and the Earth’s natural environment, including by contributing to endangering them.

引入或释放所致有害影响的性质须达到危害人类健康和地球自然环境的程度，包括有助于造成这种危害。

(9) While article 1 (a) of the LRTAP Convention and the article 1, paragraph 1 (4), of the UNCLOS provide for “introduction of energy” (as well as substances) into the atmosphere as part of the “pollution,” the Commission has decided not to include the term “energy” in the text of paragraph (b) of the draft guideline.

(9) 《跨界污染公约》第1条(a)项和《海洋法公约》第一条第1(4)款规定把(物质和)“能量引入”大气层是“污染”的一部分，但委员会决定在本条指南草案的(b)项中不采用“能量”这个词语。

It is the understanding of the Commission that, for the purposes of the draft guidelines, the word “substances” includes “energy.

委员会的理解是，为了本指南草案的目的，“物质”一词包含“能量”。

” “Energy” is understood to include heat, light, noise and radioactivity introduced and released into the atmosphere through human activities.

“能量”理解为包括通过人类活动引入和释放到大气层中的热、光、噪音和放射性。

(10) The expression “effects extending beyond the State of origin” in paragraph (b) clarifies that the draft guidelines address the transboundary effects in the sense provided in article 1 (b) of the 1979 LRTAP Convention that “[l]ong-range transboundary air pollution” means “air pollution whose physical origin is situated wholly or in part within the area under the national jurisdiction of one State and which has adverse effects in the area under the jurisdiction of another State at such a distance that it is not generally possible to distinguish the contribution of individual emission sources or groups of sources.”

(10) (b)项中“影响超出来源国”一语澄清指南草案要处理的是1979年《跨界污染公约》第1条(b)项规定意义上的跨界影响，即：“远距离跨界空气污染”指“其物理来源完全或部分位于属于一国国家管辖范围之内的空气污染，对另一国所管辖范围内的地区产生不利影响，之间相差的距离通常使人无法区分单独排放源或集体排放源的作用”。

(11) Since “atmospheric pollution” is defined narrowly in paragraph (b), it is necessary, for the purposes of the draft guidelines, to address issues other than atmospheric pollution by means of a different definition.

(11) 由于(b)项的“大气污染”是狭义界定，因此，为了本指南草案的目的，有必要借助于另一个不同的定义处理非大气污染问题。

For this purpose, paragraph (c) provides the definition of “atmospheric degradation”.

为此，(c)项提供了“大气层退化”的定义。

This definition is intended to include problems of ozone depletion and climate change.

这个定义意在包含臭氧层消耗和气候变化问题。

It covers the alteration of the global atmospheric conditions caused by humans, whether directly or indirectly.

定义涵盖人类直接或间接改变全球大气状况。

These may be changes to the physical environment or biota or alterations to the composition of the global atmosphere.

这些改变既可以是自然环境或生物区系的改变，也可以是全球大气层组成状况的改变。

The 1985 Vienna Convention on the Protection of Ozone Layer provides the definition of “adverse effects” in article 1, paragraph (2), as meaning “changes in the physical environment or biota, including changes in climate, which have significant deleterious effects on human health or on the composition, resilience and productivity of natural and managed ecosystems, or on materials useful to mankind.

1985年《保护臭氧层维也纳公约》 在第1条第(2)款中规定“不利影响”是指“自然环境或生物区系内发生的，对人类健康或自然的和受管理的生态系统的组成、恢复力和生产力或对人类有益的物质造成较大有害影响的变化，包括气候变化。

” Article 1, paragraph (2), of the United Nations Framework Convention on Climate defines “climate change” as “a change of climate which is attributed directly or indirectly to human activity that alters the composition of the global atmosphere and which is in addition to natural climate variability observed over comparable time periods.”

”《联合国气候变化框架公约》第一条第(2)款把“气候变化”界定为“除在类似时期内所观测的气候的自然变异之外，由于直接或间接的人类活动改变了地球大气的组成而造成的气候变化。

(12) The term “significant deleterious effects” is intended to qualify the range of human activities to be covered by the draft guidelines.

” (12) “较大有害影响”一语意在限定指南草案要涵盖的人类活动的种类。

The Commission has frequently employed the term “significant” in its previous work.

委员会在以前的工作中经常使用“较大(significant)”一词。

The Commission has stated that “… significant is something more than ‘detectable’ but need not be at the level of ‘serious’ or ‘substantial’.

委员会曾指出“…‘较大’意指某事物的程度不止‘可察觉’，但又未必达到‘严重(serious)’或‘重大(substantial)’的程度”。

The harm must lead to real detrimental effects [and]… such detrimental effects must be able to be measured by factual and objective standards.

损害必须是会导致真实的有害影响的[而且]…这些有害影响必须是可以用事实或客观标准加以衡量的。

” Moreover, the term “significant”, while determined by factual and objective criteria, also involves a value determination that depends on the circumstances of a particular case and the period in which such determination is made.

此外，“较大”一语要根据事实和客观标准确定，但也涉及一种价值判断，取决于具体情况和作出判断的时间段。

For instance, a particular deprivation at a particular time might not be considered “significant” because at that time scientific knowledge or human appreciation did not assign much value to the resource.

例如，一段特定时间内(某种资源)的一个特定损失或许不被视为“较大”，因为当时的科学知识或人类认知水平尚未对该资源赋予很大价值。

The question of what constitutes “significant” is more of a factual assessment.

究竟什么是“较大”，这主要是应根据事实确定的问题。

(13) While with respect to “atmospheric pollution” the introduction or release of substances has to contribute only to “deleterious” effects, in the case of “atmospheric degradation” the alteration of atmospheric conditions must have “significant deleterious effects”.

(13) 就“大气污染”而言，物质的引入或释放只须有助于造成“有害”影响，而就“大气层退化”而言，改变大气层状况必须具有“较大有害影响”。

As is evident from draft guideline 2, on the Scope of the guidelines, the present guidelines are concerned with the protection of the atmosphere from both atmospheric pollution and atmospheric degradation.

关于本指南适用范围的指南2草案表明，本指南涉及保护大气层免遭大气污染和大气层退化。

As noted in paragraph (11) above, “adverse effects” in the Vienna Convention on the Protection of Ozone Layer refers to changes, which have significant deleterious effects.

如以上第(11)段所述，《保护臭氧层维也纳公约》 中“不利影响”一语指具有较大有害影响的变化。

The word “deleterious” refers to something harmful, often in a subtle or unexpected way.

“有害”一词指某事物往往存在不甚明确或意料之外的害处。

Guideline 2

指南2

Scope of the guidelines

指南的范围

1. The present draft guidelines [contain guiding principles relating to] [deal with] the protection of the atmosphere from atmospheric pollution and atmospheric degradation.

1. 本指南草案[所载指导原则涉及][涉及]保护大气层免遭大气污染和大气层退化。

2. The present draft guidelines do not deal with, but are without prejudice to, questions concerning the polluter-pays-principle, the precautionary principle, common but differentiated responsibilities, the liability of States and their nationals, and the transfer of funds and technologies to developing countries, including intellectual property rights.

2. 本指南草案不处理、但也不妨碍以下问题：污染者付费原则、谨慎原则、共同但有区别的责任、国家及其国民的赔偿责任，以及向发展中国家转让资金，包括知识产权。

3. The present draft guidelines do not deal with specific substances, such as black carbon, tropospheric ozone, and other dual-impact substances, which are the subject of negotiations among States.

3. 本指南草案不涉及具体物质，例如国家之间正在谈判的黑碳、对流层臭氧以及其他双重影响物质。

4. Nothing in the present draft guidelines affects the status of airspace under international law, nor questions related to outer space, including its delimitation.

4. 本指南草案中的任何内容都不影响国际法规定的空气空间的地位，也不影响与外层空间，包括外层空间划界有关的问题。

Commentary

评注

(1) Draft guideline 2 sets out the scope of the draft guidelines in relation to the protection of the atmosphere.

(1) 指南草案2规定指南草案在保护大气层方面的范围。

Paragraph 1 describes the scope in a positive manner, indicating what is dealt with by the guidelines, while paragraphs 2 and 3 are formulated in a negative way, specifying what is not covered by the present draft guidelines.

第1段正面描述了范围，写明指南处理什么，第2和第3段采用否定措词，具体写明本指南草案不涵盖什么。

Paragraph 4 contains a saving clause on airspace and outer space.

第4段是关于空气空间和外层空间的保留条款。

(2) Paragraph 1 defines the scope of the draft guidelines on the basis of the definitions contained in paragraphs (b) and (c) of draft guideline 1.

(2) 第1段是在指南1草案的(b)和(c)定义的基础上界定指南草案的范围。

It deals with questions of the protection of the atmosphere in two areas, atmospheric pollution and atmospheric degradation.

第1段从两方面处理保护大气层的问题，即：大气污染和全球大气层退化。

The draft guidelines are concerned only with anthropogenic causes and not with those of natural origins such as volcanic eruptions and meteorite collisions.

指南草案仅涉及人为肇因，不涉及自然因素，诸如火山爆发和陨石撞击。

The focus on transboundary pollution and global atmospheric degradation caused by human activity reflects the current realities, which are supported by the science.

着重于人类活动造成的跨界大气污染和全球大气层退化是反映当前现实，这已得到科学的支持。

According to the IPCC, the science indicates with 95 percent certainty that human activity is the dominant cause of observed warming since the mid-20th century.

根据气专委，科学以95%的把握表明人类活动是20世纪中叶以来所观察到的暖化的主导原因。

The IPCC noted that human influence on the climate system is clear.

气专委指出，人类对气候系统的影响是很清楚的。

Such influence has been detected in warming of the atmosphere and the ocean, in changes in the global water cycle, in reductions in snow and ice, in global mean sea level rise, and in changes in some climate extremes.

从大气层和海洋变暖、全球水循环变化、冰雪减少、全球平均海平面上升和某些气候极端情况的变化中都测到了这种影响。

The IPCC further noted that it is extremely likely that more than half of the observed increase in global average surface temperature from 1951 to 2010 was caused by the anthropogenic increase in greenhouse gas concentrations and other anthropogenic “forcings” together.

气专委还指出，观察到的1951年到2010年全球表面平均温度上升值的一半以上极有可能是温室气体浓度的人为上升和其他人为辐射“强制作用”共同造成的。

(3) The guidelines will also not deal with domestic or local pollution.

(3) 本指南也不涉及一国内部或局部的污染。

It may be noted however that whatever happens locally may sometimes have a bearing on the transboundary and global context in so far as the protection of the atmosphere is concerned.

然而，或许可以指出，局部发生的一切，就大气层保护而言，有时可能具有跨界和全球影响。

Ameliorative human action, taken individually or collectively, may need to take into account the totality of the atmosphere, hydrosphere, biosphere and geosphere and their interactions.

追求改善的人类行动，不论是个别采取还是集体采取，都可能需要考虑到大气层、水圈、生物圈和地圈的整体及其相互作用。

(4) Sulphur dioxide and nitrogen oxides are the main sources of transboundary atmospheric pollution, while climate change and depletion of the ozone layer are the two principal concerns leading to atmospheric degradation.

(4) 二氧化硫和氧化氮是跨界大气污染的主要来源， 而气候变化和臭氧层消耗是导致大气层退化的两大因素。

Certain ozone depleting substances also contribute to global warming.

某些臭氧消耗物质也是造成全球变暖的因素。

(5) Whether or not the draft guidelines “contain guiding principles relating to” or “deal with” the protection of the atmosphere from atmospheric pollution and atmospheric degradation is a matter that will have to be given further consideration as the work progresses.

(5) 指南草案是“(所)载(有)指导原则涉及”还是“涉及”保护大气层免遭大气污染和大气层退化，这个问题有待随着工作进展做进一步审议。

(6) Paragraphs 2 and 3, as well as the fourth preambular paragraph, reflect the 2013 Understanding of the Commission when the topic was included in the programme of work of the Commission at its sixty-fifth session in 2013.

(6) 第2和第3段以及序言部分第四段反映委员会在2013年就本专题纳入第六十五届会议工作方案达成的谅解。

(7) Paragraph 4 is a saving clause that the draft guidelines do not affect the status of airspace under international law.

(7) 第4段是一个保留条款，意在说明指南草案不影响适用的国际法所规定的空气空间的地位。

The atmosphere and airspace are two entirely different concepts, which should be distinguished.

大气层和空气空间是两个截然不同的概念，应予区分。

Airspace is a static and spatial-based institution over which the State, within its territory, has “complete and exclusive sovereignty.

空气空间是静态的、基于空间的规范概念，国家在其领土范围内对空气空间“具有完全的和排他的主权”。

” For instance, article 1 of the Convention on International Civil Aviation, provides that “… every State has complete and exclusive sovereignty over the ‘airspace’ above its territory”.

例如，《国际民用航空公约》 第1条规定：“…每一国家对其领土之上的‘空气空间’具有完全的和排他的主权”。

In turn, article 2 of the same Convention deems the territory of a State to be the land areas and territorial waters adjacent thereto under the sovereignty, suzerainty, protection or mandate of such State.

相应地，该公约第2条认为一国的领土是在该国主权、宗主权、保护或主权、宗主权、保护或委任统治下的陆地区域及与其邻接的领水。

The airspace beyond the boundaries of territorial waters is regarded as being outside the sovereignty of any State and is open for use by all States, like the high seas.

领水边界以外的空气空间被视为处于任何国家的主权之外，像公海一样，开放供所有国家使用。

On the other hand, the atmosphere, as an envelope of gases surrounding the Earth, is dynamic and fluctuating, with gases that constantly move without regard to territorial boundaries.

另一方面，大气层作为环绕地球的气体圈层，是动态的和动态的、变幻不定的，气体不断流动，与领土边界无关。

The atmosphere is invisible, intangible and non-separable.

大气层是不可见的、无形的和不可分割的。

(8) Moreover, while the atmosphere is spatially divided into spheres on the basis of temperature characteristics, there is no sharp scientific boundary between the atmosphere and outer space.

(8) 此外，尽管大气层根据温度特点被在空间上划成若干圈层，但大气层与外层空间之间没有科学上的明确界线。

Beyond 100 kilometres, traces of the atmosphere gradually merge with the emptiness of space.

海拔100千米以上，稀薄的大气层逐渐与空旷的宇宙融为一体。

The Treaty on Principles Governing the Activities of States in the Exploration and Use of Outer Space, including the Moon and Other Celestial Bodies is silent on the definition of “outer space”.

《各国探索与利用包括月球和其他天体在内的外层空间活动的原则的条约》没有“外层空间”的定义。

The matter has been under discussion within the context of the Legal Sub-Committee of the United Nations Committee on the Peaceful Uses of Outer Space (UNCOPUOS) since 1959, which has looked at both spatial and function approaches to the questions of delimitation.

1959年以来，这个问题一直在联合国和平利用外层空间委员会(外空委)法律小组委员会讨论范围内，对划界问题从空间办法和功能办法两个角度都进行了探讨。

(9) Accordingly, the Commission elected, in paragraph 4, to indicate that the draft guidelines do not affect the legal status of airspace nor address questions related to outer space.

(9) 因此，委员会选择在第4段里表明，指南草案既不影响空气空间的法律地位，也不处理与外层空间有关的问题。

Moreover, the reference to outer space reflects of the 2013 Understanding of the Commission.

此外，关于外层空间的提法反映委员会2013年的谅解。

Guideline 5

指南5

International cooperation

国际合作

1. States have the obligation to cooperate, as appropriate, with each other and with relevant international organisations, for the protection of the atmosphere from atmospheric pollution and atmospheric degradation.

1. 国家有义务就保护大气层免遭大气污染和大气层退化，酌情与其他国家或有关国际组织合作。

2. States should cooperate in further enhancing scientific knowledge relating to the causes and impacts of atmospheric pollution and atmospheric degradation.

2. 国家应就进一步增进关于大气污染和大气层退化的原因与影响的科学知识开展合作。

Cooperation could include exchange of information and joint monitoring.

合作应包括信息交流和联合监测。

Commentary

评注

(1) International cooperation is at the core of the whole set of draft guidelines on the protection of the atmosphere.

(1) 国际合作位于关于保护大气层的整套指南草案的核心。

The concept of international cooperation has undergone a significant change in international law, and today is to a large extent built on the notion of common interests of the international community as a whole.

国际合作概念在国际法中有很大的变化， 今日在很大程度上依托“整个国际社会”的共同利益概念。

The third paragraph of the preamble to the present draft guidelines recognises this in stating that the protection of the atmosphere from atmospheric pollution and degradation is “a pressing concern of the international community as a whole”.

本指南草案序言部分第三段承认这一点，故言明保护大气层免遭大气污染和大气层退化是“整个国际社会面临的紧迫关切问题”。

(2) In this context, draft guideline 5, paragraph 1, provides the obligation of States to cooperate, as appropriate.

(2) 以此为背景，指南草案5第1段规定了各国酌情合作的义务。

In concrete terms, such cooperation is with other States and with relevant international organisations.

具体而言，要与其他国家和有关国际组织进行这种合作。

The phrase “as appropriate” denotes certain flexibility and latitude for States in carrying out the obligation to cooperate depending on the nature and subject matter required for cooperation.

“酌情”一词为国家履行合作义务留出灵活性和回旋余地，取决于所要求的合作性质和主题事项。

The forms in which such cooperation may occur may also vary depending on the situation and the exercise of a certain margin of appreciation of States.

合作的形式也可有所不同，取决于情况和各国如何运用一定的判断余地。

It may be at the bilateral, regional or multilateral levels.

可以是双边的、区域的或多边的。

States may also individually take appropriate action.

各国也可自行采取适当行动。

(3) International cooperation is found in several multilateral instruments relevant to the protection of the environment.

(3) 在若干有关环境保护的多边文书中已规定了国际合作。

Both the Stockholm Declaration on the Human Environment and the Rio Declaration on Environment and Development, in principle 24 and principle 27, respectively, stress the importance of cooperation.

《斯德哥尔摩人类环境宣言》和《关于环境与发展的里约宣言》分别在原则24和原则27内强调了合作的重要性。

In addition, in the Pulp Mills case, the International Court of Justice emphasized linkages attendant to the obligation to inform, cooperation between the parties and the obligation of prevention.

此外，在纸浆厂案中，国际法院强调了缔约国之间告知、合作义务与预防义务所伴随的联系。

The Court noted that, “it is by cooperating that the States concerned can jointly manage the risks of damage to the environment … so as to prevent the damage in question.”

法院指出，“正是通过合作，有关国家才能联合管理给环境造成损害的风险…以便实际预防有关损害。

(4) Among some of the existing treaties, the Vienna Convention for the Protection of the Ozone Layer (1985) provides, in its preamble, that the Parties to this Convention are “[a]ware that measures to protect the ozone layer from modifications due to human activities require international co-operation and action.

” (4) 在一些现有条约中，《保护臭氧层维也纳公约》(1985)的序言部分写明，公约缔约方“意识到保护臭氧层使不会因人类活动而发生变化的措施需要国际间的合作和行动”。

” Furthermore, the Preamble of the United Nations Framework Convention on Climate Change (1992) acknowledges that “the global nature of climate change calls for the widest possible cooperation by all countries and their participation in an effective and appropriate international response …,” while reaffirming “the principle of sovereignty of States in international cooperation to address climate change.”

此外，《联合国气候变化框架公约》(1992)序言部分承认“气候变化的全球性要求所有国家…尽可能开展最广泛的合作，并参与有效和适当的国际应对行动”，同时重申“在应付气候变化的国际合作中的国家主权原则”。

(5) Article 8 of the Convention on the Law of the Non-navigational Uses of International Watercourses, on the general obligation to cooperate, provides that:

(5) 《国际水道非航行使用法公约》关于合作的一般义务的第8条规定：

“[W]atercourse States shall cooperate on the basis of sovereign equality, territorial integrity and mutual benefit in order to attain optimal utilization and adequate protection of an international watercourse.”

“水道国应在主权平等领土完整互利和善意的基础上进行合作，使国际水道得到最佳利用和充分保护。

(6) In its work, the Commission has also recognized the importance of the obligation to cooperate.

” (6) 委员会在工作中也认识到合作义务的重要性。

The Articles on prevention of transboundary harm from hazardous activities (2001) provide in draft article 4, on cooperation, that:

《预防危险活动的越境损害的条款》(2001)在关于合作的条款草案4中规定：

“States concerned shall cooperate in good faith and, as necessary, seek the assistance of one or more competent international organizations in preventing significant transboundary harm or at any event in minimizing the risk thereof.”

“有关国家应本着诚意进行合作，并在必要时寻求一个或多个主管国际组织的协助，以预防重大跨界损害或无论如何尽量减小这方面的风险。

Further, the Articles on the law of transboundary aquifers provide in draft article 7, General obligation to cooperate, that:

” 此外，《跨界含水层法条款》在关于合作的一般义务的条款草案7中规定：

“1. Aquifer States shall cooperate on the basis of sovereign equality, territorial integrity, sustainable development, mutual benefit and good faith in order to attain equitable and reasonable utilization and appropriate protection of their transboundary aquifers or aquifer systems.

“1. 含水层国应在主权平等、领土完整、可持续发展、互利和善意的基础上进行合作，使跨界含水层或含水层系统得到公平合理利用和适当保护。

2. For the purpose of paragraph 1, aquifer States should establish joint mechanisms of cooperation.”

2. 为了第1款的目的，含水层国应设立联合合作机制。 ”

(7) Finally, the draft articles on the protection of persons in the event of disasters, provisionally adopted on first reading in 2014, provides, in draft article 8, a duty to cooperate.

(7) 最后，2014年一读暂时通过的“发生灾害时的人员保护条款草案”在条款草案8中规定了合作的责任。

(8) Cooperation could take a variety of forms.

(8) 合作应采取多种形式。

Paragraph (b) of the draft guidelines stresses, in particular, the importance of cooperation in enhancing scientific knowledge relating to the causes and impacts of atmospheric pollution and atmospheric degradation.

本指南草案第2段尤其强调通过合作而增进关于大气污染和大气层退化的原因与影响的科学知识的重要性。

Paragraph (b) also highlights the exchange of information and joint monitoring.

第2段还强调了信息交流和联合监测。

(9) The Vienna Convention for the Protection of the Ozone Layer provides, in its preamble, that international co-operation and action should be “based on relevant scientific and technical considerations”, and in article 4, paragraph (1), on co-operation in the legal, scientific and technical fields, there is provision that:

(9) 《保护臭氧层维也纳公约》序言部分写明，国际合作和行动应“依据有关的科学和技术考虑”，并在关于法律、科学和技术方面的合作的第4条第（1）款中规定：

“The Parties shall facilitate and encourage the exchange of scientific, technical, socio-economic, commercial and legal information relevant to this Convention as further elaborated in annex II.

“各缔约方应促进和鼓励附件二里详细说明的、与本公约有关的科学、技术、社经、商业和法律资料的交换。 ”

Such information shall be supplied to bodies agreed upon by the Parties.”

该公约附件二详细列出了信息交流的全套事项。

Annex II to the Convention gives a detailed set of items for information exchange.

第4条第（2）款规定在考虑到发展中国家需要的前提下进行技术领域的合作。

Article 4, paragraph (2), provides for cooperation in the technical fields, taking into account the needs of developing countries.

(10) 《联合国气候变化框架公约》关于承诺的第4条第（1）款规定：

(10) Article 4, paragraph (1), of the United Nations Framework Convention on Climate Change, regarding commitments, provides that: “All Parties … shall (e) Cooperate in preparing for adaptation to the impacts of climate change; … (g) Promote and cooperate in scientific, technological, technical, socio-economic and other research, systematic observation and development of data archives related to the climate system and intended to further the understanding and to reduce or eliminate the remaining uncertainties regarding the causes, effects, magnitude and timing of climate change and the economic and social consequences of various response strategies; (h) Promote and cooperate in the full, open and prompt exchange of relevant scientific, technological, technical, socio-economic and legal information related to the climate system and climate change, and to the economic and social consequences of various response strategies; (i) Promote and cooperate in education, training and public awareness related to climate change and encourage the widest participation in this process, including that of non-governmental organizations …”

“所有缔约方，…应(e) 合作为适应气候变化的影响做好的准备；…(g) 促进和合作进行关于气候系统的科学、技术、工艺、社会经济和其他研究、系统观测及开发数据档案，目的是增进对气候变化的起因、影响、规模和发生时间以及各种应对战略所带来的经济和社会后果的认识，和减少或消除在这些方面尚存的不确定性；(h) 促进和合作进行关于气候系统和气候变化以及关于各种应对战略所带来的经济和社会后果的科学、技术、工艺、社会经济和法律方面的有关信息的充分、公开的迅速的交流；(i) 促进和合作进行与气候变化有关的教育、培训和提高公众意识的工作，并鼓励人们对这个过程最广泛参与，包括鼓励各种非政府组织的参与；…”

(11) The obligation to cooperate includes, inter alia, the exchange of information.

(11) 合作义务除其他以外，包括了交换资料。

In this respect, it may also be noted that article 9 of the Convention on the Law of the Non-navigational Uses of International Watercourses has a detailed set of provisions on exchange of data and information.

在这方面，或许可以指出，《国际水道非航行使用法公约》第9条详细列出了整套关于交换数据和资料的规定。

Moreover, the LRTAP Convention provides in article 4 that the Contracting Parties “shall exchange information on and review their policies, scientific activities and technical measures aimed at combating, as far as possible, the discharge of air pollutants which may have adverse effects, thereby contributing to the reduction of air pollution including long-range transboundary air pollution.

此外，《跨界空气污染公约》第4条规定，缔约方应“就旨在尽可能防治可能具有不利影响的空气污染的政策、科学活动和技术措施交换信息并进行审查，以利减少空气污染，包括远距离跨界空气污染。

” The Convention also has detailed provisions on cooperation in the fields of research and development (article 7); exchange of information (article 8); and implementation and further development of the cooperative programme for the monitoring and evaluation of the long-range transmission of air pollutants in Europe (article 9).

”该公约还载有研究与发展领域合作的详细规定――第7条；关于交换信息的第8条，并在第9条内规定了执行和进一步发展合作方案，以便在欧洲监测和评估空气污染物的远距离传输情况。

Similarly, the Eastern Africa Regional Framework Agreement on Air Pollution (Nairobi Agreement, 2008) and the West and Central Africa Regional Framework Agreement on Air Pollution (Abidjan Agreement, 2009) have identical provisions on international cooperation.

同样，《东非空气污染区域框架协定》(《内罗毕协定》，2008) 和《中西部非洲空气污染区域框架协定》(《阿比让协定》，2009) 也有类似关于国际合作的规定。

The parties agree to:

缔约方一致同意：

“1.2 Consider the synergies and co-benefits of taking joint measures against the emission of air pollutants and greenhouse gases; 1.4 Promote the exchange of educational and research information on air quality management; 1.5 Promote regional cooperation to strengthen the regulatory institutions …”

“1.2考虑采取联合措施减少空气污染物和温室气体排放的协同作用和共同效益；1.4促进交换关于空气质量管理的教育和研究信息；1.5促进区域合作，以加强管制机构…”

(12) The second sentence of draft article 17, paragraph (4), of the Draft articles on the law of transboundary aquifers provides that: “Cooperation may include coordination of international emergency actions and communications, making available emergency response personnel, emergency response equipment and supplies, scientific and technical expertise and humanitarian assistance. ” In turn, the draft articles on the protection of persons in the event of disaster, provides in draft article 9, that “[f]or the purposes of the present draft articles, cooperation includes humanitarian assistance, coordination of international relief actions and communications, and making available relief personnel, equipment and goods, and scientific, medical and technical resources”.

(12) 跨界含水层法条款草案第17条第（4）款第二句规定：“合作可包括协调处理紧急情况的国际行动和通信，提供应急人员、应急设备和物资、科技专业知识和人道主义援助相应地，《发生灾害时的人员保护条款草案》在条款草案第9条中规定：“为本条款草案的目的，合作包括提供人道主义援助，协调国际救灾行动和通信，提供救灾人员、救灾设备和物资以及科学、医学、技术资源。

Further, draft article 10 (Cooperation for risk reduction) provides that “[c]ooperation shall extend to the taking of measures intended to reduce the risk of disasters”.

”而且，条款草案第10条(减少灾害风险的合作)规定：“合作应扩展至采取旨在减少灾害风险的措施。

(13) In the context of protecting of the atmosphere, enhancing scientific knowledge relating to the causes and impacts of atmospheric pollution and atmospheric degradation is considered key by the Commission.

” (13) 就保护大气层而言，委员会认为关键是增进有关大气污染和大气层退化的原因和影响的科学知识。

Chapter VI

第六章

Identification of customary international law

习惯国际法的识别

A. Introduction

A. 导言

55. At its sixty-fourth session (2012), the Commission decided to include the topic “Formation and evidence of customary international law” in its programme of work and appointed Mr. Michael Wood as Special Rapporteur.

55. 委员会第六十四届会议(2012年)决定将“习惯国际法的形成与证据”专题列入工作方案，并任命迈克尔·伍德先生为特别报告员。

At the same session, the Commission had before it a Note by the Special Rapporteur (A/CN.4/653).

在该届会议上，委员会收到特别报告员的说明(A/CN.4/653)。

Also at the same session, the Commission requested the Secretariat to prepare a memorandum identifying elements in the previous work of the Commission that could be particularly relevant to this topic.

在同届会议上，委员会还请秘书处编写一份备忘录，说明委员会此前的工作中可能与此专题尤为相关的要素。

56. At its sixty-fifth session (2013), the Commission considered the first report of the Special Rapporteur (A/CN.4/663), as well as a memorandum by the Secretariat on the topic (A/CN.4/659).

56. 委员会第六十五届会议(2013年)审议了特别报告员的第一次报告(A/CN.4/ 663)以及秘书处关于该专题的一份备忘录(A/CN.4/659)。

At the same session, the Commission decided to change the title of the topic to “Identification of customary international law”.

在该届会议上，委员会决定将专题标题改为“习惯国际法的识别”。

At its sixty-sixth session (2014), the Commission considered the second report of the Special Rapporteur (A/CN.4/672).

委员会第六十六届会议(2014年)审议了特别报告员的第二次报告(A/CN.4/672)。

57. Following its debate on the second report of the Special Rapporteur, the Commission, at its 3227th meeting, decided to refer draft conclusions 1 to 11, as contained in the second report of the Special Rapporteur, to the Drafting Committee.

57. 委员会在对特别报告员的第二次报告进行辩论后，在第3227次会议上决定将特别报告员第二次报告所载结论草案1至11转交起草委员会。

At the 3242nd meeting of the Commission, the Chairman of the Drafting Committee presented the interim report of the Drafting Committee on “Identification of customary international law”, containing the eight draft conclusions provisionally adopted by the Drafting Committee at the sixty-sixth session.

在委员会第3242次会议上，起草委员会主席介绍了起草委员会关于“习惯国际法的识别”的临时报告，其中载有起草委员会在第六十六届会议期间暂时通过的八条结论草案。

B. Consideration of the topic at the present session

B. 本届会议审议此专题的情况

58. At the present session, the Commission had before it the third report of the Special Rapporteur (A/CN.4/682).

58. 委员会本届会议收到特别报告员的第三次报告(A/CN.4/682)。

The Commission considered the report at its 3250th to 3254th meetings, from 13 to 21 May 2015.

委员会在2015年5月13日至21日第3250至3254次会议上审议了该报告。

59. At its 3254th meeting, on 21 May 2015, the Commission referred the draft conclusions contained in the third report of the Special Rapporteur, to the Drafting Committee.

59. 委员会在2015年5月21日第3254次会议上，将特别报告员第三次报告所载结论草案转交起草委员会。

60. At the 3280th meeting of the Commission, on 29 July 2015, the Chairman of the Drafting Committee presented the report of the Drafting Committee on “Identification of customary international law”, containing draft conclusions 1 to 16 [15], provisionally adopted by the Drafting Committee at the sixty-sixth and sixty-seventh sessions (A/CN.4/L.869).

60. 在委员会2015年7月29日第3280次会议上，起草委员会主席介绍了起草委员会关于“习惯国际法的识别”的报告，其中载有起草委员会在第六十六和第六十七届会议期间暂时通过的第1至第16 [15]条结论草案。

At its 3288th meeting, on 6 August 2015, the Commission took note of draft conclusions 1 to 16.

在2015年8月6日第3288次会议上，委员会注意到第1至第16条结论草案。

It is anticipated that the Commission will, at its next session, consider the provisional adoption of the draft conclusions as well as the commentaries thereto.

预计委员会将在下届会议上考虑暂时通过这些结论草案及其评注。 该报告连同结论草案在现阶段只是作为资料提交给委员会，可在委员会网站上查阅。

61. At its 3288th meeting, on 6 August 2015, the Commission requested the Secretariat to prepare a memorandum concerning the role of decisions of national courts in the case-law of international courts and tribunals of a universal character for the purpose of the determination of customary international law.

61. 在2015年8月6日第3288次会议上，委员会为了对习惯国际法作出认定，请秘书处围绕各国法院的判决在具有普遍性的国际法院和法庭的判例法中所起的作用编写一份备忘录。

1. Introduction by the Special Rapporteur of the third report

1. 特别报告员介绍第三次报告

62. When presenting his third report, the Special Rapporteur indicated that it sought to cover issues that were raised in 2014 regarding the two constituent elements (“a general practice” and “accepted as law (opinio juris)”) as well as new issues such as particular custom and the persistent objector.

62. 特别报告员在介绍第三次报告时指出，报告试图涵盖2014年就两组成要素(“一般惯例”和“被接受为法律(法律确信)”)提出的问题，以及特别习惯和一贯反对者等新问题。

The report proposed additional paragraphs to three of the draft conclusions proposed in the second report, as well as five new draft conclusions, which fell into two new parts (Part five “Particular form of practice and evidence” and Part six “Exceptions to the general application of rules of customary international law”).

第三次报告针对第二次报告提出的结论草案中的三条结论提议了新增段落，并提出了五条新的结论草案，分别列入两个新增部分(第五部分“特定形式的惯例和证据”和第六部分“习惯国际法规则的普遍适用的例外”)。

63. The third report comprised nine sections.

63. 第三次报告分为九节。

The first section constituted an introduction recalling the history of the topic and, in particular, the work done during the previous session by the Commission, as well as the debate on the topic in the Sixth Committee in 2014.

第一节是导言，回顾了该专题的历史，特别是委员会之前会议开展的工作，以及第六委员会2014年关于该专题的辩论。

Section II of the report returned to the relationship between general practice and opinio juris (draft conclusion 3 [4], paragraph 2).

报告第二节再次探讨了一般惯例与法律确信的关系(结论草案3 [4]，第2段)。

Section III dealt with the role of inaction as a form of practice and/or evidence of acceptance as law (draft conclusion 11, paragraph 3).

第三节涉及不作为被视作惯例和(或)接受为法律的证据的作用(结论草案11，第3段)。

Other particular forms of practice and evidence were addressed under Sections IV and V: Section IV examined the role of treaties and resolutions of international organizations and conferences (draft conclusions 12 and 13 respectively), and two subsidiary means for the determination of rules of customary international law, namely judicial decisions and writings (draft conclusion 14), were considered in Section V.

第四节和第五节探讨了其他特殊形式的惯例和证据:第四节研究了国际组织和会议的条约和决议的作用(结论草案12和13)，第五节审议了识别习惯国际法规则的两项辅助手段，即司法裁决和论著(结论草案14)。

Section VI addressed the relevance of international organizations and of the practice of non-State actors (draft conclusion 4 [5], paragraph 3).

第六节探讨了国际组织和非国家行为者实践的相关性(结论草案4 [5]，第3段)。

Finally, sections VII and VIII of the report concerned, in different ways, the application ratione personae of rules of customary international law, to which Part six of the draft conclusions was devoted.

最后，报告第七和第八节以不同方式探讨了习惯国际法规则的属人适用，这也是结论草案第六部分的内容。

Part six comprised two draft conclusions, on particular custom and on the persistent objector respectively (draft conclusions 15 and 16).

第六部分包含两条结论草案，分别是特别习惯和一贯反对者 (结论草案15和16)。

64. In his introduction, the Special Rapporteur expressed his appreciation for the input and support he had received in preparing the third report, as well as for the written submissions received on the topic from several Governments.

64. 特别报告员在介绍中，对第三次报告编写过程中得到的投入和支持表示感谢，并感谢一些政府就此专题提交的书面材料。

He indicated that he had sought to complete the set of draft conclusions to be covered in the final product of the topic, and invited members to suggest any issues that had been overlooked.

他表示，他试图完成将列入该专题最后成果的一套结论草案，请委员们提出任何被忽视的问题。

He highlighted the interconnections between the topic and other topics that had been, and were, on the International Law Commission’s agenda, and affirmed that the Commission’s work was to be seen as a whole.

他强调该专题与国际法委员会议程上其他专题的相互联系，并确认应当全面地看待委员会的工作。

65. The Special Rapporteur recalled that, further to the request made by the Commission, he had returned to the relationship between general practice and opinio juris in the third report.

65. 特别报告员忆及，应委员会的要求，他在第三次报告中再次探讨了一般惯例与法律确信的关系。

He concluded therein that, in seeking to ascertain whether a rule of customary international law had emerged, it was necessary in every case to consider and verify the existence of each element separately and that that generally required an assessment of different evidence for each element.

他在报告中得出结论称，在试图确定一项习惯国际法规则是否已经出现时，每次都需要单独考虑并核实每项要素的存在，这通常需要针对每个要素评估不同的证据。

Another point was that in identifying whether a rule of customary international law exists, what mattered was that both elements were present rather than their temporal order.

另一点是，在识别是否存在一项习惯国际法规则时，重要的是两要素必须都存在，而不是其出现的时间顺序。

Finally, the report indicated that there could be a difference in application of the two-element approach in different fields of international law and that, in some cases, a particular form (or particular instances) of practice, or particular evidence of acceptance as law, could be more relevant than in others.

最后，报告指出，对国际法的不同领域而言，两要素方法的适用可能有所不同，在某些情况下，惯例的某种形式(或某些情形)，或其被接受为法律的某一证据可能比其他形式(情形)或证据更具有相关性。

66. The Special Rapporteur also revisited the question of inaction, in particular its possible contribution to a general practice and possible role as evidence of acceptance as law.

66. 特别报告员还再次探讨了不作为问题，特别是他对一般惯例的可能贡献以及作为接受为法律的证据的可能作用。

He stressed that, despite the importance of inaction for establishing general practice in some cases, the circumstances in which inaction could be relevant were not always obvious.

他强调，虽然不作为在某些情况下对确立一般惯例至关重要，但是不作为可以发挥作用的情形未必明显。

The Special Rapporteur added that inaction could serve as evidence of opinio juris when the circumstances called for some reaction.

特别报告员补充道，当相关情况要求作出某些反应时，不作为可以成为法律确信的证据。

This entailed that the State concerned had to have had actual knowledge of the practice in question or that the circumstances had to have been such that it was deemed to have had such knowledge, and that the inaction needed to have been maintained over a sufficient period of time.

这要求所涉国家必须已实际知悉所涉做法，或相关情况必须是有关国家可被视为已实际知悉所涉做法，且不作为需要保持足够长的一段时间。

67. The third report considered certain particular forms of practice and of evidence of opinio juris, namely treaties and resolutions of international organizations and conferences, given that they are frequently resorted to in the identification of customary international law.

67. 第三次报告考虑了特殊形式的惯例和法律确信的证据，即国际组织和会议的条约和决议，因为在识别习惯国际法时，常常依赖他们。

The Special Rapporteur noted that similar considerations could also apply to other written texts, such as those produced by the International Law Commission.

特别报告员指出，类似考虑还可适用于其他书面文本，例如国际法委员会编写的文件。

The report sought to advise caution when considering whether or not those texts may be relevant for the identification of customary international law and to reiterate that all the surrounding circumstances needed to be considered and weighed.

报告试图提醒，在考虑是否可以依靠这些文本来识别习惯国际法时，需要谨慎，并重申需要考虑并权衡所有相关情况。

In any event, the written texts could not, in and of themselves, constitute customary international law.

无论如何，这些书面文本自身不构成习惯国际法。

68. Regarding the relevance of treaties and treaty-making, the report recalled three ways in which such written texts could relate to customary international law: codification of existing law, crystallization of emerging law, or as the origin of new law.

68. 关于条约和缔约活动的相关性，报告忆及这类书面文件可以与习惯国际法挂钩的三种方式：编纂现有法律、使新出现的法律定型或作为新法律的来源。

The report also addressed the question of the practice of States parties to multilateral conventions, as well as the possible relevance of bilateral treaties.

报告还探讨了多边公约缔约国的惯例以及双边条约可能的相关性。

69. The report also dealt with the issue of the relevance of resolutions adopted by States at international organizations or international conferences as State practice or as evidence of opinio juris.

69. 报告还涉及国家在国际组织或国际会议上通过的决议作为国家惯例或法律确信的证据的相关性问题。

The Special Rapporteur acknowledged the important role such resolutions could play, in certain circumstances, in the formation and identification of customary international law.

特别报告员承认，在某些情况下，这类决议可以对习惯国际法的形成和识别发挥重要作用。

They could not, in and of themselves, create customary international law, but could provide evidence of existing or emerging law and indeed give rise to practice that may lead to the formation of a new rule.

决议本身不创立习惯国际法，但是可以为现有的或正在出现的法律提供证据，并产生可能形成新规则的惯例。

In such a process of assessment, the particular wording used in a given resolution was of critical importance, as were the circumstances surrounding the adoption of the resolution in question.

在此类评价过程中，某项决议使用的具体措词，以及通过所述决议的背景情形至关重要。

70. The report also proceeded to consider two ‘subsidiary’, albeit significant, means for the determination of rules of customary international law: judicial decisions and writings.

70. 报告还接着考虑了识别习惯国际法规则的两项“辅助”(但是很重要的)手段：司法裁决和论著。

By judicial decisions, the report referred to both decisions of international courts and tribunals and decisions of national courts.

关于司法裁决，报告既提到了国际法院和法庭的裁决，也提到了国内法院的裁决。

The importance of the former was underlined.

报告强调了前者的重要性。

Decisions of national courts could also be influential, but had to be approached with some caution.

国内法院的裁决也可以有影响力，但是必须谨慎对待。

The report also recognized that writings remained a useful source of information and analysis for the identification of rules of customary international law, although it was important to distinguish between those that were intended to reflect existing law (lex lata) and those that were put forward as emerging law (lex ferenda).

报告还确认，论著仍然是识别习惯国际法规则的一个有用的资料和分析参考，不过应当区分旨在反映现有法律(现行法)的论著与反映正在出现的法律(拟议法)的论著。

71. As regards the practice of international organizations as such, the report recalled the conclusion reached last year that, in certain cases, the practice of international organizations also contributed to the formation, or expression, of rules of customary international law.

71. 关于国际组织本身的惯例，报告忆及去年得出的结论，即在某些情况下，国际组织的惯例也有助于习惯国际法规则的形成或表述。

The Special Rapporteur emphasized the importance of the distinction between the practice of States within international organizations and that of the international organizations themselves.

特别报告员强调，区分国际组织内各国的惯例与国际组织自身的惯例至关重要。

He also highlighted the importance of distinguishing between the practice of the organization that related to the internal operation of the organization and the practice of the organization in its relations with States and others.

他还强调，应当区分涉及组织内部运作的组织惯例以及该组织与各国及其他方面关系的惯例。

In addition, it was proposed that the conduct of non-State actors other than international organizations be addressed in the draft conclusions.

此外，建议在结论草案中探讨除国际组织外的非国家行为者的行为。

72. The report turned to the category of “particular custom”, a term which was intended to cover, as explained by the Special Rapporteur, what were sometimes referred to as “special”, “regional”, “local” or “bilateral” customary rules.

72. 报告接着提到了“特别习惯”类别，按照特别报告员的解释，这一术语旨在涵盖所谓的“特殊”、“区域”、“地方”或“双边”习惯规则。

The Special Rapporteur stressed that, given the nature of particular custom as binding only on a limited number of States, it was essential to identify clearly which States had participated in the practice and accepted it as law.

特别报告员强调，考虑到特别习惯仅对数目有限的国家具有约束力的性质，有必要明确指出哪些国家参与了该惯例并接受其为法律。

In order to determine the existence of such a custom, it was therefore necessary to ascertain whether there was a general practice among the States concerned that was accepted by each of them as law (opinio juris).

因此，为了确定是否存在这样一个习惯，需要查明有关国家之间是否存在着每一国家均将之接受为法律(法律确信)的一般惯例。

73. The report also addressed the persistent objector rule, whereby a State which had persistently objected to an emerging rule of customary international law, and maintained its objection after the rule had crystallized, was not bound by it.

73. 报告还提到了一贯反对者规则，即一国若坚持反对正在出现的新习惯法规则，并在该规则定型后继续反对，则不受其约束。

The Special Rapporteur emphasized that the rule was well established in jurisprudence, in the previous work of the Commission, and in the literature. The Special Rapporteur stressed the importance of addressing the rule, among other things in order to clarify its stringent requirements.

特别报告员强调，判例、委员会之前的工作以及文献中都确立了该规则，特别报告员强调，探讨该规则至关重要，除其他外，有利于澄清其严格要求。

2. Summary of the debate

2. 辩论摘要

(a) General comments

(a) 一般评论

74. The members of the Commission reiterated their support for the two-element approach followed by the Special Rapporteur.

74. 委员会委员重申对特别报告员采用的两要素方法的支持。

There was general agreement that the outcome of the topic should be a set of practical and simple conclusions, with a commentary, aiming at assisting practitioners in the identification or rules of customary international law.

普遍同意该专题的结果应当是一套附带评注的简单、实用的结论，以便帮助从业者识别习惯国际法规则。

Caution was advised against oversimplification and it was suggested that the draft conclusions would benefit from further specification.

委员们提醒要避免过于简化，指出进一步的说明将对条款草案有利。

75. An exchange of views took place as to the scope of the topic.

75. 委员们就专题的范围交换了意见。

Some members of the Commission indicated that the topic should deal more in depth with the formation of rules of customary international law.

委员会的一些委员指出，该专题应当更加深入地探讨习惯国际法规则的形成。

According to this view, the change in the name of the topic was not intended to affect the focus of the topic.

根据这一意见，专题名称的改变目的不是影响专题的侧重点。

According to another view, the draft conclusions should be restricted to the question of the identification of such rules and should not deal with the question of their formation as such.

另一些委员则认为，结论草案应当仅限于这类规则的识别问题，不应涉及规则的形成问题。

It was indicated, in this respect, that the topic was concerned with the identification of a customary rule at a precise time, without prejudice to the future evolution of this rule.

在这方面，有人指出该专题涉及特定时点的习惯规则的识别，不影响该规则以后的演变。

Another view was that, while the topic was focused on identification, this did not preclude the consideration of formation issues to the extent that they were relevant for identification.

另一种意见是，虽然这一专题侧重于识别，但这不排除对与识别相关的形成问题进行审议。

(b) Relationship between the two constituent elements

(b) 两组成要素之间的关系

76. Some members of the Commission supported the conclusion that, although the two elements always needed to be present, there could be a difference in application of the two-element approach in different fields or with respect to different types of rule.

76. 委员会的部分委员同意这一结论，即虽然两要素都必须存在，但是对不同领域或不同类型的规则而言，两要素方法的适用可以有所不同。

It was stated, however, that a uniform standard had to be upheld regarding all different fields.

不过，他们认为，对所有不同领域必须维持一个统一标准。

Some members of the Commission indicated that the two elements had not been applied consistently and that the topic would benefit from further exploration of the respective weight of the two elements in different fields.

委员会的一些委员指出，两要素的适用不一致，进一步探讨不同领域两要素的各自权重将对该专题有利。

77. Support was expressed for the conclusion that each element was to be separately ascertained and that that generally required an assessment of specific evidence for each element.

77. 委员们表示支持这一结论：对每一要素都必须单独予以确定，这一般需要评估每一要素的具体证据。

Several members of the Commission stressed that the separate assessment of the two requirements did not mean that the same material could not be evidence of both elements.

一些委员强调，单独评估两要素并不意味着同一材料不能同时作为两个要素的证据。

78. As regards the temporal relationship between the two elements of customary rules, a view was expressed that practice should precede opinio juris, while, according to another view, there was no necessary sequence between the two elements.

78. 关于习惯规则的两要素之间的时间关系，有人认为实践应当先于法律确信，但另有人认为，两要素之间没有必然的顺序。

(c) Inaction as practice and/or evidence of acceptance as law (opinio juris)

(c) 不作为被视作惯例和(或)接受为法律（法律确信）的证据

79. While the analysis provided for in the third report on the relevance of inaction for the identification of rules of customary international law was generally welcomed, a number of members of the Commission pointed out the practical difficulty of qualifying inaction for that purpose.

79. 虽然第三次报告中关于不作为对识别习惯国际法规则相关性的分析普遍得到认同，但是委员会的一些委员指出，在实践中很难为此目的对不作为定性。

Several members expressed the need to clarify the specific circumstances under which inaction was relevant, especially in the context of the assessment of acceptance as law (opinio juris).

一些委员表示，需要明确不作为具有相关性的具体情况，特别是在评估是否被接受为法律（法律确信）时。

It was suggested that the specific criteria to be taken into account to qualify inaction be indicated in the text of the draft conclusion itself.

委员们建议，在结论草案的案文中指出构成不作为的具体标准。

80. The criteria enunciated in the report for inaction to serve as evidence of acceptance as law received broad support within the Commission.

80. 报告中列举的不作为被视作接受为法律的证据的标准在委员会内部得到了广泛支持。

A number of members indicated that the situation should warrant reaction by the States concerned, that States must have actual knowledge of the practice in question and that inaction had to be maintained for a sufficient period of time.

一些委员表示，相关情况应当要求所涉国家作出反应，国家必须实际知悉相关实践，且不作为必须维持足够长的一段时间。

Different views were expressed, however, as to whether or not inaction, in that context, was to be equated with acquiescence.

不过，关于在这种情况下，不作为是否等同于默认，委员们意见不一。

It was added that what was important was to establish if inaction, in a particular case, could be equated with opinio juris.

另有人补充说，重要的是确定特定情形下的不作为是否可认为等同于法律确信。

(d) The role of treaties and resolutions

(d) 条约和决议的作用

81. A number of members of the Commission expressed support for the conclusion reached in the report on the role of treaties as evidence of customary international law.

81. 报告中就条约作为习惯国际法证据的作用得出的结论得到了许多委员的支持。

It was suggested by some members that references to the effect of treaties on the formation of customary rules be set aside and that focus be placed on their evidentiary value exclusively.

一些委员建议先不提条约对习惯规则的形成的作用，而只关注条约的证据价值。

The view was expressed that, for the purpose of the topic, there was no difference between the crystallization of a customary rule and the generation of a new rule through the adoption of a treaty.

有人表示，就本专题而言，习惯规则的定型与通过一项条约产生新规则没有区别。

Furthermore, it was suggested to address article 38 of the Vienna Convention on the Law of Treaties.

此外，建议探讨《维也纳条约法公约》第三十八条。

Some members stressed that all treaty provisions were not equally relevant as evidence of rules of customary international law and that only treaty provisions of a “fundamentally norm-creating character” could generate such rules.

一些委员强调，并非所有条约规定在作为习惯国际法规则的证据方面都具有同样的相关性，只有“具备根本的规范制定性质”的条约规定才能产生习惯国际法规则。

82. The importance of establishing the criteria for the determination of the relevance of a treaty provision as evidence of a rule of customary international law was highlighted.

82. 委员们强调，为确定条约规定作为习惯国际法规则证据的相关性制定标准至关重要。

Some members of the Commission stated that the concept of “specially affected States” was not acceptable, while the view was expressed that the geographical distribution of the parties to a treaty could serve as evidence of the general character of practice.

一些委员指出，“特别受到影响的国家”这一概念不可接受，另一些委员则认为，条约缔约方的地域分布可以作为实践具有普遍性的证据。

83. There were a range of views on the evidentiary value of resolutions adopted by international organizations or at international conferences.

83. 关于国际组织或在国际会议上通过的决议的证据价值，存在许多不同意见。

According to some members of the Commission, such resolutions, and in particular resolutions of the General Assembly of the United Nations, could under certain circumstances be regarded as sources of customary international law.

一些委员认为，这类决议，尤其是联合国大会的决议在某些情况下可以被视为习惯国际法的来源。

A number of members of the Commission considered that the evidentiary value of these resolutions were in any case to be assessed with great caution.

委员会的不少委员认为，在任何情况下，都应当谨慎地评估这些决议的证据价值。

A series of elements to be taken into account, such as the composition of the organization, the voting and procedure used in adopting the resolution and the resolution’s object were highlighted.

强调了应考虑的一系列因素，例如组织的组成、通过决议时采用的表决和程序以及决议的宗旨等。

It was also suggested that the relevance of resolutions adopted at international conferences depended on the participation of States to the conference in question.

还有人指出，国际会议上通过的决议的相关性取决于参加该会议的国家。

84. Members of the Commission generally agreed that resolutions of international organizations and conferences could not, in and of themselves, constitute sufficient evidence of the existence of a customary rule.

84. 委员会委员普遍认为，国际组织和会议的决议本身不能构成存在习惯规则的充分证据。

A view was expressed that it may, in some cases, be possible for resolutions to constitute evidence of the existence of rules of customary international law.

一种意见认为，在某些情况下，决议有可能构成存在习惯国际法规则的证据。

It was noted that the evidentiary value of such resolutions depended on other corroborating evidence of general practice and opinio juris.

他们指出，这类决议的证据价值取决于一般惯例和法律确信等其他佐证证据。

It was pointed out that a separate assessment of whether a rule contained in a resolution was supported by a general practice that is accepted as law (opinio juris) was required in order to rely on a resolution (which may, however, serve as evidence for that purpose).

委员们指出，要想依赖一项决议(不过，该决议可以作为证据)，必须单独评估该决议中的规定是否得到了被接受为法律(法律确信)的一般惯例的支持。

(e) Judicial decisions and writings

(e) 司法裁决和论著

85. Members of the Commission welcomed the conclusion according to which judicial decisions and writings were relevant for the identification of rules of customary international law.

85. 委员会委员欢迎这一结论：司法裁决和论著对识别习惯国际法规则具有相关性。

There was an exchange of views regarding the specific roles played by judicial decisions and writings respectively.

委员们就司法裁决和论著分别发挥的具体作用交换了意见。

It was suggested that they did not have the same character and should therefore be dealt with in separate conclusions.

委员们指出，二者特性不同，因此应当在不同的结论中分别述及。

It was also noted that their importance could not be addressed generally and should rather be considered on a case-by-case basis.

委员们还指出，它们的重要性不能一概而论，应当逐案考虑。

86. Some members of the Commission emphasized the special importance of judicial decisions, which could not be considered as secondary or subsidiary evidence.

86. 委员会的一些委员强调，司法裁决特别重要，不能被视为次要或辅助证据。

The central importance of the International Court of Justice was highlighted by some members, while some others indicated that the case-law of other courts and tribunals could not be overlooked, as well as the role of separate and dissenting opinions of international judges.

一些委员强调了国际法院的核心重要性，另一些委员则表示，其他法院和法庭的判例不容忽视，国际法官的个别不同意见也很重要。

An exchange of view took place as to the relevance of decisions of national courts.

委员们就国内法院裁决的相关性交换了意见。

According to some members, those decisions had to be included within the category of “judicial decision” for the purpose of the identification of rules of customary international law.

一些委员认为，出于识别习惯国际法规则的目的，这些裁决必须被列入“司法裁决”类别。

Some other members of the Commission, however, considered that such decisions had to be addressed separately and that their role should be assessed with caution.

不过，委员会的另一些委员则认为必须单独探讨这类裁决，谨慎评价它们的作用。

87. It was suggested that the term “writings” proposed by the Special Rapporteur was too broad and should be qualified.

87. 有人指出，特别报告员提出的“论著”一词过于宽泛，应当加以限定。

Several members of the Commission also stated that the selection of relevant writings could not amount to preference for writers from specific regions but had to be universal.

委员会的一些委员还称，选择相关论著时不能偏向特定区域的作者，必须具有全球性。

88. Several members affirmed that the work of the International Law Commission, which is a subsidiary organ of the General Assembly of the United Nations entrusted with the mandate to promote the progressive development of international law and its codification, could not be equated to “writings” or teachings of publicists.

88. 好几名委员申明，国际法委员会作为联合国大会的附属机构，担负着促进国际法逐渐发展及编纂的任务，委员会的工作不可与公法学者的“论著”或教导等同视之。

(f) The relevance of international organizations and non-State actors

(f) 国际组织和非国家行为者的相关性

89. There were different views within the Commission as to the relevance of the practice of international organizations.

89. 关于国际组织惯例的相关性，委员会内部意见不一。

In particular, a number of members of the Commission pointed out that such practice could contribute to the formation or expression of rules of customary international law, and that the importance of the practice of international organizations in some areas had to be emphasized.

具体地说，一些委员指出，这类惯例可以有助于习惯国际法规则的形成和表述，必须强调国际组织惯例在某些领域的重要性。

Some other members stressed that this could be the case only if the practice of an international organization reflected the practice or conviction of its member States or if it would catalyse State practice, but that the practice of international organizations as such was not relevant for the assessment of a general practice.

另一些委员强调，国际组织的惯例只有在反映了成员国的惯例或信念，或催生国家惯例时，才具有相关性，但是国际组织的惯例本身对评价一般惯例不具有相关性。

A view was expressed that the proposed draft conclusion as written failed to address key issues, such as whether inaction of international organizations counted as practice, whether both practice and opinio juris of international organizations was required, and whether the rule to which the international organization contributes is binding only upon international organizations, only upon States, or upon both.

一种意见认为，所提议的结论草案案文未能处理关键问题，例如国际组织的不作为是否可算作惯例，国际组织的惯例和法律确信是否两者都需要，国际组织帮助确立的规则只是对国际组织有约束力，只是对国家有约束力，还是对两者都有约束力等。

90. The draft conclusion proposed by the Special Rapporteur that the conduct of other non-State actors was not practice for the purposes of the formation or identification was supported by several members of the Commission.

90. 特别报告员提出的关于其他非国家行为者的行为不是习惯国际法的形成或识别方面的惯例的结论草案得到了好几名委员的支持。

The term “other non-State actors” was not considered entirely clear since international organizations were composed of States.

“其他非国家行为者”一词被认为不完全明确，因为国际组织是由国家组成的。

Some members of the Commission considered the proposal to be too strict, in particular in the light of the importance of the practice of certain non-State actors, such as the International Committee of the Red Cross, as well as in view of the importance of activities involving both States and non-State actors.

一些委员认为该提议过于严格，特别是考虑到某些非国家行为者例如红十字国际委员会的惯例以及既涉及国家又涉及非国家行为者的活动都很重要。

(g) Particular custom

(g) 特别习惯

91. A discussion took place regarding the question of particular custom.

91. 委员会就特别习惯问题展开了讨论。

While a number of members of the Commission supported the draft conclusion proposed by the Special Rapporteur, some members of the Commission expressed the view that the question did not fall within the scope of the topic.

一些委员赞成特别报告员提出的结论草案，但是也有一些委员认为，该问题不在本专题范围之内。

Questions were also raised regarding the most appropriate terminology to designate such specific category of rules of customary international law, which had been referred to as “regional”, “local” or “particular” customs.

委员们还就这一特定类别的习惯国际法规则用什么术语最恰当提出了问题，它曾被称为“区域”、“地方”或“特别”习惯。

Moreover, it was suggested to clarify the notion of “region” and to address the question of the geographical nexus between parties to a regional custom.

此外，有人建议阐明“区域”一词的概念，并探讨区域习惯的缔约方之间的地域联系问题。

92. It was stressed that special attention had to be paid to the importance of acquiescence for the identification of particular custom.

92. 有人强调，必须特别关注默认对识别特别习惯的重要性。

According to some members, it followed that a stricter standard existed for particular custom than for general or universal custom.

一些委员认为，识别特别习惯的标准比识别一般或普遍习惯的标准更严格。

Some other members, however, indicated that all rules of customary international law were subject to the same conditions.

而另一些委员则认为，所有习惯国际法规则都应当遵照同样的条件。

A view was expressed that by envisaging the existence of a particular custom among a widely dispersed group of States having no geographical nexus, the proposed draft conclusion invited confusing claims as to the existence of such custom and risked fragmenting customary international law, without any basis in practice.

一种意见认为，提议的结论草案在无任何实践为基础的情况下，设想在没有地理联系、分布广泛的一群国家之间存在着特别习惯，这会就是否存在着这种习惯的问题引发混乱的不同主张，有可能使习惯国际法碎片化。

(h) Persistent objector

(h) 一贯反对者

93. The persistent objector rule was the subject of wide-ranging debate.

93. 一贯反对者规则一直引起广泛争论。

Several members supported the inclusion of the rule in the set of draft conclusions, while some other members considered that it was a controversial theory not supported by sufficient State practice and jurisprudence, and which could lead to the fragmentation of international law.

一些委员赞成将该规则列入结论草案，另一些委员则认为这是一个有争议的理论，没有得到足够多国家惯例和判例的支持，可能导致国际法不成体系。

It was suggested that concrete examples be provided in the commentary to substantiate the rule, which was, according to some members, largely accepted in the literature.

有委员建议在评注中列举具体案例，以证实据一些委员认为这个在文献中已被普遍接受的规则。

94. The members of the Commission also discussed extensively the conditions of application of the persistent objector rule, as well as its consequences.

94. 委员会委员还广泛讨论了适用一贯反对者规则的条件和结果。

Some members indicated that, in any case, even if such a rule existed, it could not be applicable to obligations erga omnes or rules having a peremptory character (jus cogens).

一些委员表示，无论怎样，即使存在着这样的规则，但该规则不能适用于普遍义务或具有强制性的规则(强制法)。

(i) Future programme of work

(i) 今后工作方案

95. As to the future programme of work on the topic, the suggestion by the Special Rapporteur to examine practical means of enhancing the availability of materials on the basis of which a general practice and acceptance as law may be determined was welcomed.

95. 关于该专题的今后工作方案，特别报告员建议研究如何切实加强有关材料的获取便利(这些材料是确定一般惯例及其已被接受为法律的依据)，该建议受到欢迎。

Several members also suggested that the Special Rapporteur study the question of change of customary international law over time, as well as a number of related issues.

一些委员还建议特别报告员研究习惯国际法随时间变化的问题，以及若干相关问题。

96. A number of members of the Commission indicated that sufficient time had to be allocated for the completion of the work on the topic by the Commission and that progress on the topic could not be made at the expense of quality.

96. 委员会的一些委员表示，必须为委员会完成该专题的工作划拨充裕的时间，该专题的进展不能以牺牲质量为代价。

3. Concluding remarks of the Special Rapporteur

3. 特别报告员的总结

97. The Special Rapporteur emphasized that the aim of the topic was to assist in the determination of the existence or not of a rule of customary international law and its content.

97. 特别报告员强调，该专题的目的是帮助确定是否存在一项习惯国际法规则以及该规则的内容。

That was the task faced by judges, arbitrators and lawyers advising on the law as it existed at a particular time, as opposed to those advising on how the law might develop or be developed.

就特定时点存在的法律提供咨询的法官、仲裁员和律师，而不是就法律可能如何发展或被发展提供咨询的上述人员，负责这项工作。

An understanding of how customary rules emerged and evolved nevertheless formed part of the background to the topic and would be addressed in the commentary.

不过，关于习惯规则如何出现和演变的理解构成了专题背景的一部分，将在评注中述及。

98. On the various questions relating to the interrelationship between the two elements, the Special Rapporteur considered that the temporal aspect of the relationship was more related to the formation of customary rules than to their identification, but was nevertheless an important aspect that needed to be covered in the commentary.

98. 关于涉及两要素间相互关系的各种问题，特别报告员认为关系的时间方面对习惯规则的形成比对识别更相关，不过这是一个需要在评注中涵盖的重要方面。

Regarding the application of the two-element approach in different fields, he stressed that regard had to be had to the context in which the evidence arose and that that required a careful evaluation of the factual foundations of each case and their significance.

关于两要素方法在不同领域的适用问题，他强调需要考虑证据出现的背景，这需要认真评估每个案件的事实基础及其重要性。

Finally, on the issue of the separate assessment of the two elements, the Special Rapporteur noted the general agreement within the Commission that each element had to be separately ascertained in order to identify rules of customary international law.

最后，关于分别评价两要素的问题，特别报告员注意到委员会内部的普遍共识：在识别习惯国际法规则时，对每一要素都必须单独予以确定。

The issue referred to at times as “double-counting” proved to be more controversial.

有时被称为“重复计算”的问题发现更有争议。

On that aspect, the Special Rapporteur clarified that there could be occasions where the same evidence might be used in order to ascertain the two elements.

关于这一点，特别报告员作了澄清，说在有些情况下，同样的证据可以用于确定两个要素。

The important aspect is that both elements needed to be present, and that theories according to which the extensive presence of one element could compensate for the lack of the other were not convincing.

重要的是，两要素都必须存在，那些称一个要素广泛存在可以弥补另一个要素缺失的理论不可信。

99. The Special Rapporteur considered that the conclusion that the practice of international organizations as such was relevant for the purpose of the identification of rules of customary international law was not controversial since it appeared that the practice of international organizations in their relations among themselves, at least, could give rise to customary rules binding in such relations.

99. 特别报告员认为，国际组织本身的实践对于识别习惯国际法规则具有相关性这一结论没有争议，因为显然国际组织在它们之间关系方面的实践至少可以产生这类关系中具有约束力的习惯规则。

Such conclusion was also important in the case of international organizations, such as the European Union, exercising competences on behalf of their member States.

这一结论对于代表其成员国行使职能的国际组织，例如欧洲联盟也很重要。

That conclusion, which had been recognized in the previous work of the Commission, seemed to be generally accepted by States.

委员会之前工作中确认的这一结论似乎为各国普遍接受。

The Special Rapporteur stressed that the role of international organizations, despite their importance, was not comparable to that of States.

特别报告员强调，国际组织的作用虽然重要，但是不能与国家相比。

Regarding the role of non-state actors, the Special Rapporteur indicated that such entities might have a role in the formation and identification of rules of customary international law — but through prompting or recording State practice and the practice of international organizations, and not by their own conduct as such.

关于非国家行为者的作用，特别报告员表示，这类实体可能对习惯国际法规则的形成和识别有用，但它们通过促使或记录国家实践和国际组织的实践，而不是通过自身的行为发挥作用。

100. On the role of inaction, the Special Rapporteur indicated that the suggestion that the corresponding paragraph of the draft conclusion needed to reflect the essence of the conditions set forth in the report deserved serious consideration.

100. 关于不作为的作用，特别报告员指出，结论草案的相应段落需要反映报告所列条件的本质这一说法值得认真考虑。

101. With respect to the role of treaties in the identification of rules of customary international law, the Special Rapporteur, while acknowledging the importance of multilateral treaties, considered that bilateral treaties could not be excluded from the draft conclusions, even though their impact had to be approached with particular caution.

101. 关于条约对识别习惯国际法规则的作用，特别报告员在承认多边条约重要性的同时，认为不能将双边条约排除在结论草案之外，即便应当特别谨慎地看待其影响。

The Special Rapporteur also indicated that the significance of article 38 of the Vienna Convention on the Law of Treaties for the topic would be addressed in the commentary and that the notion of “fundamentally norm-creating character” would be captured therein.

特别报告员还表示，《维也纳条约法公约》第三十八条对本专题的重要性将在评注中述及，其中将提到“具备根本的规范制订性质”的概念。

102. The Special Rapporteur noted that the draft conclusion on resolutions of international organizations and conferences had not been particularly controversial within the Commission.

102. 特别报告员注意到，关于国际组织和会议的决议的结论草案没有在委员会内部引起特别争议。

He acknowledged that their role could be expressed more positively, even if such resolutions needed to be referred to with caution.

他承认，即使需要谨慎地提及这类决议，还是可以更加积极地表述它们的作用。

103. The Special Rapporteur indicated that the proposed draft conclusion on judicial decisions and writings needed to be developed further and that the two sources should be dealt with in separate draft conclusions.

103. 特别报告员指出，需要进一步研拟关于司法裁决和论著的拟议结论草案，且应当在不同的结论草案中分别述及二者。

The Special Rapporteur concurred with the view that in reality judicial decisions came into play as part of a single process of determining whether or not a certain customary rule existed.

特别报告员同意这一观点，即事实上，司法裁决在决定是否存在某个习惯规则的单一进程中发挥作用。

He also recognized that separate and dissenting opinions, while in his view not judicial decisions within the meaning of Article 38, paragraph (1) (d), were not without importance for the topic.

他还指出，个别不同意见――虽然在他看来，并非第三十八条第一款(d)项意义下的司法裁决――对本专题也并非不重要。

The Special Rapporteur indicated that by “writings”, he was referring to the “writings of jurists”.

特别报告员表示，他所说的“论著”是指“法学家的论著”。

He also pointed out that the benefit of considering the writings of jurists representing different legal systems of the world needed to be reflected in the commentary.

他还指出，需要在评注中反映考虑代表世界不同法律体系的法学家的论著有何益处。

104. The Special Rapporteur noted that many colleagues had suggested that there should be a separate conclusion on work of the International Law Commission.

104. 特别报告员注意到，许多同事提出，应就国际委员会的工作单拟一条结论。

He was not convinced of the need for a separate conclusion, as opposed to explaining the Commission’s role in the commentaries.

对于单拟一条结论，他不相信有此必要，而是更倾向于在评注里解释委员会的作用。

He nevertheless hoped that the Drafting Committee would consider the matter.

尽管如此，他仍然希望起草委员会考虑此事。

105. On particular custom, the Special Rapporteur confirmed that all the other draft conclusions were applicable to particular custom, including the draft conclusion on treaties, except in so far as draft conclusion 15 provided otherwise.

105. 关于特别习惯，特别报告员确认所有其他结论草案都适用于特别习惯，包括关于条约的结论草案，结论草案15另有规定的除外。

He added that, even if in theory a geographical nexus between the States bound by such rule was not required, it was often called for in practice.

他补充道，即使理论上不要求受这类规则约束的国家之间有地域联系，但是实践中通常有这样的要求。

106. The Special Rapporteur noted that draft conclusion 16 on the persistent objector received widespread support and acknowledged that it had been illustrated by reference to practical examples in the commentary.

106. 特别报告员注意到，关于一贯反对者的结论草案16得到普遍支持，承认通过在评注中提到实际案例而阐述了该结论草案。

He pointed out that the persistent objector rule could be and not infrequently is raised before judges asked to identify customary international law and that it was therefore important to provide practitioners with guidelines on the matter, and especially to clarify the requirements for a State to become a persistent objector.

他指出，可以向需要识别习惯国际法的法官提出一贯反对者规则，事实上也经常这样做，因此，应当向从业者提供这方面的指导方针，特别是说明一国成为一贯反对者需要满足的条件。

107. As to the future programme of work on the topic, the Special Rapporteur indicated that, in the light of all that had been said in the debate, a realistic aim would be to complete a first reading of the draft conclusions and commentaries by the end of the sixty-eighth session (2016).

107. 关于该专题今后的工作方案，特别报告员表示，鉴于辩论中提到的所有内容，现实的目标是在第六十八届会议(2016年)结束前完成对结论草案及评注的一读。

The question would then be how to divide the work between this session and the next one.

问题是如何分配本届会议和下届会议的工作。

Given the importance of the commentaries, it seemed appropriate to have two stages.

鉴于评注的重要性，似乎应当分为两个阶段。

First, if the Drafting Committee was able to complete its work this session, and provisionally adopt a complete set of draft conclusions (complete, that is, subject to any additional provisions and suggestions that might emerge from the debate on a fourth report), the Special Rapporteur could then prepare draft commentaries on all the conclusions in time for the beginning of the 2016 session.

首先，如果起草委员会能够完成本届会议的工作，暂时通过一套完整的结论草案(可加上关于第四次报告的辩论中可能出现的任何补充条款和建议)，特别报告员就可以在2016年届会开始前编写关于所有结论的评注草案。

Members would then have adequate time to consider the draft commentaries carefully, and hopefully the full set of first reading draft conclusions and commentaries could be adopted by the Commission by the end of its 2016 session.

委员届时将有充足的时间认真审议评注草案，顺利的话，委员会可在2016年届会结束前通过一套完整的一读结论草案及评注。

Chapter VII

第七章

Crimes against humanity

危害人类罪

A. Introduction

A. 导言

108. The Commission, at its sixty-fifth session (2013), decided to include the topic “Crimes against humanity” in its long-term programme of work, on the basis of the proposal prepared by Mr. Sean D. Murphy and reproduced in annex B to the report of the Commission on the work of that session.

108. 委员会第六十五届会议(2013年)决定按照该届会议工作报告附件B所载肖恩·墨菲先生提出的建议， 将“危害人类罪”专题列入长期工作方案。

The General Assembly, in paragraph 8 of its resolution 68/112 of 16 December 2013, took note of the inclusion of this topic in the Commission’s long-term programme of work.

大会2013年12月16日第68/112号决议第8段注意到委员会将此专题列入长期工作方案。

109. At its sixty-sixth session (2014), the Commission decided to include the topic in its programme of work and appointed Mr. Sean D. Murphy as Special Rapporteur for the topic.

109. 委员会第六十六届会议(2014年)决定将该专题列入工作方案，并任命肖恩·墨菲先生为该专题的特别报告员。

The General Assembly subsequently, in paragraph 7 of its resolution 69/118 of 10 December 2014, took note of the decision of the Commission to include the topic in its programme of work.

大会随后在2014年12月10日第69/118号决议第7段里注意到委员会决定将此专题列入工作方案。

B. Consideration of the topic at the present session

B. 本届会议审议此专题的情况

110. At the present session, the Commission had before it the first report of the Special Rapporteur (A/CN.4/680), which was considered at its 3254th to 3258th meetings, from 21 to 28 May 2015.

110. 委员会本届会议收到了特别报告员的第一次报告(A/CN.4/680)，在2015年5月21日至28日的第3254次至第3258次会议上审议了该报告。

111. In his first report, the Special Rapporteur, after assessing the potential benefits of developing a convention on crimes against humanity (section II), provided a general background synopsis with respect to crimes against humanity (section III) and addressed some aspects of the existing multilateral conventions that promote prevention, criminalization and inter-State cooperation with respect to crimes (section IV).

111. 特别报告员在第一次报告中，首先评价了拟定一项危害人类罪公约的潜在益处(第二节)，然后概述了危害人类罪的背景(第三节)，并探讨了促进防止各种罪行、将其定为刑事罪及为此进行国家间合作的现有多边公约的某些方面(第四节)。

Furthermore, the Special Rapporteur examined the general obligation that existed in various treaty regimes for States to prevent and punish such crimes (section V) and the definition of “crimes against humanity” for the purpose of the topic (section VI).

特别报告员进而研究了各国防止和惩治危害人类罪的各种条约制度规定的一般义务(第五节)以及为本专题的目的提出的“危害人类罪”定义(第六节)。

The report also contained information as to the future programme of work on the topic (section VII).

报告还介绍了今后关于本专题的工作方案(第七节)。

The Special Rapporteur proposed two draft articles corresponding to the issues addressed in sections V and VI, respectively.

特别报告员分别针对第五节和第六节中探讨的问题，相应地提出了两条草案。

112. At its 3258th meeting, on 28 May 2015, the Commission referred draft articles 1 and 2, as contained in the Special Rapporteur’s first report, to the Drafting Committee.

112. 委员会在2015年5月28日第3258次会议上，将特别报告员第一次报告所载第1和第2条草案转交起草委员会。

113. At its 3263rd meeting, on 5 June 2015, the Commission considered the report of the Drafting Committee and provisionally adopted draft articles 1, 2, 3 and 4 (see section C.1 below).

113. 委员会在2015年6月5日第3263次会议上，审议了起草委员会的报告，并暂时通过第1、第2、第3和第4条草案(见下文C.1节)。

114. At its 3282th to 3284th meetings, on 3 and 4 August 2015, the Commission adopted the commentaries to the draft articles provisionally adopted at the current session (see section C.2 below).

114. 委员会在2015年8月3日和4日第3282次至第3284次会议上，通过了本届会议暂时通过的条款草案的评注(见下文C.2节)。

115. At its 3282th meeting, on 3 August 2015, the Commission requested the Secretariat to prepare a memorandum providing information on existing treaty-based monitoring mechanisms which may be of relevance to its future work on the present topic.

115. 委员会在2015年8月3日第3282次会议上请秘书处编写一份备忘录，提供可能对今后此专题工作有关的关于现有基于条约的监测机制的资料。

C. Text of the draft articles on crimes against humanity provisionally adopted by the Commission at its sixty-seventh session

C. 委员会第六十七届会议暂时通过的危害人类罪条款草案案文

1. Text of the draft articles

1. 条款草案案文

116. The text of the draft articles provisionally adopted at the sixty-seventh session by the Commission is reproduced below.

116. 委员会第六十七届会议暂时通过的条款草案案文载录如下。

Article 1

第1条

Scope

范围

The present draft articles apply to the prevention and punishment of crimes against humanity.

本条款草案适用于防止和惩治危害人类罪。

Article 2

第2条

General obligation

一般义务

Crimes against humanity, whether or not committed in time of armed conflict, are crimes under international law, which States undertake to prevent and punish.

危害人类罪，不论是否发生于武装冲突之时，均系国际法上的罪行，各国承允防止并惩治之。

Article 3

第3条

Definition of crimes against humanity

危害人类罪的定义

1. For the purpose of the present draft articles, “crime against humanity” means any of the following acts when committed as part of a widespread or systematic attack directed against any civilian population, with knowledge of the attack:

1. 为了本条款草案的目的，“危害人类罪”是指在广泛或有系统地针对任何平民人口进行的攻击中，在明知这一攻击的情况下，作为攻击的一部分而实施的下列任何一种行为：

(a) Murder;

(a) 谋杀；

(b) Extermination;

(b) 灭绝；

(c) Enslavement;

(c) 奴役；

(d) Deportation or forcible transfer of population;

(d) 驱逐出境或强行迁移人口；

(e) Imprisonment or other severe deprivation of physical liberty in violation of fundamental rules of international law;

(e) 违反国际法基本规则，监禁或以其他方式严重剥夺人身自由；

(f) Torture;

(f) 酷刑；

(g) Rape, sexual slavery, enforced prostitution, forced pregnancy, enforced sterilization, or any other form of sexual violence of comparable gravity;

(g) 强奸、性奴役、强迫卖淫、强迫怀孕、强迫绝育或严重程度相当的任何其他形式的性暴力；

(h) Persecution against any identifiable group or collectivity on political, racial, national, ethnic, cultural, religious, gender as defined in paragraph 3, or other grounds that are universally recognized as impermissible under international law, in connection with any act referred to in this paragraph or in connection with the crime of genocide or war crimes;

(h) 基于政治、种族、民族、族裔、文化、宗教、第三款所界定的性别或公认为国际法不容的其他理由，对任何可以识别的群体或集体进行的迫害，且与本款提及的任何一种行为有关，或与灭绝种族罪行或战争罪行有关；

(i) Enforced disappearance of persons;

(i) 强迫人员失踪；

(j) The crime of apartheid;

(j) 种族隔离罪；

(k) Other inhumane acts of a similar character intentionally causing great suffering, or serious injury to body or to mental or physical health.

(k) 故意造成重大痛苦，或对人体或身心健康造成严重伤害的其他性质相同的不人道行为。

2. For the purpose of paragraph 1:

2. 为了第1款的目的：

(a) “Attack directed against any civilian population” means a course of conduct involving the multiple commission of acts referred to in paragraph 1 against any civilian population, pursuant to or in furtherance of a State or organizational policy to commit such attack;

(a) “针对任何平民人口进行的攻击”是指根据国家或组织攻击平民人口的政策，或为了推行这种政策，针对任何平民人口多次实施第一款所述行为的行为过程；

(b) “Extermination” includes the intentional infliction of conditions of life, inter alia the deprivation of access to food and medicine, calculated to bring about the destruction of part of a population;

(b) “灭绝”包括故意施加某种生活状况，如断绝粮食和药品来源，目的是毁灭部分的人口；

(c) “Enslavement” means the exercise of any or all of the powers attaching to the right of ownership over a person and includes the exercise of such power in the course of trafficking in persons, in particular women and children;

(c) “奴役”是指对一人行使附属于所有权的任何或一切权力，包括在贩卖人口，特别是贩卖妇女和儿童的过程中行使这种权力；

(d) “Deportation or forcible transfer of population” means forced displacement of the persons concerned by expulsion or other coercive acts from the area in which they are lawfully present, without grounds permitted under international law;

(d) “驱逐出境或强行迁移人口”是指在缺乏国际法容许的理由的情况下，以驱逐或其他胁迫行为，强迫有关的人迁离其合法留在的地区；

(e) “Torture” means the intentional infliction of severe pain or suffering, whether physical or mental, upon a person in the custody or under the control of the accused, except that torture shall not include pain or suffering arising only from, inherent in or incidental to, lawful sanctions;

(e) “酷刑”是指故意致使在被告人羁押或控制下的人的身体或精神遭受重大痛苦；但酷刑不应包括纯因合法制裁而引起的，或这种制裁所固有或附带的痛苦；

(f) “Forced pregnancy” means the unlawful confinement of a woman forcibly made pregnant, with the intent of affecting the ethnic composition of any population or carrying out other grave violations of international law.

(f) “强迫怀孕”是指以影响任何人口的族裔构成的目的，或以进行其他严重违反国际法的行为的目的，非法禁闭被强迫怀孕的妇女。

This definition shall not in any way be interpreted as affecting national laws relating to pregnancy;

本定义不得以任何方式解释为影响国内关于妊娠的法律；

(g) “Persecution” means the intentional and severe deprivation of fundamental rights contrary to international law by reason of the identity of the group or collectivity;

(g) “迫害”是指违反国际法规定，针对某一群体或集体的特性，故意和严重地剥夺基本权利；

(h) “The crime of apartheid” means inhumane acts of a character similar to those referred to in paragraph 1, committed in the context of an institutionalized regime of systematic oppression and domination by one racial group over any other racial group or groups and committed with the intention of maintaining that regime;

(h) “种族隔离罪”是指一个种族群体对任何其他一个或多个种族群体，在一个有计划地实行压迫和统治的体制化制度下，实施性质与第一款所述行为相同的不人道行为，目的是维持该制度的存在；

(i) “Enforced disappearance of persons” means the arrest, detention or abduction of persons by, or with the authorization, support or acquiescence of, a State or a political organization, followed by a refusal to acknowledge that deprivation of freedom or to give information on the fate or whereabouts of those persons, with the intention of removing them from the protection of the law for a prolonged period of time.

(i) “强迫人员失踪”是指国家或政治组织直接地，或在其同意、支持或默许下，逮捕、羁押或绑架人员，继而拒绝承认这种剥夺自由的行为，或拒绝透露有关人员的命运或下落，目的是将其长期置于法律保护之外。

3. For the purpose of the present draft articles, it is understood that the term “gender” refers to the two sexes, male and female, within the context of society.

3. 为了本条款草案的目的，“性别”一词应被理解为是指社会上的男女两性。

The term “gender” does not indicate any meaning different from the above.

“性别”一词仅反映上述意思。

4. This draft article is without prejudice to any broader definition provided for in any international instrument or national law.

4. 本条草案不妨碍任何国际文书或国内法规定的任何更为宽泛的定义。

Article 4

第4条

Obligation of prevention

预防义务

1. Each State undertakes to prevent crimes against humanity, in conformity with international law, including through:

1. 每一国家承诺按照国际法防止危害人类罪，办法包括：

(a) effective legislative, administrative, judicial or other preventive measures in any territory under its jurisdiction or control; and

(a) 在其管辖或控制的任何领土内采取有效的立法、行政、司法或其他预防措施；

(b) cooperation with other States, relevant intergovernmental organizations, and, as appropriate, other organizations.

(b) 与其他国家和有关政府间组织合作，并酌情与其他组织合作。

2. No exceptional circumstances whatsoever, such as armed conflict, internal political instability or other public emergency, may be invoked as a justification of crimes against humanity.

2. 任何特殊情况，诸如武装冲突、国内政局动荡、任何其他公共紧急状态等，均不得援引为施行危害人类罪的理由。

2. Text of the draft articles and commentaries thereto, as provisionally adopted by the Commission at its sixty-seventh session

2. 委员会第六十七届会议暂时通过的条款草案案文及其评注

117. The text of the draft articles, together with commentaries, provisionally adopted by the Commission at its sixty-seventh session, is reproduced below.

117. 委员会第六十七届会议暂时通过的条款草案案文及其评注载录如下。

Article 1

第1条

Scope

范围

The present draft articles apply to the prevention and punishment of crimes against humanity.

本条款草案适用于防止和惩治危害人类罪。

Commentary

评注

(1) Draft article 1 establishes the scope of the present draft articles by indicating that they apply both to the prevention and to the punishment of crimes against humanity.

(1) 第1条草案确定本条款草案的范围，即，写明本条款草案适用于防止和惩治危害人类罪。

Prevention of crimes against humanity is focused on precluding the commission of such offenses, while punishment of crimes against humanity is focused on criminal proceedings against persons after such crimes have occurred or when they are in the process of being committed.

防止危害人类罪所侧重的是排除这种罪行的发生，惩治危害人类罪所侧重的是发生这种行后或在这种行为发生过程中对行为人的刑事诉讼。

(2) The present draft articles focus solely on crimes against humanity, which are grave international crimes wherever they occur.

(2) 本条款草案最主要的着重点就是惩治危害人类罪，这种罪行无论发生在何地都属严重国际罪行。

The present draft articles do not address other grave international crimes, such as genocide, war crimes or the crime of aggression.

本条款草案不处理其他严重国际罪行，诸如灭绝种族罪、战争罪或侵略罪。

Although a view was expressed that this topic might include those crimes as well, the Commission decided to focus on crimes against humanity.

虽然有一种意见认为本专题或许也可包括这些罪行，但委员会决定此处的焦点应是危害人类罪。

(3) Further, the present draft articles will avoid any conflicts with relevant existing treaties.

(3) 此外，本条款草案也将避免与相关的现有条约相冲突。

For example, the present draft articles will avoid conflicts with treaties relating to statutes of limitations, refugees, enforced disappearances, and other matters relating to crimes against humanity.

例如，本条款草案将避免与有关时效法、难民、强迫失踪和涉及危害人类罪的其他事项的条约发生冲突。

In due course, one or more draft articles will be considered to address any such conflicts.

在适当的时候，将考虑通过一项或多项条款草案处理这种冲突。

(4) Likewise, the present draft articles will avoid any conflicts with the obligations of States arising under the constituent instruments of international or “hybrid” (containing a mixture of international law and national law elements) criminal courts or tribunals, including the International Criminal Court (hereinafter “ICC”).

(4) 同样，本条款草案将避免与在国际或“混合”(兼有国际法和国内法要素)刑事法庭或裁判庭――包括国际刑事法院(下称“国际刑院”)――组织章程之下产生的国家义务发生冲突。

Whereas the Rome Statute establishing the ICC regulates relations between the ICC and its States Parties (a “vertical” relationship), the focus of the present draft articles will be on the adoption of national laws and on inter-State cooperation (a “horizontal” relationship).

设立国际刑院的《罗马规约》 规范国际刑院与缔约国的关系(“纵向”关系)，而条款草案的着重点则将是国内法的制定和国家间的合作(“横向”关系)。

Part IX of the Rome Statute on “International Cooperation and Judicial Assistance” assumes that inter-State cooperation on crimes within the jurisdiction of the ICC will continue to exist without prejudice to the Rome Statute, but does not direct itself to the regulation of that cooperation.

关于“国际合作和司法协助”的第九编默示承认，在处理国际刑院管辖范围内的罪行问题上的国家间合作将继续存在，而不妨碍《罗马规约》，但没有对这种合作作出规定。

The present draft articles will address inter-State cooperation on the prevention of crimes against humanity, as well as on the investigation, apprehension, prosecution, extradition, and punishment in national legal systems of persons who commit such crimes, an objective consistent with the Rome Statute.

本条款草案既涉及在防止危害人类罪方面的国家间合作，也涉及在国家法律系统内调查、缉捕、起诉、引渡和处罚这种罪行的行为人，这是与《罗马规约》一致的目标。

In doing so, the present draft articles will contribute to the implementation of the principle of complementarity under the Rome Statute.

通过这样做，本条款草案将有助于实施《罗马规约》规定的补充作用原则。

Finally, constituent instruments of international or hybrid criminal courts or tribunals address the prosecution of persons for the crimes within their jurisdiction, not steps that should be taken by States to prevent such crimes before they are committed or while they are being committed.

最后，国际或“混合”刑事法庭或裁判庭组织章程处理的是对其管辖内的犯罪人的起诉，不是国家为事先防止此类罪行或在此类罪行发生时而应采取的步骤。

Article 2

第2条

General obligation

一般义务

Crimes against humanity, whether or not committed in time of armed conflict, are crimes under international law, which States undertake to prevent and punish.

危害人类罪，不论是否发生于武装冲突之时，均系国际法上的罪行，各国承允防止并惩治之。

Commentary

评注

(1) Draft article 2 sets forth a general obligation of States to prevent and punish crimes against humanity.

(1) 第2条草案规定国家防止和惩治危害人类罪的一般义务。

The content of this general obligation will be addressed through the various more specific obligations set forth in the draft articles that follow, beginning with draft article 4.

这个一般义务的内容将通过在随后从第4条草案开始的若干条款草案中规定各种更为具体的义务加以处理。

Those specific obligations will address steps that States are to take within their national legal systems, as well as their cooperation with other States, with relevant intergovernmental organizations, and with, as appropriate, other organizations.

这些具体义务将规定各国在自己国家法律系统内须采取的步骤，以及与其他国家合作、与有关政府间组织合作，并酌情与其他组织合作。

(2) In the course of stating this general obligation, draft article 2 recognizes crimes against humanity as “crimes under international law.

(2) 第2条草案是陈述这个一般义务，承认危害人类罪是“国际法上的罪行”。

” The Charter of the International Military Tribunal (hereinafter “IMT”) established at Nürnberg included “crimes against humanity” as a component of the IMT’s jurisdiction.

在纽伦堡设立的国际军事法庭(下称“纽伦堡法庭”)的《组织法》(即“纽伦堡宪章”) 将“危害人类罪”列为纽伦堡法庭管辖的内容。

Among other things, the IMT noted that “individuals can be punished for violations of international law.

除其他外，纽伦堡法庭指出，“个人可因违反国际法而受到惩治。

Crimes against international law are committed by men, not by abstract entities, and only by punishing individuals who commit such crimes can the provisions of international law be enforced.

违反国际法的罪行是由人而不是由抽象实体实施的，只有惩处实施这些罪行的个人，国际法的规定才能得到执行。

” Crimes against humanity were also within the jurisdiction of the Tokyo Tribunal.

” 危害人类罪也在东京法庭的管辖之内。

(3) The principles of international law recognized in the Nürnberg Charter were noted and reaffirmed in 1946 by the General Assembly of the United Nations.

(3) 联合国大会在1946年提到并重申了《纽伦堡宪章》所确认的国际法原则。

The Assembly also directed the International Law Commission to “formulate” the Nürnberg Charter principles and to prepare a draft code of offences.

大会还指示国际法委员会“编订”《纽伦堡宪章》原则并拟订一个治罪法草案。

The Commission in 1950 produced the “Principles of International Law recognized in the Charter of the Nürnberg Tribunal and in the Judgment of the Tribunal”, which stated that crimes against humanity were “punishable as crimes under international law.

委员会于1950年拟出了“纽伦堡法庭组织法及法庭判决中所确认之国际法原则”，说明危害人类罪为“违反国际法应受处罚的罪行。

” Further, the Commission completed in 1954 a Draft Code of Offences against the Peace and Security of Mankind, which in Article 2, paragraph 11, included as an offense a series of inhuman acts that are today understood to be crimes against humanity, and which stated in article 1 that “[o]ffences against the peace and security of mankind, as defined in this Code, are crimes under international law, for which the responsible individuals shall be punished.”

” 此外，委员会于1954年完成了《危害人类和平及安全治罪法草案》，其第二条第11款中列出了视为罪行的一系列不人道行为，这些行为今天均视为危害人类罪。 该草案在第一条中写明：“本法所定之危害人类和平及安全的罪行系国际法上的罪行，其责任人应受惩罚。 ”

(4) The characterization of crimes against humanity as “crimes under international law” indicates that they exist as crimes whether or not the conduct has been criminalized under national law.

(4) 将危害人类罪定性为“国际法上的罪行”，表明这种罪行是自然成立的，不论相关行为在国内法之下是否被定为罪行都一样。

The Nürnberg Charter defined crimes against humanity as the commission of certain acts “whether or not in violation of the domestic law of the country where perpetrated.

《纽伦堡宪章》界定危害人类罪是实施某些行为“，不论是否违反此等行为所在地的国内法。

” In 1996, the Commission completed a Draft Code of Crimes Against the Peace and Security of Mankind, which provided, inter alia, that crimes against humanity were “crimes under international law and punishable as such, whether or not they are punishable under national law.

” 1996年，委员会完成了《危害人类和平及安全治罪法草案》，其中除其他外规定危害人类罪是“在国际法范围内、就此而论可予惩罚、而不论是否可依国内法予以惩罚的罪行。

” The gravity of such crimes is clear; the Commission has previously indicated that the prohibition of crimes against humanity is “clearly accepted and recognized” as a peremptory norm of international law.

” 这种罪行的严重性是很清楚的；委员会以前就指出过，禁止危害人类罪“被明确接受和承认”为强制性国际法规范。

(5) Draft article 2 also identifies crimes against humanity as crimes under international law “whether or not committed in time of armed conflict”.

(5) 第2条草案还确定危害人类罪“不论是否发生于武装冲突之时，”都是国际法上的罪行。

The reference to “armed conflict” should be read as including both international and non-international armed conflict.

提及“武装冲突”应理解为包括国际和非国际武装冲突。

The Nürnberg Charter definition of crimes against humanity, as amended by the Berlin Protocol, was linked to the existence of an international armed conflict; the acts only constituted crimes under international law if committed “in execution of or in connection with” any crime within the IMT’s jurisdiction, meaning a crime against peace or a war crime.

经《柏林议定书》 修正的《纽伦堡宪章》关于危害人类罪的定义与国际武装冲突的存在相联系，所涉行为构成国际法上的罪行的条件是，其发生“系随实施”纽伦堡法庭管辖范围内“任何罪行”――即危害和平罪或战争罪――“而起或与之有关者”。

As such, the justification for dealing with matters that traditionally were within the national jurisdiction of a State was based on the crime’s connection to inter-State conflict.

在这个意义上，处理传统上属一国国内管辖范围的事项的依据在于罪行与国家间冲突的联系。

That connection, in turn, suggested heinous crimes occurring on a large-scale, perhaps as part of a pattern of conduct.

而这种联系又意味着大规模发生最严重罪行，或许作为某种行为形态的一部分。

The IMT, charged with trying the senior political and military leaders of the Third Reich, convicted several defendants for crimes against humanity committed during the war, though in some instances the connection of those crimes with other crimes in the IMT’s jurisdiction was tenuous.

负责审判第三帝国高级政治和军事领导人的纽伦堡法庭判定若干被告在战争期间犯危害人类罪，只是有些情况下这些罪行与纽伦堡法庭管辖范围内的其他罪行之间的关系不够明确。

(6) The Commission’s 1950 “Principles of International Law recognized in the Charter of the Nürnberg Tribunal and in the Judgment of the Tribunal,” however, defined crimes against humanity in Principle VI (c) in a manner that required no connection to an armed conflict.

(6) 然而，委员会1950年“纽伦堡法庭组织法及法庭判决中所确认之原则”在原则六(三)中界定危害人类罪的方式却并不要求存在与武装冲突的联系。

In its commentary to this principle, the Commission emphasized that the crime need not be committed during a war, but maintained that pre-war crimes must nevertheless be in connection with a crime against peace.

在该原则的评注中，委员会强调罪行并非必需是战争期间所发生，但对于战前罪行则主张必须存在与危害和平罪的联系。

At the same time, the Commission maintained that “acts may be crimes against humanity even if they are committed by the perpetrator against his own population.

与此同时，委员会主张“行为仍可属危害人类罪，即便该行为是行为人针对本国人口所为。

” The 1968 Convention on the Non-Applicability of Statutory Limitations to War Crimes and Crimes against Humanity referred, in Article 1(b), to “[c]rimes against humanity whether committed in time of war or in time of peace as they are defined in the Charter of the International Military Tribunal, Nürnberg, of 8 August 1945 and confirmed by resolutions 3 (I) of 13 February 1946 and 95 (I) of 11 December 1946 of the General Assembly of the United Nations …

” 1968年《战争罪及危害人类罪不适用法定时效公约》在第一条(乙)项中写明，“一九四五年八月八日纽伦堡国际军事法庭组织法明定并经联合国大会一九四六年二月十三日第3(I)号决议及一九四六年十二月十一日第95(I)号决议确认的危害人类罪，无论犯罪系在战时抑在平时…。

.”

”

(7) The jurisdiction of the International Criminal Tribunal for the former Yugoslavia (hereinafter “ICTY”) included “crimes against humanity.

(7) 前南斯拉夫问题国际刑事法庭(下称“前南刑庭”)的管辖范围内包括“危害人类罪”。

” Article 5 of the ICTY Statute provides that the tribunal may prosecute persons responsible for a series of acts (such as murder, torture, or rape) “when committed in armed conflict, whether international or internal in character, and directed against any civilian population.

《前南刑庭规约》第5条规定，该法庭可对“国际或国内武装冲突中犯下”一系列“针对平民的”行为(诸如谋杀、酷刑或强奸)负有责任的人提起诉讼。

” Thus, the formulation used in article 5 retained a connection to armed conflict, but it is best understood contextually. The ICTY Statute was developed in 1993 with an understanding that armed conflict in fact existed in the former Yugoslavia; the Security Council of the United Nations had already determined that the situation constituted a threat to international peace and security, leading to the exercise of the Security Council’s enforcement powers under Chapter VII of the Charter of the United Nations.

所以，第5条所用的措词保留了与武装冲突的联系，但结合相关背景很容易理解：《前南刑庭规约》是1993年拟订的，当时的理解是，前南斯拉夫境内实际存在着武装冲突；联合国安全理事会已经确定局势构成对国际和平与安全的威胁，导致安全理事会行使《联合国宪章》第七章之下的行动权。

As such, the formulation used in article 5 (“armed conflict”) was designed principally to dispel the notion that crimes against humanity had to be linked to an “international armed conflict.

就此而言，第5条所用的措词(“武装冲突”)主要是为了消除一种认为危害人类罪须与“国际武装冲突”存在联系的概念。

” To the extent that this formulation might be read to suggest that customary international law requires a nexus to armed conflict, the ICTY Appeals Chamber later clarified that there was “no logical or legal basis” for retaining a connection to armed conflict, since “it has been abandoned” in State practice since Nürnberg.

鉴于这种措词可能被解读为习惯国际法要求须存在与武装冲突的联系，前南刑庭上诉分庭后来澄清说，保留与武装冲突的联系“没有逻辑或法律基础”，因为自纽伦堡审判以来，在国家实践中这种联系“已被放弃”。

The Appeals Chamber also noted that the “obsolescence of the nexus requirement is evidenced by international conventions regarding genocide and apartheid, both of which prohibit particular types of crimes against humanity regardless of any connection to armed conflict.

上诉分庭还指出，“关于种族灭绝和种族隔离的国际公约显示，联系要求已经过时，这两项公约都禁止某些种类的危害人类罪而不论是否与武装冲突有联系”。

” Indeed, the Appeals Chamber later maintained that such a connection in the ICTY Statute was simply circumscribing the subject-matter jurisdiction of the ICTY, not codifying customary international law.

事实上，上诉分庭此后还表示认为，《前南刑庭规约》中的这种联系只是限定前南刑庭的属事管辖，并非习惯国际法的编纂。

(8) In 1994, the Security Council established the International Criminal Tribunal for Rwanda (hereinafter “ICTR”) and provided it with jurisdiction over “crimes against humanity.

(8) 1994年，安全理事会设立了卢旺达问题国际刑事法庭(下称“卢刑庭”)并规定了它对“危害人类罪”的管辖权。

” Although article 3 of the ICTR Statute retained the same series of acts as appeared in the ICTY Statute, the chapeau language did not retain the reference to armed conflict.

虽然《卢刑庭规约》第3条保留了《前南刑庭规约》中的同样一系列行为，但起首部分没有保留武装冲突的提法。

Likewise, Article 7 of the Rome Statute, adopted in 1998, did not retain any reference to armed conflict.

同样，1998年通过的《罗马规约》第七条也没有再提及武装冲突。

(9) As such, while early definitions of crimes against humanity required that the underlying acts be accomplished in connection with armed conflict, that connection has disappeared from the statutes of contemporary international criminal courts and tribunals, including the Rome Statute.

(9) 就此而言，虽然危害人类罪的早期定义要求相关行为须与武装冲突有联系，但这种联系已不再见诸于包括《罗马规约》在内的当代国际刑事法庭和裁判庭规约。

In its place, as discussed in relation to draft article 3 below, are the “chapeau” requirements that the crime be committed within the context of a widespread or systematic attack directed against a civilian population in furtherance of a State or organizational policy to commit such an attack.

如以下关于第3条草案的讨论所述，取代这种联系的是“起首部分”要求，即，须是为了推行国家或组织政策，针对平民实施广泛或有系统的攻击这个背景下发生的罪行。

Article 3

第3条

Definition of crimes against humanity

危害人类罪的定义

1. For the purpose of the present draft articles, “crime against humanity” means any of the following acts when committed as part of a widespread or systematic attack directed against any civilian population, with knowledge of the attack:

1. 为了本条款草案目的，“危害人类罪”是指在广泛或有系统地针对任何平民人口进行的攻击中，在明知这一攻击的情况下，作为攻击的一部分而实施的下列任何一种行为：

(a) Murder;

(a) 谋杀；

(b) Extermination;

(b) 灭绝；

(c) Enslavement;

(c) 奴役；

(d) Deportation or forcible transfer of population;

(d) 驱逐出境或强行迁移人口；

(e) Imprisonment or other severe deprivation of physical liberty in violation of fundamental rules of international law;

(e) 违反国际法基本规则，监禁或以其他方式严重剥夺人身自由；

(f) Torture;

(f) 酷刑；

(g) Rape, sexual slavery, enforced prostitution, forced pregnancy, enforced sterilization, or any other form of sexual violence of comparable gravity;

(g) 强奸、性奴役、强迫卖淫、强迫怀孕、强迫绝育或严重程度相当的任何其他形式的性暴力；

(h) Persecution against any identifiable group or collectivity on political, racial, national, ethnic, cultural, religious, gender as defined in paragraph 3, or other grounds that are universally recognized as impermissible under international law, in connection with any act referred to in this paragraph or in connection with the crime of genocide or war crimes;

(h) 基于政治、种族、民族、族裔、文化、宗教、第三款所界定的性别或公认为国际法不容的其他理由，对任何可以识别的群体或集体进行的迫害，且与本款提及的任何一种行为有关，或与灭绝种族或战争罪行为有关；

(i) Enforced disappearance of persons;

(i) 强迫人员失踪；

(j) The crime of apartheid;

(j) 种族隔离罪；

(k) Other inhumane acts of a similar character intentionally causing great suffering, or serious injury to body or to mental or physical health.

(k) 故意造成重大痛苦，或对人体或身心健康造成严重伤害的其他性质相同的不人道行为。

2. For the purpose of paragraph 1:

2. 为了第1款的目的：

(a) “Attack directed against any civilian population” means a course of conduct involving the multiple commission of acts referred to in paragraph 1 against any civilian population, pursuant to or in furtherance of a State or organizational policy to commit such attack;

(a) “针对任何平民人口进行的攻击”是指根据国家或组织攻击平民人口的政策，或为了推行这种政策，针对任何平民人口多次实施第一款所述行为的行为过程；

(b) “Extermination” includes the intentional infliction of conditions of life including, inter alia, the deprivation of access to food and medicine, calculated to bring about the destruction of part of a population;

(b) “灭绝”包括故意施加某种生活状况，如断绝粮食和药品来源，目的是毁灭部分的人口；

(c) “Enslavement” means the exercise of any or all of the powers attaching to the right of ownership over a person and includes the exercise of such power in the course of trafficking in persons, in particular women and children;

(c) “奴役”是指对一人行使附属于所有权的任何或一切权力，包括在贩卖人口，特别是贩卖妇女和儿童的过程中行使这种权力；

(d) “Deportation or forcible transfer of population” means forced displacement of the persons concerned by expulsion or other coercive acts from the area in which they are lawfully present, without grounds permitted under international law;

(d) “驱逐出境或强行迁移人口”是指在缺乏国际法容许的理由的情况下，以驱逐或其他胁迫行为，强迫有关的人迁离其合法留在的地区；

(e) “Torture” means the intentional infliction of severe pain or suffering, whether physical or mental, upon a person in the custody or under the control of the accused, except that torture shall not include pain or suffering arising only from, inherent in or incidental to, lawful sanctions;

(e) “酷刑”是指故意致使在被告人羁押或控制下的人的身体或精神遭受重大痛苦；但酷刑不应包括纯因合法制裁而引起的，或这种制裁所固有或附带的痛苦；

(f) “Forced pregnancy” means the unlawful confinement of a woman forcibly made pregnant, with the intent of affecting the ethnic composition of any population or carrying out other grave violations of international law.

(f) “强迫怀孕”是指以影响任何人口的族裔构成的目的，或以进行其他严重违反国际法的行为的目的，非法禁闭被强迫怀孕的妇女。

This definition shall not in any way be interpreted as affecting national laws relating to pregnancy;

本定义不得以任何方式解释为影响国内关于妊娠的法律；

(g) “Persecution” means the intentional and severe deprivation of fundamental rights contrary to international law by reason of the identity of the group or collectivity;

(g) “迫害”是指违反国际法规定，针对某一群体或集体的特性，故意和严重地剥夺基本权利；

(h) “The crime of apartheid” means inhumane acts of a character similar to those referred to in paragraph 1, committed in the context of an institutionalized regime of systematic oppression and domination by one racial group over any other racial group or groups and committed with the intention of maintaining that regime;

(h) “种族隔离罪”是指一个种族群体对任何其他一个或多个种族群体，在一个有计划地实行压迫和统治的体制化制度下，实施性质与第一款所述行为相同的不人道行为，目的是维持该制度的存在；

(i) “Enforced disappearance of persons” means the arrest, detention or abduction of persons by, or with the authorization, support or acquiescence of, a State or a political organization, followed by a refusal to acknowledge that deprivation of freedom or to give information on the fate or whereabouts of those persons, with the intention of removing them from the protection of the law for a prolonged period of time.

(i) “强迫人员失踪”是指国家或政治组织直接地，或在其同意、支持或默许下，逮捕、羁押或绑架人员，继而拒绝承认这种剥夺自由的行为，或拒绝透露有关人员的命运或下落，目的是将其长期置于法律保护之外。

3. For the purpose of the present draft articles, it is understood that the term “gender” refers to the two sexes, male and female, within the context of society.

3. 为了本条款草案目的，“性别”一词应被理解为是指社会上的男女两性。

The term “gender” does not indicate any meaning different from the above.

“性别”一词仅反映上述意思。

4. This draft article is without prejudice to any broader definition provided for in any international instrument or national law.

4. 本条草案不妨碍任何国际文书或国内法规定的任何更为宽泛的定义。

Commentary

评注

(1) The first three paragraphs of draft article 3 establish, for the purpose of the present draft articles, a definition of “crime against humanity.

(1) 第3条草案的头三款为了本条款草案的目的，确定了“危害人类罪”的定义。

” The text of these three paragraphs is verbatim the text of Article 7 of the Rome Statute, except for three non-substantive changes (discussed below), which are necessary given the different context in which the definition is being used.

这三款的案文逐字采用了《罗马规约》第七条的案文，只有三处非实质性改动(下文讨论)，鉴于有关定义的使用语境不同，这些改动是必要的。

Paragraph 4 of draft article 3 is a “without prejudice” clause which indicates that this definition does not affect any broader definitions provided for in international instruments or national laws.

第3条第4款草案是一项“不妨碍”条款，表明这一定义不影响国际文书和国内法规定的任何更为宽泛的定义。

Definitions in other instruments

其他文书中的定义

(2) Various definitions of “crimes against humanity” have been used since 1945, both in international instruments and in national laws that have codified the crime.

(2) 1945年以来使用的“危害人类罪”的定义有多种，既见于国际文书，也见于将该罪编纂入法的国内法。

The Nürnberg Charter defined “crimes against humanity” as:

《纽伦堡宪章》将“危害人类罪”定义为：

“murder, extermination, enslavement, deportation, and other inhumane acts committed against any civilian population, before or during the war, or persecutions on political, racial or religious grounds in execution of or in connection with any crime within the jurisdiction of the Tribunal, whether or not in violation of the domestic law of the country where perpetrated.”

“在战前或战时对任何一地平民之谋杀、灭绝、奴役、放逐及其他不人道之行为，或基于政治、人种或宗教原因之迫害，而此种行为之发生或迫害之实施，系随实施本法庭管辖范围内任何罪行而起或与之有关者。

(3) Principle VI(c) of the Commission’s 1950 “Principles of International Law recognized in the Charter of the Nürnberg Tribunal and in the Judgment of the Tribunal” defined crimes against humanity as: “Murder, extermination, enslavement, deportation and other inhuman acts done against any civilian population, or persecutions on political, racial or religious grounds, when such acts are done or such persecutions are carried on in execution of or in connexion with any crime against peace or any war crime.”

” (3) 委员会1950年“纽伦堡法庭组织法及法庭判决中所确认之原则”原则六(三)对危害人类罪的界定是：“对任何一地平民之谋杀、灭绝、奴役、放逐及其他不人道之行为，基于政治、人种或宗教原因之迫害，而此种行为之发生或迫害之实施，系随实施任何危害和平罪或战争罪而起或与之有关者。 ”

(4) Further, the Commission’s 1954 Draft Code of Offences against the Peace and Security of Mankind identified as one of those offenses: “Inhuman acts such as murder, extermination, enslavement, deportation or persecutions, committed against any civilian population on social, political, racial, religious or cultural grounds by the authorities of a State or by private individuals acting at the instigation or with the toleration of such authorities.”

(4) 此外，委员会1954年《危害人类和平及安全治罪法草案》其中确定的一项罪行是：“某国当局或个人在国家当局的唆使或容忍下，基于社会、政治、种族、宗教或文化理由，对任何平民人口犯下的谋杀、灭绝、奴役、放逐或迫害等不人道行为。

(5) Article 5 of the ICTY Statute stated that the tribunal “shall have the power to prosecute persons responsible” for a series of acts (such as murder, torture, and rape) “when committed in armed conflict, whether international or internal in character, and directed against any civilian population … .

” (5) 《前南刑庭规约》第5条规定，法庭“应有权对国际或国内武装冲突中犯下…针对平民的”(谋杀、酷刑和强奸等)一系列行为“负有责任的人予以起诉”。

” Although the report of the Secretary-General of the United Nations proposing this article indicated that crimes against humanity “refer to inhumane acts of a very serious nature … committed as part of a widespread or systematic attack against any civilian population on national, political, ethnic, racial or religious grounds”, that particular language was not included in the text of article 5.

虽然联合国秘书长提出该条的报告指出，危害人类罪“指非常严重的不人道行为…基于民族、政治、人种、种族或宗教原因在大规模或有计划的攻击平民中…”， 但这个特定的用语并未写入第5条的案文。

(6) By contrast, the 1994 ICTR Statute, in article 3, retained the same series of acts, but the chapeau language introduced the formulation from the 1993 Secretary-General’s report of “crimes when committed as part of a widespread or systematic attack against any civilian population” and then continued with “on national, political, ethnic, racial or religious grounds …

(6) 相反，1994年《卢刑庭规约》第3条保留了上述的一系列行为，但起首语采用了1993年秘书长报告的用词“在广泛的或有计划的攻击平民中…罪行”，该条中还写明：“出于民族、政治、人种、种族或宗教原因…”。

. ” As such, the ICTR Statute expressly provided that a discriminatory intent was required in order to establish the crime.

如此，《卢刑庭规约》就明确规定了，只有具备歧视性意图，此罪方能成立。

The Commission’s 1996 Draft Code of Crimes against the Peace and Security of Mankind also defined “crimes against humanity” to be a series of specified acts “when committed in a systematic manner or on a large scale and instigated or directed by a Government or by any organization or group,” but did not include the discriminatory intent language.

委员会1996年《危害人类和平及安全治罪法草案》还将“危害人类罪”定义为“有计划或大规模实行由某一政府或任何组织或团体唆使或指挥的”的一系列所指明的行为，但没有包括关于歧视性意图的表述。

Crimes against humanity have also been defined in the jurisdiction of hybrid criminal courts or tribunals.

混合刑事法院或法庭的判例也对危害人类罪下过定义。

(7) Article 5, paragraph 1 (b), of the Rome Statute includes crimes against humanity within the jurisdiction of the ICC.

(7) 《罗马规约》第五条第(一)款第2项将危害人类罪纳入了国际刑院的管辖范围。

Article 7, paragraph 1, defines “crime against humanity” as any of a series of acts “when committed as part of a widespread or systematic attack directed against any civilian population, with knowledge of the attack.

第七条第(一)款将“危害人类罪”定义为“在广泛或有系统地针对任何平民人口进行的攻击中，在明知这一攻击的情况下，作为攻击的一部分而实施的”一系列行为中的任何一种。

” Article 7, paragraph 2, contains a series of definitions which, inter alia, clarify that an attack directed against any civilian population “means a course of conduct involving the multiple commission of acts referred to in paragraph 1 against any civilian population, pursuant to or in furtherance of a State or organizational policy to commit such attack.

第七条第(二)款载有一系列定义，除其他外，澄清了针对任何平民人口进行的攻击“指根据国家或组织攻击平民人口的政策，或为了推行这种政策，针对任何平民人口多次实施第一款所述行为的行为过程。

” Article 7, paragraph 3, provides that “it is understood that the term ‘gender’ refers to the two sexes, male and female, within the context of society.

” 第七条第(三)款规定，“‘性别’一词应被理解为是指社会上的男女两性。

The term ‘gender’ does not indicate any meaning different from the above.

‘性别’一词仅反映上述意思。

” Article 7 does not retain the nexus to an armed conflict that characterized the ICTY Statute, nor (except with respect to acts of persecution) the discriminatory intent requirement that characterized the ICTR Statute.

” 第七条并未保留《前南刑庭规约》所下定义中特有的与武装冲突的联系，也未保留《卢刑庭规约》特有的歧视性意图条件(关于迫害行为的规定除外)。

(8) The Rome Statute Article 7 definition of “crime against humanity” has been accepted by the more than 120 States Parties to the Rome Statute and is now being used by many States when adopting or amending their national laws.

(8) 《罗马规约》第七条的“危害人类罪”定义已被该规约的120多个缔约国所接受，其中许多国家在通过和修正国内法时，正在使用这一定义。

The Commission considered Rome Statute Article 7 as an appropriate basis for defining such crimes in paragraphs 1 to 3 of draft article 3.

委员会认为《罗马规约》第七条是第3条第1至第3款草案定义此类罪行的适当基础。

Indeed, the text of Article 7 is used verbatim except for three non-substantive changes, which are necessary given the different context in which the definition is being used.

事实上也确实逐字采用了第七条的案文，仅有三处非实质性改动。 鉴于有关定义的使用语境不同，这些改动是必要的。

First, the opening phrase of paragraph 1 reads “For the purpose of the present draft articles” rather than “For the purpose of this Statute.

第一处是，第1款起首语改为“为了本条款草案目的”，而非“为了本规约的目的”。

” Second, the same change has been made in the opening phrase of paragraph 3.

第二处是对第3款的起首语作了相同的改动。

Third, Rome Statute Article 7, paragraph 1 (h), criminalizes acts of persecution when undertaken “in connection with any act referred to in this paragraph or any crime within the jurisdiction of the Court.

第三处是，《罗马规约》第七条第(一)款第8项规定属于犯罪的是“与任何一种本款提及的行为或任何一种本法院管辖权内的犯罪结合发生”的迫害行为。

” Again, to adapt to the different context, this phrase reads in draft article 3 as “in connection with any act referred to in this paragraph or in connection with the crime of genocide or war crimes.

仍是为了适应不同语境，第3条草案中的这一短语改为“与本款提及的任何一种行为有关，或与灭绝种族或战争罪行为有关”。

” In due course, the ICC may exercise its jurisdiction over the crime of aggression when the requirements established at the Kampala Conference are met, in which case this paragraph may need to be revisited.

在适当时候，当坎帕拉会议规定的条件得到满足时，国际刑院可能对侵略罪行使管辖权，在这种情况下，委员会可重新审定这一款措辞。

Paragraphs 1 to 3

第1至第3款

(9) The definition of “crimes against humanity” set forth in paragraphs 1 to 3 of draft article 3 contains three overall requirements that merit some discussion.

(9) 第3条第1至3款草案所列“危害人类罪”的定义含有三项应予讨论的总体条件。

These requirements, all of which appear in paragraph 1, have been illuminated through the case law of the ICC and other international or hybrid courts and tribunals.

这些条件均出现于第1款，已经通过国际刑院和其他国际或混合法院和法庭的判例法得到了说明。

The definition also lists the underlying prohibited acts for crimes against humanity and defines several of the terms used within the definition (thus providing definitions within the definition).

定义还列出了危害人类罪项下禁止的各种行为，并界定了在这一定义之内使用的若干术语(亦即在定义内提供定义)。

No doubt the evolving jurisprudence of the ICC and other international or hybrid courts and tribunals will continue to help inform national authorities, including courts, as to the meaning of this definition, and thereby will promote harmonized approaches at the national level.

无疑，国际刑院和其他国际或混合法院和法庭不断演变的判例将继续帮助包括法院在内的国内当局了解这一定义的含义，从而促进国家层面处理方法的协调。

The Commission notes that relevant case law continues to develop over time, such that the following discussion is meant simply to indicate some of the parameters of these terms as of 2015.

委员会注意到，相关的判例法仍在随时间而发展，因此以下讨论仅是为了说明截至2015年这些术语的一些限制要素。

“Widespread or systematic attack”

“广泛或有系统的攻击”

(10) The first overall requirement is that the acts must be committed as part of a “widespread or systematic” attack.

(10) 第一项总体条件是，有关行为必须是在“广泛或有系统”的攻击中实施的。

This requirement first appeared in the ICTR Statute, though some ICTY decisions maintained that the requirement was implicit even in the ICTY Statute, given the inclusion of such language in the Secretary-General’s report proposing that statute.

这一条件最初出现于《卢刑庭规约》， 不过前南刑庭的一些裁决认为《前南刑庭规约》也已隐含这一条件，因为秘书长提出该规约的报告中也包括了这一用语。

Jurisprudence of both the ICTY and the ICTR maintained that the conditions of “widespread” and “systematic” were disjunctive rather than conjunctive requirements; either condition could be met to establish the existence of the crime.

前南刑庭和卢刑庭的判例均主张，“广泛”和“有系统”这两个条件是择一条件而非联合条件；达到其中任意一个，即能认定犯罪成立。

This reading of the widespread/systematic requirement is also reflected in the Commission’s commentary to the 1996 Draft Code, where it stated that “an act could constitute a crime against humanity if either of these conditions [of scale or systematicity] is met.”

对广泛/有系统条件的这一解读也反映在委员会对1996年《治罪法草案》的评注中，委员会在其中指出，“如果某一行为合乎其中[规模或系统性]任一条件，即构成危害人类罪行。

(11) When this standard was considered for the Rome Statute, some States expressed the view that the conditions of “widespread” and “systematic” should be conjunctive requirements — that they both should be present to establish the existence of the crime — because otherwise the standard would be over-inclusive.

” (11) 在为《罗马规约》审议这一标准时，一些国家表示认为，“广泛”和“有系统”这两个条件应当是联合条件，只有二者皆达到，才能确认罪行存在，否则这一标准的覆盖面将过宽。

Indeed, if “widespread” commission of acts alone were sufficient, these States maintained that spontaneous waves of widespread, but unrelated, crimes would constitute crimes against humanity.

这些国家认为，如果仅仅“广泛”实施有关行为就足够，则同时发生的广泛但无关联的犯罪行为也会构成危害人类罪。

Due to that concern, a compromise was developed that involved leaving these conditions in the disjunctive, but adding to Rome Statute Article 7, paragraph 2 (a), a definition of “attack” which, as discussed below, contains a policy element.

出于这一关切，拟出的是折中的案文，将这些条件仍列为择一条件， 但在《罗马规约》第七条第(二)款第1项中增加了对“攻击”的定义，正如下文所讨论的，该定义中加入了一项政策要件。

(12) According to the ICTY Trial Chamber in Kunarac, “[t]he adjective ‘widespread’ connotes the large-scale nature of the attack and the number of its victims.

(12) 前南刑庭审判分庭在Kunarac案中指出，“‘广泛’这一形容词说明了攻击的大规模性质及其受害者人数的众多。

” As such, this requirement refers to a “multiplicity of victims” and excludes isolated acts of violence, such as murder directed against individual victims by persons acting of their own volition rather than as part of a broader initiative.

” 因此，这一条件指“受害者人数的众多”， 并排除了孤立的暴力行为， 例如出于本人意志而非按照某更广泛的计划而谋杀个人受害者的行为。

At the same time, a single act committed by an individual perpetrator can constitute a crime against humanity if it occurs within the context of a broader campaign.

与此同时，个人行为人实施的单一罪行，若发生在某个更广泛的运动的背景之下，也可构成危害人类罪。

There is no specific numerical threshold of victims that must be met for an attack to be “widespread”.

攻击行为不需受害者人数达到某具体下限即可属于“广泛”攻击。

(13) “Widespread” can also have a geographical dimension, with the attack occurring in different locations.

(13) “广泛”亦可有地域层面的意思，指攻击发生在不同地点。

Thus, in the Bemba case, the ICC Pre-Trial Chamber found that there was sufficient evidence to establish that an attack was “widespread” based on reports of attacks in various locations over a large geographical area, including evidence of thousands of rapes, mass grave sites, and a large number of victims.

例如，国际刑院预审分庭在Bemba案中，根据广大地域诸多地点的攻击报告，包括上千起强奸、群葬坑和大量受害者的证据，认定证据充分，足以确定有关攻击属于“广泛”攻击。

Yet a large geographic area is not required; the ICTY has found that the attack can be in a small geographic area against a large number of civilians.

但所涉地域广大并不是必要条件；前南刑庭认定，在一较小地域内针对大量平民的攻击也属于“广泛”攻击。

(14) In its Kenya Authorization Decision 2010, the ICC Pre-Trial Chamber indicated that “[t]he assessment is neither exclusively quantitative nor geographical, but must be carried out on the basis of the individual facts.

(14) 国际刑院预审分庭在2010年肯尼亚授权决定中表示，“评估并非仅考察数量或地域，而是必须根据个体事实予以分析。

” An attack may be widespread due to the cumulative effect of multiple inhumane acts or the result of a single inhumane act of great magnitude.

” 若多起不人道行为造成累加影响，或单起不人道行为情节极为严重，有关攻击也可属于广泛攻击。

(15) Like “widespread”, the term “systematic” excludes isolated or unconnected acts of violence, and jurisprudence from the ICTY, ICTR, and ICC reflects a similar understanding of what is meant by the term.

(15) 与“广泛”一样,“有系统”一词也不包括孤立或没有联系的暴力行为， 前南刑庭、卢刑庭和国际刑院的判例所反映的对这一术语含义的理解相似。

The ICTY defined “systematic” as “the organised nature of the acts of violence and the improbability of their random occurrence” and found that evidence of a pattern or methodical plan establishes that an attack was systematic.

前南刑庭将“有系统”定义为“暴力行为是有组织的，且不是随机发生的” 并认定，只要有行为规律的证据或方法计划的证据，就可确定有关攻击是有系统的。

Thus, the Appeals Chamber in Kunarac confirmed that “patterns of crimes — that is the non-accidental repetition of similar criminal conduct on a regular basis — are a common expression of such systematic occurrence.

因此，上诉分庭在Kunara案中确认，“‘犯罪的规律，即相似犯罪行为频频非意外的重复发生，是这种有系统攻击的一种常见表现。

” The ICTR has taken a similar approach.

’” 卢刑庭也采用了类似的处理方法。

(16) Consistent with ICTY and ICTR jurisprudence, an ICC Pre-Trial Chamber in Harun found that “systematic” refers to “the organised nature of the acts of violence and improbability of their random occurrence.

(16) 国际刑院某预审分庭与前南刑庭和卢刑庭判例保持一致，在Harun案中认定，“‘有系统’指‘暴力行为是有组织的，且不是随机发生的。

” An ICC Pre-Trial Chamber in Katanga found that the term “has been understood as either an organized plan in furtherance of a common policy, which follows a regular pattern and results in a continuous commission of acts, or as ‘patterns of crimes’ such that the crimes constitute a ‘non-accidental repetition of similar criminal conduct on a regular basis.

’” 国际刑院某预审分庭在Katanga案中认定，该术语“已被理解为推行某项共同政策的有组织计划，该计划遵循某种规律，并造成有关行为得到不断实施，或被理解为导致有关犯罪构成‘相似犯罪行为频频非意外的重复发生’的‘犯罪规律’。

’” In applying the standard, an ICC Pre-Trial Chamber in Ntaganda found an attack to be systematic since “the perpetrators employed similar means and methods to attack the different locations: they approached the targets simultaneously, in large numbers, and from different directions, they attacked villages with heavy weapons, and systematically chased the population by similar methods, hunting house by house and into the bushes, burning all properties and looting.

” 国际刑院某预审分庭适用了这一标准，在Ntaganda案中认定有关攻击属于有系统攻击，因为“行为人采用了相似的方式和方法攻击不同地点：他们聚集许多人同时从不同方向逼近目标、用重武器攻击村庄，且有系统地用相似方法驱赶民众，逐户将民众驱入荒野，同时焚烧所有房地并劫掠财物。

” Additionally, in the Ntaganda confirmation of charges decision, a Pre-Trial Chamber held that the attack was systematic as it followed a “regular pattern” with a “recurrent modus operandi, including the erection of roadblocks, the laying of land mines, and coordinated the commission of the unlawful acts … in order to attack the non-Hema civilian population.

” 此外，某预审分庭在Ntagand案的确认指控决定中裁定，有关攻击是有系统攻击，因为攻击遵循某种“规律”，“反复采用同样的作案手法，包括设立路障、布设地雷，以及协同实施非法行为…以攻击非赫马族平民人口。

” In Gbagbo, an ICC Pre-Trial Chamber found an attack to be systematic when “preparations for the attack were undertaken in advance” and the attack was planned and coordinated with acts of violence revealing a “clear pattern”.

” 在Gbagbo案中，国际刑院某预审分庭认定有关攻击属于有系统攻击，因为“攻击预先经过准备”且是有计划并协同实施的，暴力行为表现出了“明显的规律。

“Directed against any civilian population”

” “针对任何平民人口”

(17) The second overall requirement is that the act must be committed as part of an attack “directed against any civilian population.

(17) 第二项总体条件是，有关行为必须是作为“针对任何平民人口”的攻击的一部分实施的。

” Draft article 3, paragraph 2(a), defines “attack directed against any civilian population” for the purpose of paragraph 1 as “a course of conduct involving the multiple commission of acts referred to in paragraph 1 against any civilian population, pursuant to or in furtherance of a State or organizational policy to commit such attack.

第3条第2款(a)项草案为了第1款的目的，将“针对任何平民人口进行的攻击”定义为“根据国家或组织攻击平民人口的政策，或为了推行这种政策，针对任何平民人口多次实施第一款所述行为的行为过程”。

” As discussed below, jurisprudence from the ICTY, ICTR, and ICC has construed the meaning of each of these terms: “directed against”, “any”, “civilian”, “population”, “a course of conduct involving the multiple commission of acts”, and “State or organizational policy.”

如下文所讨论的，前南刑庭、卢刑庭和国际刑院的判例已经解释了以下这些术语的含义：“针对”、“任何”、“平民”、“人口”、“多次实施行为的行为过程”和“国家或组织的政策”。

(18) The ICTY has found that the phrase “directed against” requires that civilians be the intended primary target of the attack, rather than incidental victims.

(18) 前南刑庭认定，“针对”一词要求平民是攻击的首要预定目标，而不是附带受害者。

The ICC Pre-Trial Chambers subsequently adopted this interpretation in the Bemba case and the Kenya Authorization Decision 2010.

之后，国际刑院预审分庭在Bemba案和2010年肯尼亚授权决定中采用了这一解释。

An ICC Trial Chamber adopted the same interpretation in the Katanga trial judgment.

国际刑院某审判分庭在Katanga案的审判判决中也采用了相同解释。

In the Bemba case, the ICC Pre-Trial Chamber found that there was sufficient evidence showing the attack was “directed against” civilians of the Central African Republic.

在Bemba案中，国际刑院预审分庭认定有充分证据显示，有关攻击是“针对”中非共和国平民的。

The Chamber concluded that Movement for the Liberation of Congo (hereinafter “MLC”) soldiers were aware that their victims were civilians, based on direct evidence of civilians being attacked inside their houses or in their courtyards.

分庭根据平民在自己家中或院子里受到攻击的直接证据，断定刚果解放运动(下称“刚解运”)士兵知道受害者是平民。

The Chamber further found that MLC soldiers targeted primarily civilians, demonstrated by an attack at one locality where the MLC soldiers did not find any rebel troops that they claimed to be chasing.

分庭还认定，平民是刚解运士兵的首要目标，证据是刚解运士兵攻击了一处地点，却并未找到任何他们声称正在追捕的叛军部队。

The term “directed” places its emphasis on the intention of the attack rather than the physical result of the attack.

“针对”一词强调攻击者的意图而非攻击的实际结果。

It is the attack, not the acts of the individual perpetrator, which must be “directed against” the target population.

必须“针对”目标人口的是攻击本身，而非个别行为人的行为。

(19) The word “any” indicates that “civilian population” is to have a wide definition and should be interpreted broadly.

(19) “任何”一词表明“平民人口”具有广泛的定义，也应予以广泛地解释。

An attack can be committed against any civilians, “regardless of their nationality, ethnicity, or any other distinguishing feature”, and can be committed against either nationals or foreigners.

实施攻击的对象可以是任何平民，“不论其属于哪个民族、族裔或具有任何其他特征”，而且攻击对象既可以是本国国民，也可以是外国人。

Those targeted may “include a group defined by its (perceived) political affiliation.

攻击目标可“包括由(别人认为的)政治从属而划分的群体”。

” In order to qualify as a “civilian population” during a time of armed conflict, those targeted must be “predominantly” civilian in nature; the presence of certain combatants within the population does not change its character.

攻击目标必须本质上“主要”是平民，才可算作武装冲突中的“平民人口”；人口中有一定数量的战斗人员并不改变人口性质。

This approach is in accordance with other rules arising under international humanitarian law.

这一处理方法符合国际人道主义法产生的其他规则。

For example, Additional Protocol I to the Geneva Conventions states: “The presence within the civilian population of individuals who do not come within the definition of civilians does not deprive the population of its civilian character.

例如，《日内瓦四公约第一附加议定书》写道：“在平民居民中存在有不属于平民的定义范围内的人，并不使该平民居民失去其平民的性质。

” The ICTR Trial Chamber in Kayishema found that during a time of peace, “civilian” shall include all persons except those individuals who have a duty to maintain public order and have legitimate means to exercise force to that end at the time they are being attacked.

” 卢刑庭审判分庭在Kayishema案中认定，在和平时期，“平民”一词应包括所有人员，负责维护公共秩序并为此在遇袭时有合法手段行使武力的人员除外。

The status of any given victim must be assessed at the time the offence is committed; a person should be considered a civilian if there is any doubt as to his or her status.

分析任何给定受害者的法律身份时，必须结合罪行发生时的情况； 若对某人的法律身份存在任何疑问，应将其视为平民。

(20) “Population” does not mean that the entire population of a given geographical location must be subject to the attack; rather, the term implies the collective nature of the crime as an attack upon multiple victims.

(20) “人口”一词并不意味着某给定地点的所有人口都要遭到袭击； 而是隐示有关犯罪是对多名受害者的攻击，具有集体性。

As the ICTY Trial Chamber noted in Gotovina, the concept means that the attack is upon more than just “a limited and randomly selected number of individuals.

正如前南刑庭审判分庭在Gotovina案中提到的，这一概念指攻击的受害者不只是“人数有限的随机选择的个人。

” ICC decisions in the Bemba case and the Kenya Authorization Decision 2010 have adopted a similar approach, declaring that the Prosecutor must establish that the attack was directed against more than just a limited group of individuals.

” 国际刑院在Bemba案中的决定和2010年肯尼亚授权决定都采用了类似处理方法，宣称检察官必须证实有关攻击针对的对象不只是一群人数有限的个人。

(21) The first part of draft article 3, paragraph 2 (a), refers to “a course of conduct involving the multiple commission of acts referred to in paragraph 1 against any civilian population.

(21) 第3条第2款(a)项草案后半部分提到“针对任何平民人口多次实施第一款所述行为的行为过程。

” Although no such language was contained in the statutory definition of crimes against humanity for the ICTY and ICTR, this language reflects jurisprudence from both these tribunals, and was expressly stated in Rome Statute Article 7, paragraph 2 (a).

”这种表述虽未载入前南刑庭和卢刑庭对危害人类罪的法定定义，但反映了这两个法庭的判例， 并明确见于《罗马规约》第七条第(二)款第1项。

The Elements of Crimes under the Rome Statute provides that the “acts” referred to in Article 7, paragraph 2 (a) “need not constitute a military attack.

《罗马规约》之下的《犯罪要件》规定，第七条第(二)款第1项所述的“行为”“不需要构成军事攻击”。

” The Trial Chamber in Katanga stated that “the attack need not necessarily be military in nature and it may involve any form of violence against a civilian population.”

审判分庭在Katanga案中表示“有关攻击不一定要具备军事攻击的本质，可包括任何形式的暴力侵害某平民人口的行为。

(22) The second part of draft article 3, paragraph 2 (a), states that the attack must be “pursuant to or in furtherance of a State or organizational policy to commit such an attack.

” (22) 第3条第2款(a)项草案前半部分指出，攻击必须是“根据国家或组织攻击平民人口的政策，或为了推行这种政策”实施的。

” The requirement of a “policy” element did not appear as part of the definition of crimes against humanity in the statutes of international courts and tribunals until the adoption of the Rome Statute.

在《罗马规约》得到通过之前，各国际法院规约对危害人类罪的定义中一直没有包括对“政策”要件的要求。

While the ICTY and ICTR Statutes contained no policy requirement in their definition of crimes against humanity, some early jurisprudence required it.

前南刑庭和卢刑庭规约的危害人类罪定义都不包括政策要件， 但一些早期的判例要求有这一要件。

Indeed, the Tadić Trial Chamber provided an important discussion of the policy element early in the tenure of the ICTY, one that would later influence the drafting of the Rome Statute.

事实上，Tadić案的审判分庭在前南刑庭设立初期就对政策要件进行了重要的讨论，这一讨论后来影响了《罗马规约》的草拟工作。

The Trial Chamber found that

审判分庭认定

“the reason that crimes against humanity so shock the conscience of mankind and warrant intervention by the international community is because they are not isolated, random acts of individuals but rather result from a deliberate attempt to target a civilian population.

“危害人类罪之所以如此撼动人类的良知并要求国际社会予以干预，是因为它们不是个人孤立、随机的行为，而是蓄意试图针对某平民人口的结果。

Traditionally this requirement was understood to mean that there must be some form of policy to commit these acts …

传统上，将这一条件理解为必定存在实施这些行为的某种形式的政策…。

Importantly, however, such a policy need not be formalized and can be deduced from the way in which the acts occur.”

然而，重要的是，这一政策不需要具有正式的形式，而是可以从有关行为的发生方式推导得出。

The Trial Chamber further noted that, because of the policy element, such crimes “cannot be the work of isolated individuals alone.

” 该审判分庭还指出，因为存在政策要件，此类犯罪“‘不可能仅是单独的个人所造成的。

” Later ICTY jurisprudence, however, downplayed the policy element, regarding it as sufficient simply to prove the existence of a widespread or systematic attack.

’” 不过，前南刑庭后来在判例中淡化了政策要件，认为只要证明存在广泛或有系统的攻击就已足够。

(23) Prior to the Rome Statute, the work of the ILC in its draft codes tended to require a policy element.

(23) 在《罗马规约》之前，国际法委员会在治罪法草案的工作中常常要求政策要件。

The Commission’s 1954 Draft Code of Offences against the Peace and Security of Mankind defined crimes against humanity as: “Inhuman acts such as murder, extermination, enslavement, deportation or persecutions, committed against any civilian population on social, political, racial or cultural grounds by the authorities of a State or by private individuals acting at the instigation or with the toleration of such authorities.

委员会1954年《危害人类和平及安全治罪法草案》将危害人类罪定义为：“某国当局或个人在国家当局的唆使或容忍下，基于社会、政治、种族、宗教或文化理由，对任何平民人口犯下的谋杀、灭绝、奴役、放逐或迫害等不人道行为。

” The Commission decided to include the State instigation or tolerance requirement in order to exclude inhumane acts committed by private persons on their own without any State involvement.

” 委员会决定加入国家唆使或容忍这一条件，以便排除个人在国家没有任何介入的情况下自行实施的不人道行为。

At the same time, the definition of crimes against humanity included in the 1954 Draft Code did not include any requirement of scale (“widespread”) or systematicity.

同时，1954年《治罪法草案》所载的危害人类罪的定义未包括任何规模(“广泛”)或系统性的条件。

(24) The Commission’s 1996 Draft Code of Crimes against the Peace and Security of Mankind also recognized a policy requirement, defining crimes against humanity as “any of the following acts, when committed in a systematic manner or on a large scale and instigated or directed by a Government or by an organization or group.

(24) 委员会1996年《危害人类和平及安全治罪法草案》也承认了政策条件，将危害人类罪定义为“有计划或大规模实行由某一政府或任何组织或团体唆使或指挥的任何下列行为。

” The Commission included this requirement to exclude inhumane acts committed by an individual “acting on his own initiative pursuant to his own criminal plan in the absence of any encouragement or direction from either a Government or a group or organization.

” 委员会之所以加入这一条件，是为了排除个人“按其自己的犯罪计划，出于个人自己的动机，在没有任何政府或团体或组织的任何鼓励的情况下”实施的不人道行为。

” In other words, the policy element sought to exclude “ordinary” crimes of individuals acting on their own initiative and without any connection to a State or organization.

换言之，该政策要件旨在排除个人出于自身动机，在与国家或组织无关的情况下实施的“普通”罪行。

(25) Draft article 3, paragraph 2 (a), contains the same policy element as set forth in Rome Statute Article 7, paragraph 2 (a).

(25) 第3条第2款(a)项草案载有与《罗马规约》第七条第(二)款第1项所列的同样的政策要件。

The Elements of Crimes under the Rome Statute provides that a “policy to commit such attack” requires that “the State or organization actively promote or encourage such an attack against a civilian population,” and that “a policy may, in exceptional circumstances, be implemented by a deliberate failure to take action, which is consciously aimed at encouraging such attack.”

《罗马规约》之下的《犯罪要件》规定，“攻击平民人口的政策”要求“国家或组织积极推动或鼓励这种攻击平民人口的行为，” 且“在特殊情况下，这种政策的实施方式可以是故意不采取行动，刻意以此助长这种攻击。 ”

(26) This “policy” element has been addressed in several cases at the ICC.

(26) 国际刑院的若干案件都涉及了这一“政策”要件。

In Katanga 2014, an ICC Trial Chamber stressed that the policy requirement is not synonymous with “systematic”, since that would contradict the disjunctive requirement in Article 7 of a “widespread” or “systematic” attack.

在Katanga 2014案中，国际刑院审判分庭强调，政策条件与“有系统”条件的意义并不相同，若是相同就会违背第七条对攻击的“广泛”或“有系统”择一的要求。

Rather, while “systematic” requires high levels of organization and patterns of conduct or recurrence of violence, to “establish a ‘policy’, it need be demonstrated only that the State or organization meant to commit an attack against a civilian population.

“有系统”要求的是高度的组织性和行为的规律或暴力的反复发生， 而要“确定存在‘政策’，则只需证明国家或组织有意对平民人口实施攻击。

An analysis of the systematic nature of the attack therefore goes beyond the existence of any policy seeking to eliminate, persecute or undermine a community.

因此，分析有关攻击是否具有系统性，不仅是确定是否存在任何旨在消灭、迫害或损害某一社群的政策。

” Further, the “policy” requirement does not require formal designs or pre-established plans, can be implemented by action or inaction, and can be inferred from the circumstances.

” 此外，“政策”条件不要求有正式的设计或预先制定的计划，可以由作为或者不作为实现，也可从有关情况推导得出。

The Trial Chamber found that the policy need not be formally established or promulgated in advance of the attack and can be deduced from the repetition of acts, from preparatory activities, or from a collective mobilization.

审判分庭认定，政策不需要在攻击之前正式推行或颁布，可从有关行为的重复发生、从准备活动，或从集体动员中推导得出。

Moreover, the policy need not be concrete or precise, and it may evolve over time as circumstances unfold.

此外，政策不需要具体或精确，且可随着时间的推移根据情况的发展而变化。

(27) Similarly, in its decision confirming the indictment of Laurent Gbagbo, an ICC Pre-Trial Chamber held that “policy” should not be conflated with “systematic.

(27) 同样，国际刑院预审分庭在确认起诉Laurent Gbagbo的决定中裁定，“政策”不应与“有系统”混淆。

” Specifically, the Trial Chamber stated that “evidence of planning, organisation or direction by a State or organisation may be relevant to prove both the policy and the systematic nature of the attack, although the two concepts should not be conflated as they serve different purposes and imply different thresholds under article 7 (1) and (2) (a) of the Statute.

具体而言，审判分庭表示，“国家或组织计划、组织或指挥有关攻击的证据可能与证明攻击的政策性和系统性有关，但这两个概念目的不同，并且在《规约》第七条第(一)款和第(二)款第1项下分别指不同的界限，因此不应混淆。

” The policy element requires that the acts be “linked” to a State or organization, and it excludes “spontaneous or isolated acts of violence”, but a policy need not be formally adopted and proof of a particular rationale or motive is not required.

” 政策要件要求有关行为与国家和组织“有关”， 且排除了“自发或孤立的暴力行为”，但政策本身并不需要得到正式通过，且不需要证明存在具体的理由或动机。

In the Bemba case, an ICC Pre-Trial Chamber found that the attack was pursuant to an organizational policy based on evidence establishing that the MLC troops “carried out attacks following the same pattern.”

在Bemba案中，国际刑院预审分庭根据刚解运部队“遵循同一规律实施攻击”的证据认定，有关攻击是按照组织政策实施的。

(28) The second part of draft article 3, paragraph 2(a), refers to either a “State” or “organizational” policy to commit such an attack, as does article 7, paragraph 2(a), of the Rome Statute.

(28) 第3条第2款(a)项草案前半部分提到“国家”或“组织”攻击平民人口的政策，与《罗马规约》第七条第(二)款第1项相同。

In its Kenya Authorization Decision 2010, an ICC Pre-Trial Chamber suggested that the meaning of “State” in article 7, paragraph 2(a), is “self-explanatory.

国际刑院预审分庭在2010年肯尼亚授权决定中表示，第七条第(二)款第1项中“国家”的含义是“不言自明的。

” The Chamber went on to note that a policy adopted by regional or local organs of the State could satisfy the requirement of State policy.

” 该分庭随后指出，国家区域机关或地方机关通过的政策可以满足国家政策这一条件。

(29) Jurisprudence from the ICC suggests that “organizational” includes any organization or group with the capacity and resources to plan and carry out a widespread or systematic attack.

(29) 国际刑院的判例显示，“组织”包括任何有能力和资源计划和实施广泛或有系统攻击的组织或团体。

For example, a Pre-Trial Chamber in Katanga stated: “Such a policy may be made either by groups of persons who govern a specific territory or by any organisation with the capability to commit a widespread or systematic attack against a civilian population.

例如，一预审分庭在Katanga案中表示：“制定这种政策的，可以是管理某特定地区的人群，或任何有能力针对平民人口实施广泛或有系统攻击的组织。

” An ICC Trial Chamber in Katanga held that the organization must have “sufficient resources, means and capacity to bring about the course of conduct or the operation involving the multiple commission of acts … a set of structures or mechanisms, whatever those may be, that are sufficiently efficient to ensure the coordination necessary to carry out an attack directed against a civilian population.”

” 国际刑院某审判分庭在Katanga案中裁定，有关组织必须具有“充足的资源、手段和能力，能够实现涉及多次实施有关行为的行为或行动过程…一系列足够高效结构或机制，无论是哪种结构或机制，要能确保具备实施针对平民人口的攻击所需的协调。 ”

(30) In its Kenya Authorization Decision 2010, a majority of an ICC Pre-Trial Chamber rejected the idea that “only State-like organizations may qualify” as organizations for the purpose of article 7, paragraph (2)(a), and further stated that “the formal nature of a group and the level of its organization should not be the defining criterion.

(30) 在2010年肯尼亚授权决定中，国际刑院一预审分庭的多数意见不同意“只有类似国家的组织才可算作”符合第七条第(二)款第1项的组织，并进而指出，“团体是否具有正式性质及其组织性的高低不应成为决定性标准。

Instead … a distinction should be drawn on whether a group has the capability to perform acts which infringe on basic human values.

反之…应当区分有关团体是否有能力从事违反基本人道价值观的行为。

” In 2012, an ICC Pre-Trial Chamber in Ruto stated that, when determining whether a particular group qualifies as an “organization” under Rome Statute Article 7:

” 2012年，国际刑院预审分庭在Ruto案中表示，在确定某团体是否属于《罗马规约》第七条所指的“组织”时：

“the Chamber may take into account a number of factors, inter alia: (i) whether the group is under a responsible command, or has an established hierarchy; (ii) whether the group possesses, in fact, the means to carry out a widespread or systematic attack against a civilian population; (iii) whether the group exercises control over part of the territory of a State; (iv) whether the group has criminal activities against the civilian population as a primary purpose; (v) whether the group articulates, explicitly or implicitly, an intention to attack a civilian population; (vi) whether the group is part of a larger group, which fulfils some or all of the abovementioned criteria.”

分庭可考虑若干因素，除其他外：(一) 有关团体是否由负责任的领导指挥，或具备既定的等级结构；(二) 有关团体事实上是否具备针对平民人口实施广泛或有系统攻击的手段；(三) 有关团体是否控制着一国的部分领土；(四) 有关团体是否将针对平民人口的犯罪活动作为首要目标；(五) 有关团体是否明确或隐晦地表露了攻击平民人口的意图；(六) 有关团体是否属于某符合上述部分或全部标准的更大团体。

(31) As a consequence of the “policy” potentially emanating from a non-State organization, the definition set forth in paragraphs 1 to 3 of draft article 3 does not require that the offender be a State official or agent.

(31) 由于“政策”也可出自非国家组织，第3条第1至3款草案所载的定义并不要求犯罪人是国家官员或代理人。

This approach is consistent with the development of crimes against humanity under international law.

这一处理方法与国际法之下危害人类罪的发展情况相符。

The Commission, commenting in 1991 on the draft provision on crimes against humanity for what would become the 1996 Draft Code of Crimes, stated “that the draft article does not confine possible perpetrators of the crimes to public officials or representatives alone” and that it “does not rule out the possibility that private individuals with de facto power or organized in criminal gangs or groups might also commit the kind of systematic or mass violations of human rights covered by the article; in that case, their acts would come under the draft Code.

1991年，委员会在评论关于危害人类罪条文草案(最终形成1996年《治罪法草案》)时表示：“条文草案没有把可能犯此种罪行的人仅仅局限于政府官员或代表”，且“没有排除这样的可能性：具有实际权力或者加入犯罪团伙或集团的个人也能够犯下本条规定的那种有计划或大规模侵害人权的行为，遇此情况，他们的行为即属治罪法草案的范围。

” As discussed previously, the 1996 Draft Code added the requirement that, to be crimes against humanity, the inhumane acts must be “instigated or directed by a Government or by any organization or group.

” 如先前讨论的，1996年《治罪法草案》增加了一项条件，即不人道行为要构成危害人类罪，必须是“由某一政府或任何组织或团体唆使或指挥的。

” In its commentary to this requirement, the Commission noted: “The instigation or direction of a Government or any organization or group, which may or may not be affiliated with a Government, gives the act its great dimension and makes it a crime against humanity imputable to private persons or agents of a State.”

” 委员会在对这一条件的评注中指出：“政府或可能附属于政府或不附属于政府的任何组织或团体的唆使或指挥，使此种行为具有其重大份量，并使这种行为变成可归因于个人或国家代理人员的危害人类罪行。

(32) ICTY jurisprudence accepted the possibility of non-State actors being prosecuted for crimes against humanity.

” (32) 前南刑庭判例接受以危害人类罪起诉非国家行为方的可能性。

For example, an ICTY Trial Chamber in the Tadić case stated that, “the law in relation to crimes against humanity has developed to take into account forces which, although not those of the legitimate government, have de facto control over, or are able to move freely within, defined territory.

例如，前南刑庭一审判分庭在Tadić案中表示，“危害人类罪方面的法律已经有所发展，纳入了虽不隶属于合法政府但实际上控制着指定领土，或者可在该领土上自由行动的军事力量。

” That finding was echoed in the Limaj case, where the Trial Chamber viewed the defendant members of the Kosovo Liberation Army as prosecutable for crimes against humanity.

” 这一裁决在Limaj案中得到了响应，该案审判分庭认为能够以危害人类罪起诉科索沃解放军的被告成员。

(33) In the Ntaganda case at the ICC, charges were confirmed against a defendant associated with two paramilitary groups, the Union des Patriotes Congolais and the Forces Patriotiques pour la Libération du Congo in the Democratic Republic of the Congo.

(33) 国际刑院在Ntaganda案中，确认了对一名与刚果民主共和国境内的刚果爱国者联盟和争取刚果自由爱国力量这两个准军事团体有关的被告的多项指控。

Similarly, in the Callixte Mbarushimana case, the prosecutor pursued charges against a defendant associated with the Forces Démocratiques pour la Liberation du Rwanda, described, according to its statute, as an “armed group seeking to ‘reconquérir et défendre la souveraineté nationale’ of Rwanda.

同样，在Callixte Mbarushimana案中，检察官对一名与解放卢旺达民主力量有关的被告提出了多项指控，根据该组织条例的描述，这一组织是“旨在‘收回和保卫’卢旺达‘国家主权’的武装团体。

” In the case against Joseph Kony relating to the situation in Uganda, the defendant is allegedly associated with the Lord’s Resistance Army, “an armed group carrying out an insurgency against the Government of Uganda and the Ugandan Army” which “is organised in a military-type hierarchy and operates as an army.

” 在与乌干达状况有关的诉Joseph Kony案中，被告据称与圣灵抵抗军这一“对乌干达政府和乌干达军队实施叛乱的武装团体” 有关，该团体“组织结构采用军事化的等级划分并作为军队从事活动。

” With respect to the situation in Kenya, a Pre-Trial Chamber confirmed charges of crimes against humanity against defendants due to their association in a “network” of perpetrators “comprised of eminent [Orange Democratic Movement Party (ODM)] political representatives, representatives of the media, former members of the Kenyan police and army, Kalenjin elders and local leaders.

” 关于肯尼亚的状况，一预审分庭确认了对多名被告的危害人类罪指控，因为他们与一“系列”行为人有关，“包括知名的[橙色民主运动(橙民运)]政党代表、媒体代表、肯尼亚前警员和军人、卡伦金长老和地方领袖。

” Likewise, charges were confirmed with respect to other defendants associated with “‘coordinated attacks that were perpetrated by the Mungiki and pro-Party of National Unity (‘PNU’) youth in different parts of Nakuru and Naivasha’” that “were targeted at perceived (ODM) supporters using a variety of means of identification such as lists, physical attributes, roadblocks and language.”

” 同样，对其他被告的指控也得到了确认，这些被告涉嫌参与“群众帮与民族团结党青年在纳库鲁和奈瓦沙不同地区使用查询名单、辨别外貌、设置路障和辨识语言等多种识别手段，针对其认为的[橙民运]支持者的协同攻击”。

“With knowledge of the attack”

“在明知这一攻击的情况下”

(34) The third overall requirement is that the perpetrator must commit the act “with knowledge of the attack.

(34) 第三项总体条件是，行为人必须是“在明知这一攻击的情况下”实施有关行为。

” Jurisprudence from the ICTY and ICTR concluded that the perpetrator must have knowledge that there is an attack on the civilian population and, further, that his or her act is a part of that attack.

前南刑庭和卢刑庭的判例断定，行为人必须对攻击平民人口一事知情，且自身的行为就是该攻击的一部分。

This two-part approach is reflected in the Elements of Crimes under the Rome Statute, which for each of the proscribed acts requires as that act’s last element: “The perpetrator knew that the conduct was part of or intended the conduct to be part of a widespread or systematic attack against a civilian population.

《罗马规约》之下的《犯罪要件》反映了这一“两部分”处理方法，规定每项禁止的行为的最后一项要件均为：“行为人知晓有关行为是对平民人口广泛或有系统的攻击的一部分，或有意让有关行为成为上述攻击的一部分”。

” Even so,

即便如此，

“the last element should not be interpreted as requiring proof that the perpetrator had knowledge of all characteristics of the attack or the precise details of the plan or policy of the State or organization.

“最后一项要件不应被解释为必须证明行为人知道攻击的所有特性，或国家或组织的计划或政策的详情。

In the case of an emerging widespread or systematic attack against a civilian population, the intent clause of the last element indicates that this mental element is satisfied if the perpetrator intended to further such an attack.”

如果广泛或有系统地针对平民人口进行攻击为新出现的情况，最后一项要件的故意要素是指，行为人如果有意推行这种攻击，即具备这一心理要件。

(35) In its decision confirming the charges against Laurent Gbagbo, an ICC Pre-Trial Chamber found that “it is only necessary to establish that the person had knowledge of the attack in general terms.

” (35) 国际刑院一预审分庭在确认对Laurent Gbagbo的指控的决定中认定，“仅需确证该人大体上知道攻击之事。

” Indeed, it need not be proven that the perpetrator knew the specific details of the attack; rather, the perpetrator’s knowledge may be inferred from circumstantial evidence.

” 实际上，不需要证明行为人知悉攻击的具体细节； 相反，行为人知情与否可以从间接证据推导得出。

Thus, when finding in the Bemba case that the MLC troops acted with knowledge of the attack, an ICC Pre-Trial Chamber stated that the troops’ knowledge could be “inferred from the methods of the attack they followed”, which reflected a clear pattern.

因此，国际刑院一预审分庭在Bemba案中认定刚解运部队在行事时对攻击知情，同时指出部队的知情可从“他们采取的攻击方法”中推导得出，这些攻击方法反映出了明确的规律。

In the Katanga case, an ICC Pre-Trial Chamber found that:

在Katanga案中，国际刑院一预审分庭认定：

“knowledge of the attack and the perpetrator’s awareness that his conduct was part of such attack may be inferred from circumstantial evidence, such as: the accused’s position in the military hierarchy; his assuming an important role in the broader criminal campaign; his presence at the scene of the crimes; his references to the superiority of his group over the enemy group; and the general historical and political environment in which the acts occurred.”

对攻击知情与否，以及行为人是否意识到自己的行为是此种攻击的一部分，可从间接证据推导得出，例如：被告在军队等级中的位置；他在更广泛的犯罪活动中是否发挥重要作用；他是否出现在犯罪现场；他是否提到本人所属团体比敌对团体优越；以及发生有关行为的总体历史和政治环境。

(36) Further, the personal motive of the perpetrator for taking part in the attack is irrelevant; the perpetrator does not need to share the purpose or goal of the broader attack.

(36) 此外，行为人参与攻击的个人动机无关紧要；行为人不需要拥有与更广泛攻击相同的目的或目标。

According to the ICTY Appeals Chamber in Kunarac, evidence that the perpetrator committed the prohibited acts for personal reasons could at most “be indicative of a rebuttable assumption that he was not aware that his acts were part of that attack.

前南刑庭上诉分庭在Kunarac案中指出，证明行为人是出于个人原因实施违禁行为的证据最多可以“表示存在一种可反驳的假定，即他没有意识到自己的行为是有关攻击的一部分。

” It is the perpetrator’s knowledge or intent that his or her act is part of the attack that is relevant to satisfying this requirement.

” 行为人知道自己的行为是攻击的一部分或有意让自己的行为成为攻击的一部分，这才是与满足这一条件有关的问题。

Additionally, this element will be satisfied where it can be proven that the underlying offence was committed by directly taking advantage of the broader attack, or where the commission of the underlying offence had the effect of perpetuating the broader attack.

此外，若能证明所涉罪行是直接利用更广泛攻击实施的，或其实施有延长更广泛攻击的效果，亦能满足这一要件。

For example, in the Kunarac case, the perpetrators were accused of various forms of sexual violence, acts of torture, and enslavement in regards to Muslim women and girls.

例如，在Kunarac案中，行为人被指控犯下各种形式的针对穆斯林妇女和女童的性暴力、酷刑行为和奴役。

An ICTY Trial Chamber found that the accused had the requisite knowledge because they not only knew of the attack against the Muslim civilian population, but also perpetuated the attack “by directly taking advantage of the situation created” and “fully embraced the ethnicity-based aggression.

前南刑庭审判分庭认定，被告满足知情这一要件，因为他们不仅了解对穆斯林平民人口的攻击，还“直接利用攻击所创造的局面”延长了攻击，并“充分接受这一基于族裔的侵略行为。

” Likewise, an ICC Trial Chamber has held that the perpetrator must know that the act is part of the widespread or systematic attack against the civilian population, but the perpetrator’s motive is irrelevant for the act to be characterized as a crime against humanity.

” 同样，国际刑院某审判分庭认定，行为人一定知道有关行为是针对平民人口的广泛或有系统攻击的一部分，行为人的动机与是否将有关行为定为危害人类罪无关。

It is not necessary for the perpetrator to have knowledge of all the characteristics or details of the attack, nor is it required for the perpetrator to subscribe to the “State or the organisation’s criminal design.”

行为人不需要了解攻击的所有特点或详情，也不需要赞同“国家或组织的犯罪设想。 ”

Prohibited acts

禁止的行为

(37) Like Rome Statute Article 7, draft article 3, paragraph 1, at subparagraphs (a)-(k), lists the prohibited acts for crimes against humanity.

(37) 与《罗马规约》第七条相同，第3条第1款(a)项至(k)项草案列出了危害人类罪项下禁止的行为。

These prohibited acts also appear as part of the definition of crimes against humanity contained in article 18 of the Commission’s 1996 Draft Code of Crimes against the Peace and Security of Mankind, although the language differs slightly.

这些禁止的行为也出现在委员会1996年《危害人类和平及安全治罪法草案》第18条所载的危害人类罪的定义中，但用语略有不同。

An individual who commits one of these acts can commit a crime against humanity; the individual need not have committed multiple acts, but the individual’s act must be “part of” a widespread or systematic attack directed against any civilian population.

个人实施这些行为之一，即可构成犯危害人类罪；该人的行为不必是多项行为，但行为必须是针对任何平民人口的广泛或有系统攻击的“一部分”。

The offence does not need to be committed in the heat of the attack against the civilian population to satisfy this requirement; the offence can be part of the attack if it can be sufficiently connected to the attack.

要满足这一条件，所涉罪行并不需要是在对平民人口的攻击最激烈时实施的；只要可以充分将其与攻击联系起来，就可以是攻击的一部分。

Definitions within the definition

定义内的定义

(38) As noted above, draft article 3, paragraph 2(a), defines “attack directed against any civilian population” for the purpose of draft article 3, paragraph 1.

(38) 如上文所述，为了第3条第1款草案的目的，第3条第2款(a)项草案界定了“针对任何平民人口进行的攻击”。

The remaining sub-paragraphs (b)-(i) of draft article 3, paragraph 2, define further terms that appear in paragraph 1, specifically: “extermination”; “enslavement”; “deportation or forcible transfer of population”; “torture”; “forced pregnancy”; “persecution”; “the crime of apartheid”; and “enforced disappearance of persons.

第3条第2款草案余下的(b)项至(i)项界定了第1款中出现的其他术语，具体是：“灭绝”、“奴役”、“驱逐出境或强行迁移人口”、“酷刑”、“强迫怀孕”、“迫害”、“种族隔离罪”，以及“强迫人员失踪”。

” Further, draft article 3, paragraph 3, provides a definition for the term “gender”.

此外，第3条第3款草案提供了“性别”这一术语的定义。

These definitions also appear in Rome Statute Article 7 and were viewed by the Commission as relevant for retention in draft article 3.

这些定义也见于《罗马规约》第七条，委员会认为有必要在第3条草案中予以保留。

Paragraph 4

第4款

(39) Paragraph 4 of draft article 3 provides: “This draft article is without prejudice to any broader definition provided for in any international instrument or national law.

(39) 第3条第4款草案规定：“本条草案不妨碍任何国际文书或国内法规定的任何更为宽泛的定义。

” This provision is similar to article 1, paragraph 2, of the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, which provides: “This article is without prejudice to any international instrument or national legislation which does or may contain provisions of wider application.

”这一条款与《禁止酷刑和其他残忍、不人道或有辱人格的待遇或处罚公约》第1条第2款类似，该款规定：“本条规定并不妨碍载有或可能载有适用范围较广的规定的任何国际文书或国家法律。

” Rome Statute Article 10 (appearing in part II on “Jurisdiction, admissibility, and applicable law”) also contains a “without prejudice clause,” which reads: “Nothing in this Part shall be interpreted as limiting or prejudicing in any way existing or developing rules of international law for purposes other than this Statute.”

”《罗马规约》第十条(见于“第二编管辖权、可受理性和适用的法律”)也包含一项“不妨碍条款”，内容是：“除为了本规约的目的以外，本编的任何规定不得解释为限制或损害现有或发展中的国际法规则。

(40) Paragraph 4 is meant to ensure that the definition of “crimes against humanity” set forth in draft article 3 does not call into question any broader definitions that may exist in other international instruments or national legislation.

” (40) 第4款旨在确保第3条草案所载“危害人类罪”的定义不会使其他国际文书和国内法中可能存在的更为宽泛的定义发生疑问。

“International instrument” is to be understood in the broad sense and not only in the sense of being a binding international agreement.

“国际文书”须宽泛地理解，不单指具有约束力的国际文书。

For example, the definition of “enforced disappearance of persons” as contained in draft article 3 follows Rome Statute Article 7, but differs from the definition contained in the 1992 Declaration on the Protection of All Persons from Enforced Disappearance, in the Inter-American Convention on Forced Disappearance of Persons, and in the International Convention for the Protection of all Persons against Enforced Disappearance.

例如，第3条草案所载的“强迫人员失踪”的定义沿用《罗马规约》第七条，但与1992年《保护所有人不遭受强迫失踪宣言》、《美洲被迫失踪人士公约》 以及《保护所有人免遭强迫失踪国际公约》 所载的定义不同。

Those differences principally are that the latter instruments do not include the element “with the intention of removing them from the protection of the law,” do not include the words “for a prolonged period of time”, and do not refer to organizations as potential perpetrators of the crime when they act without State participation.

区别主要是后面的三项文书没有包括“目的是将其…置于法律保护之外”这一要件、不包括“长期”这一词语，以及没有提到组织也可在国家没有参与的情况下成为这一犯罪的潜在行为人。

(41) In light of such differences, the Commission thought it prudent to include draft article 3, paragraph 4.

(41) 鉴于上述区别，委员会认为加入第3条第4款草案是审慎的。

In essence, while the first three paragraphs of draft article 3 define crimes against humanity for the purpose of the draft articles, this is without prejudice to broader definitions in international instruments or national laws.

实质上，第3条草案前三款虽然为了本条款草案的目的定义了危害人类罪，但不妨碍国际文书或国内法中规定的更为宽泛的定义。

Thus, if a State wishes to adopt a broader definition in its national law, the present draft articles do not preclude it from doing so.

因此，如果某国希望在国内法中采用更为宽泛的定义，本条款草案并不妨碍它这么做。

At the same time, an important objective of the draft articles is the harmonization of national laws, so that they may serve as the basis for robust inter-State cooperation.

同时，本条款草案的一项重要目的是协调国内法，以便国内法成为各国间扎实合作的基础。

Any elements adopted in a national law, which would not fall within the scope of the present draft articles, would not benefit from the provisions set forth within them, including on extradition and mutual legal assistance.

国内法中采用的任何要件不属于本条款草案的范围，因此无法从其中所载的规定获益，包括引渡和法律互助。

Article 4

第4条

Obligation of prevention

预防义务

1. Each State undertakes to prevent crimes against humanity, in conformity with international law, including through:

1. 每一国家承诺按照国际法防止危害人类罪，办法包括：

(a) effective legislative, administrative, judicial or other preventive measures in any territory under its jurisdiction or control; and

(a) 在其管辖或控制的任何领土内采取有效的立法、行政、司法或其他预防措施；

(b) cooperation with other States, relevant intergovernmental organizations, and, as appropriate, other organizations.

(b) 与其他国家和有关政府间组织合作，并酌情与其他组织合作。

2. No exceptional circumstances whatsoever, such as armed conflict, internal political instability or other public emergency, may be invoked as a justification of crimes against humanity.

2. 任何特殊情况，诸如武装冲突、国内政局动荡、任何其他公共紧急状态等，均不得援引为施行危害人类罪的理由。

Commentary

评注

(1) Draft article 4 sets forth an obligation of prevention with respect to crimes against humanity.

(1) 第4条草案提出防止危害人类罪的义务。

In considering such an obligation, the Commission viewed it as pertinent to survey existing treaty practice concerning the prevention of crimes and other acts.

委员会在审议这一义务时认为，与此相关的工作是考察防止犯罪和其他行为的现有条约实践。

In many instances, those treaties address acts that, when committed under certain circumstances, can constitute crimes against humanity (for example, genocide, torture, apartheid, or enforced disappearance).

很多情况下，这些条约处理的是在一定情形下可能构成危害人类罪的行为(例如种族灭绝、酷刑、种族隔离或强迫失踪)。

As such, the obligation of prevention set forth in those treaties extends as well to prevention of the acts in question when they also qualify as crimes against humanity.

因此，当有关行为也构成危害人类罪时，这些条约规定的预防义务也延伸到对这些行为的预防。

(2) An early significant example of an obligation of prevention may be found in the 1948 Genocide Convention, which provides in Article I: “The Contracting Parties confirm that genocide, whether committed in time of peace or in time of war, is a crime under international law which they undertake to prevent and to punish.

(2) 早先的一个重要的预防义务例子可见于1948年《灭绝种族罪公约》，该公约第一条规定：“缔约国确认灭绝种族行为，不论发生于平时或战时，均系国际法上的一种罪行，承允防止并惩治之。

” Further, Article V provides: “The Contracting Parties undertake to enact, in accordance with their respective Constitutions, the necessary legislation to give effect to the provisions of the present Convention and, in particular, to provide effective penalties for persons guilty of genocide or any of the other acts enumerated in article III.

” 此外，第五条规定：“缔约国承允各依照其本国宪法制定必要的法律，以实施本公约各项规定，而对于犯灭绝种族罪或有第三条所列其他行为之一者尤应规定有效的惩治。