| A/76/10 2111083E.docx (ENGLISH) | A/76/10 2111083C.docx (CHINESE) |
| A/76/10 | A/76/10 |
| United Nations | 联 合 国 |
| Report of the International Law Commission | 国际法委员会报告 |
| Seventy-second session | 第七十二届会议 |
| (26 April–4 June and 5 July–6 August 2021) | (2021年4月26日至6月4日和7月5日至8月6日) |
| General Assembly | 大 会 |
| Official Records | 正式记录 |
| Seventy-sixth Session | 第七十六届会议 |
| Supplement No. 10 | 补编第10号 |
| Report of the International Law Commission | 国际法委员会报告 |
| Seventy-second session | 第七十二届会议 |
| (26 April–4 June and 5 July–6 August 2021) | (2021年4月26日至6月4日和7月5日至8月6日) |
| United Nations • New York, 2021 | 联合国·纽约，2021年 |
| Note | 说明 |
| Symbols of United Nations documents are composed of capital letters combined with figures. | 联合国文件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 2021. | 委员会报告的排版本将载入《2021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 seventy-second session from 26 April to 4 June 2021 and the second part from 5 July to 6 August 2021 at its seat at the United Nations Office at Geneva. | 1. 国际法委员会分别于2021年4月26日至6月4日和7月5日至8月6日在联合国日内瓦办事处委员会所在地举行了第七十二届会议第一期会议和第二期会议。 |
| Both parts were held in a hybrid format (in person and virtually). | 这两期会议都是以混合形式(面对面和虚拟)举行的。 |
| The session was opened by Mr. Pavel Šturma, Chair of the seventy-first session of the Commission. | 本届会议由委员会第七十一届会议主席帕维尔·斯图尔马先生主持开幕。 |
| A. Membership | A. 委员 |
| 2. The Commission consists of the following members: | 2. 委员会由下列委员组成： |
| Mr. Ali Mohsen Fetais Al-Marri (Qatar) | 阿里·穆赫辛·费塔伊斯·马里先生(卡塔尔) |
| Mr. Carlos J. Argüello Gómez (Nicaragua) | 卡洛斯·阿圭略·戈麦斯先生(尼加拉瓜) |
| Mr. Bogdan Aurescu (Romania) | 波格丹·奥雷斯库先生(罗马尼亚) |
| Mr. Yacouba Cissé (Côte d’Ivoire) | 雅库巴·西塞先生(科特迪瓦) |
| 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) |
| Ms. Patrícia Galvão Teles (Portugal) | 帕特里夏·加尔旺·特莱斯女士(葡萄牙) |
| 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. Claudio Grossman Guiloff (Chile) | 克劳迪奥·格罗斯曼·吉洛夫先生(智利) |
| 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) |
| Mr. Charles Chernor Jalloh (Sierra Leone) | 查尔斯·切尔诺·贾洛先生(塞拉利昂) |
| Mr. Ahmed Laraba (Algeria) | 艾哈迈德·拉腊巴先生(阿尔及利亚) |
| Ms. Marja Lehto (Finland) | 玛丽亚·莱赫托女士(芬兰) |
| 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. Hong Thao Nguyen (Viet Nam) | 阮洪滔先生(越南) |
| Ms. Nilüfer Oral (Turkey) | 尼吕费尔·奥拉尔女士(土耳其) |
| Mr. Hassan Ouazzani Chahdi (Morocco) | 哈桑·瓦扎尼·恰迪先生(摩洛哥) |
| 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. Aniruddha Rajput (India) | 阿尼鲁达·拉吉普特先生(印度) |
| Mr. August Reinisch (Austria) | 奥古斯特·赖尼希先生(奥地利) |
| Mr. Juan José Ruda Santolaria (Peru) | 胡安·何塞·鲁达·桑托拉里亚先生(秘鲁) |
| Mr. Gilberto Vergne Saboia (Brazil) | 吉尔贝托·贝尔涅·萨博亚先生(巴西) |
| 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) |
| Sir Michael Wood (United Kingdom of Great Britain and Northern Ireland) | 迈克尔·伍德爵士(大不列颠及北爱尔兰联合王国) |
| Mr. Evgeny Zagaynov (Russian Federation) | 耶夫格尼·扎加伊诺夫先生(俄罗斯联邦) |
| B. Casual vacancy | B. 临时空缺 |
| 3. At its 3511th meeting, on 29 April 2021, the Commission elected Mr. Mathias Forteau (France) to fill the casual vacancy occasioned by the resignation of Mr. Georg Nolte, who had been elected to the International Court of Justice. | 3. 在2021年4月29日第3511次会议上，委员会选出马蒂亚斯·福尔图先生(法国)填补因格奥尔格·诺尔特先生当选国际法院法官后辞职而出现的临时空缺。 |
| C. Officers and the Enlarged Bureau | C. 主席团成员和扩大的主席团 |
| 4. At its 3508th meeting, on 26 April 2021, the Commission elected the following officers: | 4. 在2021年4月26日第3508次会议上，委员会选出以下主席团成员： |
| Chair: | 主席： |
| Mr. Mahmoud D. Hmoud (Jordan) | 马哈茂德·哈穆德先生(约旦) |
| First Vice-Chair: | 第一副主席： |
| Mr. Dire D. Tladi (South Africa) | 迪雷·特拉迪先生(南非) |
| Second Vice-Chair: | 第二副主席： |
| Mr. Evgeny Zagaynov (Russian Federation) | 耶夫格尼·扎加伊诺夫先生(俄罗斯联邦) |
| Chair of the Drafting Committee: | 起草委员会主席： |
| Ms. Patrícia Galvão Teles (Portugal) | 帕特里夏·加尔旺·特莱斯女士(葡萄牙) |
| Rapporteur: | 报告员： |
| Mr. Juan José Ruda Santolaria (Peru) | 胡安·何塞·鲁达·桑托拉里亚先生(秘鲁) |
| 5. The Enlarged Bureau of the Commission was composed of the officers of the present session, the previous Chairs of the Commission, the Special Rapporteurs and the Co-Chairs of the Study Group on sea-level rise in relation to international law. | 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、特别报告员 和与国际法有关的海平面上升专题研究组共同主席 组成。 |
| 6. On 29 April 2021, the Planning Group was constituted, composed of the following members: Mr. Dire D. Tladi (Chair), Mr. Carlos J. Argüello Gómez, Mr. Yacouba Cissé, Ms. Concepción Escobar Hernández, Mr. Mathias Forteau, Ms. Patrícia Galvão Teles, Mr. Claudio Grossman Guiloff, Mr. Hussein A. Hassouna, Mr. Mahmoud D. Hmoud, Mr. Huikang Huang, Mr. Charles Chernor Jalloh, Mr. Ahmed Laraba, Ms. Marja Lehto, Mr. Shinya Murase, Mr. Sean D. Murphy, Mr. Hong Thao Nguyen, Ms. Nilüfer Oral, Mr. Hassan Ouazzani Chahdi, Mr. Ki Gab Park, Mr. Ernest Petrič, Mr. Aniruddha Rajput, Mr. August Reinisch, Mr. Gilberto Vergne Saboia, Mr. Pavel Šturma, Mr. Marcelo Vázquez-Bermúdez, Sir Michael Wood, Mr. Evgeny Zagaynov and Mr. Juan José Ruda Santolaria (ex officio). | 6. 规划组于2021年4月29日成立，由下列委员组成：迪雷·特拉迪先生(主席)、卡洛斯·阿圭略·戈麦斯先生、雅库巴·西塞先生、康塞普西翁·埃斯科瓦尔·埃尔南德斯女士、马蒂亚斯·福尔托先生、帕特里夏·加尔旺·特莱斯女士、克劳迪奥·格罗斯曼·吉洛夫先生、侯赛因·哈苏纳先生、马哈茂德·哈穆德先生、黄惠康先生、查尔斯·切尔诺·贾洛先生、艾哈迈德·拉腊巴先生、玛丽亚·莱赫托女士、村濑信也先生、肖恩·墨菲先生、阮洪滔先生、尼吕费尔·奥拉尔女士、哈桑·瓦扎尼·恰迪先生、朴基甲先生、埃内斯特·彼得里奇先生、阿尼鲁达·拉吉普特先生、奥古斯特·赖尼希先生、吉尔贝托·贝尔涅·萨博亚先生、帕维尔·斯图尔马先生、马塞洛·巴斯克斯－贝穆德斯先生、迈克尔·伍德爵士、耶夫格尼·扎加伊诺夫先生和胡安·何塞·鲁达·桑托拉里亚先生(当然成员)。 |
| D. Drafting Committee | D. 起草委员会 |
| 7. At its 3508th, 3515th, 3522nd, 3537th and 3546th meetings, on 26 April, on 4 and 14 May and on 12 and 21 July 2021, the Commission established a Drafting Committee, composed of the following members for the topics indicated: | 7. 在2021年4月26日、5月4日和14日以及7月12日和21日举行的第3508、3515、3522、3537和3546次会议上，委员会为下列专题设立了由下列委员组成的起草委员会： |
| (a) Immunity of State officials from foreign criminal jurisdiction: Ms. Patrícia Galvão Teles (Chair), Ms. Concepción Escobar Hernández (Special Rapporteur), Mr. Carlos J. Argüello Gómez, Mr. Yacouba Cissé, Mr. Mathias Forteau, Mr. Juan Manuel Gómez Robledo, Mr. Claudio Grossman Guiloff, Mr. Mahmoud D. Hmoud, Mr. Charles Chernor Jalloh, Ms. Marja Lehto, Mr. Sean D. Murphy, Ms. Nilüfer Oral, Mr. Hassan Ouazzani Chahdi, Mr. Ki Gab Park, Mr. Ernest Petrič, Mr. Aniruddha Rajput, Mr. August Reinisch, Mr. Gilberto Vergne Saboia, Mr. Dire D. Tladi, Mr. Eduardo Valencia-Ospina, Mr. Marcelo Vázquez-Bermúdez, Sir Michael Wood, Mr. Evgeny Zagaynov and Mr. Juan José Ruda Santolaria (ex officio); | (a) 国家官员的外国刑事管辖豁免：帕特里夏·加尔旺·特莱斯女士(主席)、康塞普西翁·埃斯科瓦尔·埃尔南德斯女士(特别报告员)、卡洛斯·阿圭略·戈麦斯先生、雅库巴·西塞先生、马蒂亚斯·福尔托先生、胡安·曼努埃尔·戈麦斯－罗夫莱多先生、克劳迪奥·格罗斯曼·吉洛夫先生、马哈茂德·哈穆德先生、查尔斯·切尔诺·贾洛先生、玛丽亚·莱赫托女士、肖恩·墨菲先生、尼吕费尔·奥拉尔女士、哈桑·瓦扎尼·恰迪先生、朴基甲先生、埃内斯特·彼得里奇先生、阿尼鲁达·拉吉普特先生、奥古斯特·赖尼希先生、吉尔贝托·贝尔涅·萨博亚先生、迪雷·特拉迪先生、爱德华多·巴伦西亚－奥斯皮纳先生、马塞洛·巴斯克斯－贝穆德斯先生、迈克尔·伍德爵士、耶夫格尼·扎加伊诺夫先生和胡安·何塞·鲁达·桑托拉里亚先生(当然成员)； |
| (b) Protection of the atmosphere: Ms. Patrícia Galvão Teles (Chair), Mr. Shinya Murase (Special Rapporteur), Mr. Yacouba Cissé, Mr. Mathias Forteau, Mr. Claudio Grossman Guiloff, Mr. Mahmoud D. Hmoud, Mr. Charles Chernor Jalloh, Ms. Marja Lehto, Mr. Sean D. Murphy, Mr. Hong Thao Nguyen, Ms. Nilüfer Oral, Mr. Ki Gab Park, Mr. Ernest Petrič, Mr. Aniruddha Rajput, Mr. August Reinisch, Mr. Gilberto Vergne Saboia, Mr. Dire D. Tladi, Mr. Eduardo Valencia-Ospina, Mr. Marcelo Vázquez-Bermúdez, Sir Michael Wood, Mr. Evgeny Zagaynov and Mr. Juan José Ruda Santolaria (ex officio); | (b) 保护大气层：帕特里夏·加尔旺·特莱斯女士(主席)、村濑信也(特别报告员)、雅库巴·西塞先生、马蒂亚斯·福尔托先生、克劳迪奥·格罗斯曼·吉洛夫先生、马哈茂德·哈穆德先生、查尔斯·切尔诺·贾洛先生、玛丽亚·莱赫托女士、肖恩·墨菲先生、阮洪滔先生、尼吕费尔·奥拉尔女士、朴基甲先生、埃内斯特·彼得里奇先生、阿尼鲁达·拉吉普特先生、奥古斯特·赖尼希先生、吉尔贝托·贝尔涅·萨博亚先生、迪雷·特拉迪先生、爱德华多·巴伦西亚－奥斯皮纳先生、马塞洛·巴斯克斯－贝穆德斯先生、迈克尔·伍德爵士、耶夫格尼·扎加伊诺夫先生和胡安·何塞·鲁达·桑托拉里亚先生(当然成员)； |
| (c) Provisional application of treaties: Ms. Patrícia Galvão Teles (Chair), Mr. Juan Manuel Gómez Robledo (Special Rapporteur), Ms. Concepción Escobar Hernández, Mr. Mathias Forteau, Mr. Claudio Grossman Guiloff, Mr. Charles Chernor Jalloh, Ms. Marja Lehto, Mr. Sean D. Murphy, Mr. Ki Gab Park, Mr. Ernest Petrič, Mr. Aniruddha Rajput, Mr. Pavel Šturma, Mr. Marcelo Vázquez-Bermúdez, Sir Michael Wood, Mr. Evgeny Zagaynov and Mr. Juan José Ruda Santolaria (ex officio); | (c) 条约的暂时适用：帕特里夏·加尔旺·特莱斯女士(主席)、胡安·何塞·鲁达·桑托拉里亚先生(特别报告员)、康塞普西翁·埃斯科瓦尔·埃尔南德斯女士、马蒂亚斯·福尔托先生、克劳迪奥·格罗斯曼·吉洛夫先生、查尔斯·切尔诺·贾洛先生、玛丽亚·莱赫托女士、肖恩·墨菲先生、朴基甲先生、埃内斯特·彼得里奇先生、阿尼鲁达·拉吉普特先生、帕维尔·斯图尔马先生、马塞洛·巴斯克斯－贝穆德斯先生、迈克尔·伍德爵士、耶夫格尼·扎加伊诺夫先生和胡安·何塞·鲁达·桑托拉里亚先生(当然成员)； |
| (d) Succession of States in respect of State responsibility: Ms. Patrícia Galvão Teles (Chair), Mr. Pavel Šturma (Special Rapporteur), Mr. Claudio Grossman Guiloff, Mr. Charles Chernor Jalloh, Mr. Sean D. Murphy, Mr. Ki Gab Park, Mr. Ernest Petrič, Mr. Aniruddha Rajput, Mr. August Reinisch, Sir Michael Wood, Mr. Evgeny Zagaynov and Mr. Juan José Ruda Santolaria (ex officio); | (d) 国家责任方面的国家继承：帕特里夏·加尔旺·特莱斯女士(主席)、帕维尔·斯图尔马先生(特别报告员)、克劳迪奥·格罗斯曼·吉洛夫先生、查尔斯·切尔诺·贾洛先生、肖恩·墨菲先生、朴基甲先生、埃内斯特·彼得里奇先生、阿尼鲁达·拉吉普特先生、奥古斯特·赖尼希先生、迈克尔·伍德爵士、耶夫格尼·扎加伊诺夫先生和胡安·何塞·鲁达·桑托拉里亚先生(当然成员)； |
| (e) General principles of law: Ms. Patrícia Galvão Teles (Chair), Mr. Marcelo Vázquez-Bermúdez (Special Rapporteur), Mr. Carlos J. Argüello Gómez, Mr. Yacouba Cissé, Ms. Concepción Escobar Hernández, Mr. Mathias Forteau, Mr. Claudio Grossman Guiloff, Mr. Mahmoud D. Hmoud, Mr. Charles Chernor Jalloh, Ms. Marja Lehto, Mr. Sean D. Murphy, Mr. Hong Thao Nguyen, Ms. Nilüfer Oral, Mr. Hassan Ouazzani Chahdi, Mr. Ki Gab Park, Mr. Ernest Petrič, Mr. Aniruddha Rajput, Mr. Gilberto Vergne Saboia, Mr. Pavel Šturma, Mr. Dire D. Tladi, Mr. Eduardo Valencia-Ospina, Sir Michael Wood, Mr. Evgeny Zagaynov and Mr. Juan José Ruda Santolaria (ex officio). | (e) 一般法律原则：帕特里夏·加尔旺·特莱斯女士(主席)、马塞洛·巴斯克斯－贝穆德斯先生(特别报告员)、卡洛斯·阿圭略·戈麦斯先生、雅库巴·西塞先生、康塞普西翁·埃斯科瓦尔·埃尔南德斯女士、马蒂亚斯·福尔托先生、克劳迪奥·格罗斯曼·吉洛夫先生、马哈茂德·哈穆德先生、查尔斯·切尔诺·贾洛先生、玛丽亚·莱赫托女士、肖恩·墨菲先生、阮洪滔先生、尼吕费尔·奥拉尔女士、哈桑·瓦扎尼·恰迪先生、朴基甲先生、埃内斯特·彼得里奇先生、阿尼鲁达·拉吉普特先生、吉尔贝托·贝尔涅·萨博亚先生、帕维尔·斯图尔马先生、迪雷·特拉迪先生、爱德华多·巴伦西亚－奥斯皮纳先生、迈克尔·伍德爵士、耶夫格尼·扎加伊诺夫先生和胡安·何塞·鲁达·桑托拉里亚先生(当然成员)。 |
| 8. The Drafting Committee held a total of 37 meetings on the five topics indicated above. | 8. 起草委员会就上述五个专题共举行了37次会议。 |
| E. Working Groups and Study Group | E. 工作组和研究组 |
| 9. The Planning Group established the following Working Groups: | 9. 规划组设立了以下工作组： |
| (a) Working Group on the long-term programme of work: Mr. Mahmoud D. Hmoud (Chair), Mr. Bogdan Aurescu, Mr. Yacouba Cissé, Ms. Concepción Escobar Hernández, Mr. Mathias Forteau, Ms. Patrícia Galvão Teles, Mr. Claudio Grossman Guiloff, Mr. Hussein A. Hassouna, Mr. Huikang Huang, Mr. Charles Chernor Jalloh, Mr. Ahmed Laraba, Ms. Marja Lehto, Mr. Shinya Murase, Mr. Sean D. Murphy, Mr. Hong Thao Nguyen, Ms. Nilüfer Oral, Mr. Hassan Ouazzani Chahdi, Mr. Ki Gab Park, Mr. Chris Maina Peter, Mr. Ernest Petrič, Mr. Aniruddha Rajput, Mr. August Reinisch, Mr. Gilberto Vergne Saboia, Mr. Pavel Šturma, Mr. Dire D. Tladi, Mr. Marcelo Vázquez-Bermúdez, Mr. Amos S. Wako, Sir Michael Wood, Mr. Evgeny Zagaynov and Mr. Juan José Ruda Santolaria (ex officio); | (a) 长期工作方案工作组：马哈茂德·哈穆德先生(主席)、波格丹·奥雷斯库先生、雅库巴·西塞先生、康塞普西翁·埃斯科瓦尔·埃尔南德斯女士、马蒂亚斯·福尔托先生、帕特里夏·加尔旺·特莱斯女士、克劳迪奥·格罗斯曼·吉洛夫先生、侯赛因·哈苏纳先生、黄惠康先生、查尔斯·切尔诺·贾洛先生、艾哈迈德·拉腊巴先生、玛丽亚·莱赫托女士、村濑信也先生、肖恩·墨菲先生、阮洪滔先生、尼吕费尔·奥拉尔女士、哈桑·瓦扎尼·恰迪先生、朴基甲先生、克里斯·马伊纳·彼得先生、埃内斯特·彼得里奇先生、阿尼鲁达·拉吉普特先生、奥古斯特·赖尼希先生、吉尔贝托·贝尔涅·萨博亚先生、帕维尔·斯图尔马先生、迪雷·特拉迪先生、马塞洛·巴斯克斯－贝穆德斯先生、阿莫斯·瓦科先生、迈克尔·伍德爵士、耶夫格尼·扎加伊诺夫先生和胡安·何塞·鲁达·桑托拉里亚先生(当然成员)。 |
| (b) Working Group on methods of work: Mr. Hussein A. Hassouna (Chair), Mr. Bogdan Aurescu, Mr. Yacouba Cissé, Ms. Concepción Escobar Hernández, Mr. Mathias Forteau, Ms. Patrícia Galvão Teles, Mr. Claudio Grossman Guiloff, Mr. Huikang Huang, Mr. Charles Chernor Jalloh, Ms. Marja Lehto, Mr. Shinya Murase, Mr. Sean D. Murphy, Mr. Hong Thao Nguyen, Ms. Nilüfer Oral, Mr. Hassan Ouazzani Chahdi, Mr. Ki Gab Park, Mr. Ernest Petrič, Mr. Aniruddha Rajput, Mr. August Reinisch, Mr. Gilberto Vergne Saboia, Mr. Pavel Šturma, Mr. Dire D. Tladi, Mr. Marcelo Vázquez-Bermúdez, Sir Michael Wood, Mr. Evgeny Zagaynov and Mr. Juan José Ruda Santolaria (ex officio). | (b) 工作方法工作组：侯赛因·哈苏纳先生(主席)、波格丹·奥雷斯库先生、雅库巴·西塞先生、康塞普西翁·埃斯科瓦尔·埃尔南德斯女士、马蒂亚斯·福尔托先生、帕特里夏·加尔旺·特莱斯女士、克劳迪奥·格罗斯曼·吉洛夫先生、黄惠康先生、查尔斯·切尔诺·贾洛先生、玛丽亚·莱赫托女士、村濑信也先生、肖恩·墨菲先生、阮洪滔先生、尼吕费尔·奥拉尔女士、哈桑·瓦扎尼·恰迪先生、朴基甲先生、埃内斯特·彼得里奇先生、阿尼鲁达·拉吉普特先生、奥古斯特·赖尼希先生、吉尔贝托·贝尔涅·萨博亚先生、帕维尔·斯图尔马先生、迪雷·特拉迪先生、马塞洛·巴斯克斯－贝穆德斯先生、迈克尔·伍德爵士、耶夫格尼·扎加伊诺夫先生和胡安·何塞·鲁达·桑托拉里亚先生(当然成员)。 |
| 10. At its 3529th meeting, on 27 May 2021, the Commission established a Study Group on sea-level rise in relation to international law, composed of the following members: Mr. Bogdan Aurescu (Co-Chair at the current session), Mr. Yacouba Cissé (Co-Chair), Ms. Patrícia Galvão Teles (Co-Chair), Ms. Nilüfer Oral (Co-Chair at the current session), Mr. Juan José Ruda Santolaria (Co-Chair), Ms. Concepción Escobar Hernández, Mr. Mathias Forteau, Mr. Juan Manuel Gómez Robledo, Mr. Claudio Grossman Guiloff, Mr. Hussein A. Hassouna, Mr. Mahmoud D. Hmoud, Mr. Huikang Huang, Mr. Charles Chernor Jalloh, Mr. Ahmed Laraba, Ms. Marja Lehto, Mr. Shinya Murase, Mr. Sean D. Murphy, Mr. Hong Thao Nguyen, Mr. Hassan Ouazzani Chahdi, Mr. Ki Gab Park, Mr. Ernest Petrič, Mr. Aniruddha Rajput, Mr. August Reinisch, Mr. Gilberto Vergne Saboia, Mr. Pavel Šturma, Mr. Dire D. Tladi, Mr. Eduardo Valencia-Ospina, Mr. Marcelo Vázquez-Bermúdez, Sir Michael Wood and Mr. Evgeny Zagaynov. | 10. 在2021年5月27日第3529次会议上，委员会设立了与国际法有关的海平面上升专题研究组，由下列委员组成：博格丹·奥雷斯库先生(本届会议共同主席)、雅库巴·西塞先生(共同主席)、帕特里夏·加尔旺·特莱斯女士(共同主席)、尼吕费尔·奥拉尔女士(本届会议共同主席)、胡安·何塞·鲁达·桑托拉里亚先生(共同主席)、康塞普西翁·埃斯科瓦尔·埃尔南德斯女士、马蒂亚斯·福尔托先生、胡安·曼努埃尔·戈麦斯－罗夫莱多先生、克劳迪奥·格罗斯曼·吉洛夫先生、侯赛因·哈苏纳先生、马哈茂德·哈穆德先生、黄惠康先生、查尔斯·切尔诺·贾洛先生、艾哈迈德·拉腊巴先生、玛丽亚·莱赫托女士、村濑信也先生、肖恩·墨菲先生、阮洪滔先生、哈桑·瓦扎尼·恰迪先生、朴基甲先生、埃内斯特·彼得里奇先生、阿尼鲁达·拉吉普特先生、奥古斯特·赖尼希先生、吉尔贝托·贝尔涅·萨博亚先生、帕维尔·斯图尔马先生、迪雷·特拉迪先生、爱德华多·巴伦西亚－奥斯皮纳先生、马塞洛·巴斯克斯－贝穆德斯先生、迈克尔·伍德爵士和耶夫格尼·扎加伊诺夫先生。 |
| F. Secretariat | F. 秘书处 |
| 11. Mr. Miguel de Serpa Soares, Under-Secretary-General for Legal Affairs and United Nations Legal Counsel, represented the Secretary-General. | 11. 主管法律事务副秘书长兼联合国法律顾问米格尔·德塞尔帕·苏亚雷斯先生担任秘书长的代表。 |
| Mr. Huw Llewellyn, 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. | 法律事务厅编纂司司长休·卢埃林先生担任委员会秘书，并在法律顾问缺席时担任秘书长的代表。 |
| Ms. Jessica Elbaz and Mr. Arnold Pronto, Principal Legal Officers, served as Principal Assistant Secretaries to the Commission. | 首席法律干事杰西卡·厄尔巴兹女士和阿诺德·普龙托先生担任委员会首席助理秘书。 |
| Mr. Trevor Chimimba, Senior Legal Officer, served as Senior Assistant Secretary to the Commission. | 高级法律干事特雷沃尔·齐敏巴先生担任委员会高级助理秘书。 |
| Ms. Christiane Ahlborn, Mr. Carlos Ivan Fuentes, Ms. Patricia Georget and Ms. Carla Hoe, Legal Officers, and Ms. Rina Kuusipalo and Mr. Douglas Pivnichny, Associate Legal Officers, served as Assistant Secretaries to the Commission. | 法律干事克里斯蒂安·阿尔伯恩女士、卡洛斯·伊万·富恩特斯先生、帕特里夏·乔治女士和卡拉·霍女士以及协理法律干事里娜·库西帕洛女士和道格拉斯·皮夫尼尼先生担任委员会助理秘书。 |
| G. Agenda | G. 议程 |
| 12. The Commission adopted an agenda for its seventy-second session consisting of the following items: | 12. 委员会通过了其第七十二届会议议程，项目如下： |
| 1. Organization of the work of the session. | 1. 会议工作安排。 |
| 2. Filling of casual vacancies. | 2. 填补临时空缺。 |
| 3. Immunity of State officials from foreign criminal jurisdiction. | 3. 国家官员的外国刑事管辖豁免。 |
| 4. Provisional application of treaties. | 4. 条约的暂时适用。 |
| 5. Protection of the atmosphere. | 5. 保护大气层。 |
| 6. Succession of States in respect of State responsibility. | 6. 国家责任方面的国家继承。 |
| 7. General principles of law. | 7. 一般法律原则。 |
| 8. Sea-level rise in relation to international law. | 8. 与国际法有关的海平面上升。 |
| 9. Programme, procedures and working methods of the Commission and its documentation. | 9. 委员会的方案、程序和工作方法以及文件。 |
| 10. Date and place of the seventy-third session. | 10. 第七十三届会议的日期和地点。 |
| 11. Cooperation with other bodies. | 11. 与其他机构的合作。 |
| 12. Other business. | 12. 其他事项。 |
| Chapter II Summary of the work of the Commission at its seventy-second session | 第二章 委员会第七十二届会议工作概况 |
| 13. With respect to the topic “Protection of the atmosphere”, the Commission had before it the sixth report of the Special Rapporteur (A/CN.4/736), as well as comments and observations received from Governments and international organizations (A/CN.4/735). | 13. 关于“保护大气层”专题，委员会收到了特别报告员的第六次报告(A/CN.4/ 736)以及各国政府和国际组织提交的评论和意见(A/CN.4/735)。 |
| The report examined the comments and observations received from Governments and international organizations on the draft preamble and guidelines, as adopted on first reading, and made recommendations for each draft guideline, as well as a proposal for a recommendation to the General Assembly. | 报告审查了各国政府和国际组织提交的关于一读通过的序言和指南草案的评论和意见，对每一条指南草案提出了建议，并提议向大会提出一项建议。 |
| 14. The Commission adopted, on second reading, the entire set of draft guidelines on the protection of the atmosphere, comprising a draft preamble and 12 draft guidelines, together with commentaries thereto. | 14. 委员会二读通过了整套《保护大气层指南草案》，包括序言草案和12条指南草案及其评注。 |
| The Commission decided, in accordance with article 23 of its statute, to recommend that the General Assembly: (a) take note in a resolution of the draft preamble and guidelines on the protection of the atmosphere, annex the draft guidelines to the resolution, and ensure their widest possible dissemination; | 委员会决定根据其章程第23条，建议大会：(a) 在一项决议中表示注意到关于保护大气层的序言和指南草案，将指南草案作为该决议的附件，并确保尽可能广泛地予以分发； |
| (b) commend the draft preamble and guidelines, together with the commentaries thereto, to the attention of States, international organizations and all who may be called upon to deal with the subject (chap. IV). | (b) 提请各国、国际组织以及所有可能需要处理该专题的人注意序言和指南草案及其评注(第四章)。 |
| 15. With regard to the topic “Provisional application of treaties”, the Commission had before it the sixth report of the Special Rapporteur (A/CN.4/738), as well as comments and observations received from Governments and international organizations (A/CN.4/737). | 15. 关于“条约的暂时适用”专题，委员会收到了特别报告员的第六次报告(A/CN.4/738)以及各国政府和国际组织提交的评论和意见(A/CN.4/737)。 |
| The report examined the comments and observations received from Governments and international organizations on the draft Guide, as adopted on first reading, and on several draft model clauses, proposed by the Special Rapporteur to the Commission at its seventy-first session (2019). | 报告审查了各国政府和国际组织提交的关于一读通过的指南草案以及特别报告员向委员会第七十一届会议(2019年)提出的若干示范条款草案的评论和意见。 |
| It also contained proposals of the Special Rapporteur for consideration on second reading, in the light of the comments and observations, as well as a proposal for a recommendation to the General Assembly. | 报告还载有特别报告员参考评论和意见提出的供二读审议的提案，并提议向大会提出一项建议。 |
| 16. The Commission adopted, on second reading, the entire Guide to Provisional Application of Treaties, comprising 12 draft guidelines and a draft annex containing examples of provisions on provisional application of treaties, together with commentaries thereto. | 16. 委员会二读通过了整套《条约的暂时适用指南》，其中包括12条准则草案和一份附件草案，附件载有关于条约的暂时适用的条款实例及其评注。 |
| In accordance with article 23 of its statute, the Commission recommended to the General Assembly to take note of the Guide to Provisional Application of Treaties and to encourage its widest possible dissemination, to commend the Guide, and the commentaries thereto, to the attention of States and international organizations, and to request the Secretary-General to prepare a volume of the United Nations Legislative Series compiling the practice of States and international organizations in the provisional application of treaties, as furnished by the latter over the years, together with other materials relevant to the topic (chap. V). | 委员会根据其章程第23条，建议大会注意到《条约的暂时适用指南》，并鼓励尽可能广泛地予以分发，请各国和国际组织注意该指南及其评注，并请秘书长编写一卷《联合国法律汇编》，汇编各国和国际组织多年来提供的各国和国际组织在暂时适用条约方面的实践，以及与这一专题有关的其他材料(第五章)。 |
| 17. With respect to the topic “Immunity of State officials from foreign criminal jurisdiction”, the Commission had before it the eighth report of the Special Rapporteur (A/CN.4/739), which examined the relationship between the immunity of State officials from foreign criminal jurisdiction and international criminal tribunals; considered a mechanism for the settlement of disputes between the forum State and the State of the official; considered the issue of good practices that could help to solve the problems that arise in practice in the process of determining and applying immunity; and presented proposals for draft articles 17 and 18. | 17. 关于“国家官员的外国刑事管辖豁免”专题，委员会收到了特别报告员的第八次报告(A/CN.4/739)，报告审查了国家官员的外国刑事管辖豁免与国际刑事法庭之间的关系，审议了建立法院地国和官员所属国之间争端解决机制的问题，审议了可有助于解决在确定和适用豁免过程中出现的实际问题的良好做法问题，并提出了关于第17条和第18条草案的提议。 |
| Following the debate in plenary, the Commission decided to refer draft articles 17 and 18 to the Drafting Committee, taking into account the debate and proposals made in plenary. | 经全体会议辩论之后，委员会考虑到全体会议上进行的辩论情况和提出的建议，决定将第17条和第18条草案转交起草委员会。 |
| The Commission received and adopted the reports of the Drafting Committee on draft articles 8 ante, 8, 9, 10, 11 and 12, and provisionally adopted those draft articles together with the commentaries thereto (chap. VI). | 委员会还收到并通过了起草委员会关于第8(前)条、第8条、第9条、第10条、第11条和第12条草案的报告，并暂时通过了这些条款草案及其评注(第六章)。 |
| 18. With regard to the topic “Succession of States in respect of State responsibility”, the Commission had before it the fourth report of the Special Rapporteur (A/CN.4/743), which addressed questions related to the impact of succession of States on forms of responsibility, in particular the different forms of reparation, the obligation of cessation and assurances and guarantees of non-repetition. | 18. 关于“国家责任方面的国家继承”专题，委员会收到了特别报告员的第四次报告(A/CN.4/743)，其中论述了国家继承对责任形式的影响，特别是不同形式的赔偿、停止的义务以及不重复的承诺和保证。 |
| Following the debate in plenary, the Commission decided to refer draft articles 7 bis, 16, 17, 18 and 19, as contained in the fourth report of the Special Rapporteur, to the Drafting Committee, taking into account the comments made in plenary. | 经全体辩论之后，委员会考虑到在全体会议上提出的意见，决定将特别报告员第四次报告中所载的第7条之二、第16条、第17条、第18条和第19条草案转交起草委员会。 |
| The Commission provisionally adopted draft articles 7, 8 and 9, which had been provisionally adopted by the Drafting Committee at the seventy-first session, together with commentaries thereto. | 委员会暂时通过了起草委员会在第七十一届会议期间暂时通过的第7、第8和第9条草案及其评注。 |
| Furthermore, the Commission took note of the interim report of the Chair of the Drafting Committee on draft articles 10, 10 bis and 11, provisionally adopted by the Committee at the present session, which was presented to the Commission for information only (chap. VII). | 此外，委员会注意到起草委员会主席关于起草委员会在本届会议期间暂时通过的第10条、第10条之二和第11条草案的临时报告，该报告已提交委员会，仅供参考(第七章)。 |
| 19. With regard to the topic “General principles of law”, the Commission had before it the second report of the Special Rapporteur (A/CN.4/741 and Corr.1), which discussed the identification of general principles of law in the sense of Article 38, paragraph 1 (c), of the Statute of the International Court of Justice. | 19. 关于“一般法律原则”专题，委员会收到了特别报告员的第二次报告(A/CN.4/741和Corr.1)，其中讨论了《国际法院规约》第三十八条第一款(寅)项意义上的一般法律原则的识别问题。 |
| Following the debate in plenary, the Commission decided to refer draft conclusions 4, 5, 6, 7, 8 and 9, as presented in the second report, to the Drafting Committee, taking into account the comments made in plenary. | 经全体辩论之后，委员会考虑到在全体会议上提出的意见，决定将第二次报告中提出的结论草案4、5、6、7、8和9转交起草委员会。 |
| The Commission received and adopted the report of the Drafting Committee on draft conclusions 1, 2 and 4, and provisionally adopted those draft conclusions, together with commentaries. | 委员会收到并通过了起草委员会关于结论草案1、2和4的报告，并暂时通过了这些结论草案以及评注。 |
| Furthermore, the Commission took note of draft conclusion 5, which was also contained in the report of the Drafting Committee (chap. VIII). | 此外，委员会注意到也载于起草委员会的报告中的结论草案5(第八章)。 |
| 20. With respect to the topic “Sea-level rise in relation to international law”, the Commission reconstituted the Study Group on sea-level rise in relation to international law. | 20. 关于“与国际法有关的海平面上升”专题，委员会重新设立了与国际法有关的海平面上升专题研究组。 |
| The Study Group had before it the first issues paper (A/CN.4/740 and Corr.1 and Add.1) concerning issues relating to the law of the sea, prepared by two of the Co-Chairs of the Study Group, Mr. Bogdan Aurescu and Ms. Nilüfer Oral, as well as informal contribution papers and comments submitted by members. | 研究组收到了由研究组两位共同主席波格丹·奥雷斯库先生和尼吕费尔·奥拉尔女士编写的关于海洋法相关问题的第一份问题文件(A/CN.4/740和Corr.1和Add.1)，以及委员们提交的非正式文件和评论。 |
| The Study Group held a “plenary-like” debate on the various matters discussed in the first issues paper over five meetings, during the first part of the session. | 在第一期会议期间，研究组在五次会议上就第一份问题文件中讨论的各个问题进行了“全会式的”辩论。 |
| The Study Group subsequently undertook an interactive discussion, over three further meetings held during the second part of the session, on the basis of, inter alia, a series of guiding questions prepared by the Co-Chairs. | 研究组随后在第二期会议期间的三次会议上，在共同主席编写的一系列指导性问题等基础上进行了互动讨论。 |
| Thereafter, the Co-Chairs reported to the plenary on the work of the Study Group (chap. IX). | 此后，共同主席向全体会议报告了研究组的工作(第九章)。 |
| 21. As regards “Other decisions and conclusions of the Commission”, the Commission re-established a Planning Group to consider its programme, procedures and working methods, which in turn decided to re-establish the Working Group on the long-term programme of work, chaired by Mr. Mahmoud D. Hmoud, and the Working Group on methods of work, chaired by Mr. Hussein A. Hassouna (chap. X, sect. B). | 21. 关于“委员会的其他决定和结论”，委员会重新设立了一个规划组，以审议其方案、程序和工作方法，规划组又决定重新设立长期工作方案工作组(由马哈茂德·哈穆德先生担任主席)和工作方法工作组(由侯赛因·哈苏纳先生担任主席)(第十章B节)。 |
| The Commission decided to include in its long-term programme of work the topic “Subsidiary means for the determination of rules of international law” (chap. X, sect. B, and annex). | 委员会决定在其长期工作方案中列入“确定国际法规则的辅助手段”专题(第十章B节和附件)。 |
| 22. Judge Joan E. Donoghue, President of the International Court of Justice, addressed the Commission virtually on 22 July 2021. | 22. 2021年7月22日，国际法院院长琼·多诺霍法官以在线方式在委员会发言。 |
| Owing to the coronavirus disease (COVID-19) pandemic, the Commission was regrettably unable to have its traditional exchanges of information with the African Union Commission on International Law; the Asian-African Legal Consultative Organization; the Committee of Legal Advisers on Public International Law of the Council of Europe; | 令人遗憾的是，由于2019冠状病毒病(COVID-19)大流行，委员会无法与非洲联盟国际法委员会、亚非法律协商组织、欧洲委员会国际公法法律顾问委员会和美洲法律委员会进行传统的信息交流。 |
| and the Inter-American Juridical Committee. However, it was able to have an informal exchange of views with the International Committee of the Red Cross on 15 July 2021 (chap. X, sect. E). | 然而，委员会在2021年7月15日与红十字国际委员会举行了非正式意见交换(第十章E节)。 |
| 23. The Commission decided that its seventy-third session would be held in Geneva from 18 April to 3 June and from 4 July to 5 August 2022 (chap. X, sect. C). | 23. 委员会决定其第七十三届会议将于2022年4月18日至6月3日和7月4日至8月5日在日内瓦举行(第十章C节)。 |
| Chapter III Specific issues on which comments would be of particular interest to the Commission | 第三章 委员会特别想听取意见的具体问题 |
| 24. The Commission considers as still relevant the request for information contained in chapter III of the report of its seventy-first session (2019) on the topics “Immunity of State officials from foreign criminal jurisdiction” and “General principles of law” and would welcome any additional information. | 24. 委员会认为，第七十一届会议(2019年)报告第三章中关于“国家官员的外国刑事管辖豁免”和“一般法律原则”专题的资料征集请求 仍然具有意义，并欢迎提供任何补充资料。 |
| A. Succession of States in respect of State responsibility | A. 国家责任方面的国家继承 |
| 25. The Commission would appreciate being provided by States with information on their practice relevant to the succession of States in respect of State responsibility by 31 December 2021. | 25. 委员会希望各国在2021年12月31日之前提供资料，说明其与国家责任方面的国家继承有关的实践。 |
| The Commission would particularly appreciate receiving examples relevant to this topic of: | 委员会特别希望收到与本专题有关的以下方面实例： |
| (a) treaties, including lump sum agreements and other relevant multilateral and bilateral agreements; | (a) 条约，包括一次付清协定和其他有关多边或双边协定； |
| (b) domestic law, including legislation implementing multilateral or bilateral agreements; | (b) 国内法律，包括执行多边或双边协定的国内法律； |
| (c) decisions of domestic, regional and subregional courts and tribunals. | (c) 国内、区域和次区域法院和法庭的决定。 |
| B. Sea-level rise in relation to international law | B. 与国际法有关的海平面上升 |
| 26. At the seventy-third session (2022), the Study Group will focus on the subtopics of sea-level rise in relation to statehood and the protection of persons affected by sea-level rise. | 26. 在第七十三届会议(2022年)上，研究组将侧重于与国家地位有关的海平面上升和保护受海平面上升影响的人员这两个分专题。 |
| In this connection, the Commission would welcome receiving, by 31 December 2021, any information that States, relevant international organizations and the International Red Cross and Red Crescent Movement could provide on their practice and other relevant information regarding sea-level rise in relation to international law, including on: | 在这方面，委员会欢迎各国、有关国际组织及国际红十字和红新月运动在2021年12月31日之前提供资料，说明其在与国际法有关的海平面上升问题方面的实践，并提供其他相关资料，包括关于以下方面的资料： |
| (a) practice with regard to the construction of artificial islands or measures to reinforce coastlines, in each case in order to take into account sea-level rise; | (a) 因考虑到海平面上升而采取的与建造人工岛有关的实践或加强海岸线的措施； |
| (b) instances of cession or allocation of territory, with or without transferral of sovereignty, for the settlement of persons originating from other States, in particular small island developing States, affected by sea-level rise; | (b) 让出或划拨领土(转让或不转让主权)，以安置来自其他国家、特别是小岛屿发展中国家的受海平面上升影响的人员的情况； |
| (c) regional and national legislation, policies and strategies, as applicable, regarding the protection of persons affected by sea-level rise; | (c) 适用于保护受海平面上升影响的人员的区域和国家立法、政策和战略； |
| (d) practice, information and experience of relevant international organizations and the International Red Cross and Red Crescent Movement regarding the protection of persons affected by sea-level rise; | (d) 有关国际组织及国际红十字和红新月运动在保护受海平面上升影响的人员方面的实践、资料和经验； |
| (e) measures taken by third States with regard to small island developing States, in particular those affected by sea-level rise, including: (i) modalities for cooperation or association with such States, including the possibility of persons travelling to, as well as establishing residency and developing professional activities in, such third States; | (e) 第三国对小岛屿发展中国家、特别是受海平面上升影响的小岛屿发展中国家采取的措施，包括：(一) 与这些国家合作或联系的模式，包括人员前往这些第三国及在当地定居和发展专业活动的可能性； |
| (ii) maintenance of the original nationality and/or access to the nationality or citizenship of the third State; | (二) 保持原国籍和/或获得第三国国籍或公民身份的机会； |
| and (iii) conservation of the cultural identity of such persons or groups. | (三) 保护这些人或群体的文化特性。 |
| 27. As regards the subtopic of sea-level rise in relation to the law of the sea, the Commission would further welcome receiving from States, by 30 June 2022, in addition to the specific issues on which comments were requested in chapter III of the report of its seventy-first session (2019): | 27. 关于与海洋法有关的海平面上升这一分专题，除委员会第七十一届会议(2019年)报告第三章征求意见的具体问题 外，委员会还欢迎各国在2022年6月30日之前提供： |
| (a) examples of practice relating to the updating, and frequency of updating, national laws regarding baselines used for measuring the breadth of maritime zones; | (a) 关于用于测量海区宽度的基线的国家法律的更新和更新频率的实践实例； |
| practice relating to the frequency of updating national maritime zone notifications deposited with the Secretary-General of the United Nations; | 与交存联合国秘书长的国家海区通告的更新频率有关的实践实例； |
| (b) examples of practice relating to the updating, and frequency of updating, charts on which baselines and outer limits of the exclusive economic zone and of the continental shelf are drawn, as well as lists of geographical coordinates prepared in accordance with the relevant provisions of the United Nations Convention on the Law of the Sea and/or national legislation, including those which are deposited with the Secretary-General of the United Nations and given due publicity; | (b) 与以下资料的更新和更新频率有关的实践实例：绘制专属经济区和大陆架基线和外部界限的海图，以及根据《联合国海洋法公约》和/或国家立法的相关规定编制的地理坐标表，包括交存联合国秘书长并妥为公布的地理坐标表； |
| examples of practice relating to updating, and frequency of updating, navigational charts, including for purposes of evidencing changes of the physical contours of the coastal areas; | 与导航图(包括用于显示沿海地区物理轮廓变化的导航图)的更新和更新频率有关的实践实例； |
| (c) any examples of the taking into account or modification of maritime boundary treaties due to sea-level rise; | (c) 因海平面上升而考虑或修改海洋边界条约的任何实例； |
| (d) information on the amount of actual and/or projected coastal regression due to sea-level rise, including possible impact on basepoints and baselines used to measure the territorial sea; and | (d) 关于海平面上升所致实际和/或预测海岸线倒退量的资料，包括关于对用于测量领海的基点和基线可能产生的影响的资料； |
| (e) information on existing or projected activities related to coastal adaptation measures in relation to sea-level rise, including preservation of basepoints and baselines. | (e) 关于与海平面上升有关的沿海适应措施的现有或预计活动的资料，包括关于保护基点和基线活动的资料。 |
| 28. The Commission would welcome receiving such examples of State practice and information, as well as any other examples of State practice and information relevant to the topic, from all regions and subregions of the world, including, in particular, from States within regions and subregions from whom it has received few or no submissions thus far. | 28. 委员会欢迎世界所有区域和次区域，特别是迄今为止很少或没有提交资料的区域和次区域内的国家提供这种国家实践实例和资料，以及与本专题有关的任何其他国家实践实例和资料。 |
| Chapter IV Protection of the atmosphere | 第四章 保护大气层 |
| A. Introduction | A. 导言 |
| 29. At its sixty-fifth session (2013), the Commission decided to include the topic “Protection of the atmosphere” in its programme of work, subject to an understanding, and appointed Mr. Shinya Murase as Special Rapporteur. 30. The Commission considered the first report of the Special Rapporteur at its sixty-sixth session (2014); | 29. 委员会第六十五届会议(2013年)决定在遵守一项谅解的前提下将“保护大气层”专题列入工作方案，并任命村濑信也先生为特别报告员。 |
| the second report at its sixty-seventh session (2015); the third report at its sixty-eighth session (2016); the fourth report at its sixty-ninth session (2017) and the fifth report at its seventieth session (2018). | 30. 委员会第六十六届会议(2014年)审议了特别报告员提交的第一次报告，第六十七届会议(2015年)、第六十八届会议(2016年)、第六十九届会议(2017年)、第七十届会议(2018年)分别审议了第二、第三、第四和第五次报告。 |
| At its seventieth session, on the basis of the draft guidelines proposed by the Special Rapporteur in the second, third, fourth and fifth reports, the Commission provisionally adopted 12 draft guidelines and a preamble, together with commentaries thereto, on first reading. | 委员会第七十届会议在特别报告员第二、第三、第四和第五次报告提出的指南草案基础上，一读暂时通过了十二条指南草案及序言以及评注。 |
| B. Consideration of the topic at the present session | B. 本届会议审议此专题的情况 |
| 31. At the present session, the Commission had before it the sixth report of the Special Rapporteur (A/CN.4/736), as well as comments and observations received from Governments and international organizations (A/CN.4/735). | 31. 委员会本届会议收到了特别报告员的第六次报告(A/CN.4/736)以及各国政府和国际组织提交的评论和意见(A/CN.4/735)。 |
| The Special Rapporteur, in his report, examined the comments and observations received from governments and international organizations on the draft preamble and guidelines, as adopted on first reading. | 特别报告员在其报告中审查了各国政府和国际组织关于一读通过的序言和指南草案的评论和意见。 |
| He considered proposals for consideration on second reading, in the light of the comments and observations, and proposed a recommendation to the General Assembly. | 他参考评论和意见审议了供二读审议的提案，并向联大提出了一项建议。 |
| 32. The Commission considered the sixth report of the Special Rapporteur at its 3508th to 3510th and 3512th to 3515th meetings, from 26 to 28 April, and on 30 April and 3 and 4 May 2021. | 32. 委员会在2021年4月26日至28日、4月30日以及5月3日和4日举行的第3508至3510次和第3512至3515次会议上审议了特别报告员的第六次报告。 |
| 33. Following its debate on the report, the Commission, at its 3515th meeting, held on 4 May 2021, decided to refer draft guidelines 1 to 12, together with the preamble, as contained in the Special Rapporteur’s sixth report, to the Drafting Committee, taking into account the debate in the Commission. | 33. 对该报告进行辩论后，委员会在2021年5月4日举行的第3515次会议上，决定参考委员会的辩论情况，将特别报告员第六次报告所载的指南草案1至12及序言转交起草委员会。 |
| 34. At its 3529th meeting, held on 27 May 2021, the Commission considered the report of the Drafting Committee (A/CN.4/L.951), and adopted the draft guidelines, together with a preamble, on the protection of the atmosphere on second reading (see sect. E.1 below). | 34. 在2021年5月27日举行的第3529次会议上，委员会审议了起草委员会的报告(A/CN.4/L.951)，并二读通过了保护大气层指南草案及序言(见下文E.1节)。 |
| 35. At its 3549th to 3554th meetings, held from 26 to 29 July 2021, the Commission adopted the commentaries to the draft guidelines and the preamble (see sect. E.2 below). | 35. 在2021年7月26日至29日举行的第3549至第3554次会议上，委员会通过了指南草案及序言的评注(见下文E.2节)。 |
| 36. In accordance with its statute, the Commission submits the draft guidelines, together with the preamble, to the General Assembly, with the recommendation set out below (see sect. C below). | 36. 委员会根据其《章程》向联大提交该指南草案及序言以及下述建议(见下文C节)。 |
| C. Recommendation of the Commission | C. 委员会的建议 |
| 37. At its 3554th meeting, held on 29 July 2021, the Commission decided, in accordance with article 23 of its statute, to recommend that the General Assembly: | 37. 在2021年7月29日举行的第3554次会议上，委员会根据其《章程》第23条决定建议联大： |
| (a) take note in a resolution of the draft preamble and guidelines on the protection of the atmosphere, annex the draft guidelines to the resolution, and ensure their widest possible dissemination; | (a) 在一项决议中表示注意到关于保护大气层的序言和指南草案，将指南草案作为该决议的附件，并确保尽可能广泛地予以分发； |
| (b) commend the draft preamble and guidelines, together with the commentaries thereto, to the attention of States, international organizations and all who may be called upon to deal with the subject. | (b) 提请各国、国际组织和所有可能需要处理该专题的人注意序言和指南草案及其评注。 |
| D. Tribute to the Special Rapporteur | D. 向特别报告员表示感谢 |
| 38. At its 3554th meeting, held on 29 July 2021, the Commission, after adopting the draft guidelines on the protection of the atmosphere, adopted the following resolution by acclamation: | 38. 在2021年7月29日举行的第3554次会议上，委员会在通过了保护大气层指南草案之后，以鼓掌方式通过了以下决议： |
| “The International Law Commission, | “国际法委员会， |
| Having adopted the draft guidelines on the protection of the atmosphere, | 通过了保护大气层指南草案， |
| Expresses to the Special Rapporteur, Mr. Shinya Murase, its deep appreciation and warm congratulations for the outstanding contribution he has made to the preparation of the draft guidelines through his tireless efforts and devoted work, and for the results achieved in the elaboration of the draft guidelines on the protection of the atmosphere.” | 向特别报告员村濑信也先生表示深挚感谢和热烈祝贺，感谢并祝贺他以不懈的努力和专注的工作为起草指南草案做出杰出贡献，并使保护大气层指南草案的拟订工作取得成果。” |
| E. Text of the draft guidelines on the protection of the atmosphere | E. 保护大气层指南草案案文 |
| 1. Text of the draft guidelines | 1. 指南草案案文 |
| 39. The text of the draft guidelines, adopted by the Commission on second reading, at the seventy-second session is reproduced below. | 39. 委员会第七十二届会议二读通过的指南草案案文载录如下。 |
| Protection of the atmosphere | 保护大气层 |
| Preamble | 序言 |
| Acknowledging that the atmosphere is a natural resource, with a limited assimilation capacity, essential for sustaining life on Earth, human health and welfare, and aquatic and terrestrial ecosystems, | 承认大气层是一种吸收能力有限的自然资源，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, | 铭记污染物质和引起退化的物质的输送和扩散发生在大气层内， |
| Considering that atmospheric pollution and atmospheric degradation are a common concern of humankind, | 考虑到大气污染和大气层退化是人类共同关心的问题， |
| Aware of the special situation and needs of developing countries, | 认识到发展中国家的特殊情况和需要， |
| Noting the close interaction between the atmosphere and the oceans, | 注意到大气层与海洋的密切相互作用， |
| Noting in particular the special situation of low-lying coastal areas and small island developing States due to sea-level rise, | 尤其注意到低地沿海地区和小岛屿发展中国家因海平面上升而面临的特别处境， |
| Recognizing that the interests of future generations of humankind in the long-term conservation of the quality of the atmosphere should be fully taken into account, | 承认应当充分考虑到人类子孙后代在长期保护大气层质量方面的利益， |
| Recalling that the present draft guidelines were elaborated on the understanding that they were not intended to interfere with relevant political negotiations or to impose on current treaty regimes rules or principles not already contained therein, | 忆及拟订本指南草案时有一项谅解，即指南草案不会影响有关的政治谈判，也不会给现行条约制度强加条约制度尚不具有的规则或原则， |
| Guideline 1 Use of terms | 指南1 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 or energy contributing to significant 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或能量，产生的重大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，产生重大有害影响，危及人类生命和健康以及地球自然环境的现象。 |
| Guideline 2 Scope | 指南2 范围 |
| 1. The present draft guidelines concern the protection of the atmosphere from atmospheric pollution and atmospheric degradation. | 1. 本指南草案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 and are without prejudice to questions concerning the polluter-pays principle, the precautionary principle and the common but differentiated responsibilities principle. | 2. 本指南草案不处理、也不妨碍关于污染者付费原则、谨慎原则和共同但有区别的责任原则的问题。 |
| 3. Nothing in the present draft guidelines affects the status of airspace under international law nor questions related to outer space, including its delimitation. | 3. 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 3 Obligation to protect the atmosphere | 指南3 保护大气层的义务 |
| States have the obligation to protect the atmosphere by exercising due diligence in taking appropriate measures, in accordance with applicable rules of international law, to prevent, reduce or control atmospheric pollution and atmospheric degradation. | 各国有义务保护大气层，履行应尽义务，按照适用的国际法规则采取适当措施，防止、减少或控制大气污染和大气层退化。 |
| Guideline 4 Environmental impact assessment | 指南4 环境影响评估 |
| States have the obligation to ensure that an environmental impact assessment is undertaken of proposed activities under their jurisdiction or control which are likely to cause significant adverse impact on the atmosphere in terms of atmospheric pollution or atmospheric degradation. | 对于在本国管辖或控制下拟开展的活动，凡可能对大气层造成大气污染或大气层退化等重大不利影响的，各国有义务确保环境影响评估得到实施。 |
| Guideline 5 Sustainable utilization of the atmosphere | 指南5 可持续利用大气层 |
| 1. Given that the atmosphere is a natural resource with a limited assimilation capacity, its utilization should be undertaken in a sustainable manner. | 1. 考虑到大气层是一种吸收能力有限的自然资源，应当以可持续的方式利用。 |
| 2. Sustainable utilization of the atmosphere includes the need to reconcile economic development with the protection of the atmosphere. | 2. 可持续利用大气层包括需要兼顾经济发展和大气层保护。 |
| Guideline 6 Equitable and reasonable utilization of the atmosphere | 指南6 公平合理利用大气层 |
| The atmosphere should be utilized in an equitable and reasonable manner, taking fully into account the interests of present and future generations. | 应当充分考虑到今世后代的利益，公平合理地利用大气层。 |
| Guideline 7 Intentional large-scale modification of the atmosphere | 指南7 有意大规模改变大气层 |
| Activities aimed at intentional large-scale modification of the atmosphere should only be conducted with prudence and caution, and subject to any applicable rules of international law, including those relating to environmental impact assessment. | 旨在有意大规模改变大气层的活动仅应当审慎和谨慎地开展，并且须遵守任何适用的国际法规则，包括关于环境影响评估的国际法规则。 |
| Guideline 8 International cooperation | 指南8 国际合作 |
| 1. States have the obligation to cooperate, as appropriate, with each other and with relevant international organizations for the protection of the atmosphere from atmospheric pollution and atmospheric degradation. | 1. 各国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 and technical knowledge relating to the causes and impacts of atmospheric pollution and atmospheric degradation. | 2. 各国应当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技术知识开展合作。 |
| Cooperation could include exchange of information and joint monitoring. | 合作可包括信息交流和联合监测。 |
| Guideline 9 Interrelationship among relevant rules | 指南9 相关规则之间的相互关系 |
| 1. The rules of international law relating to the protection of the atmosphere and other relevant rules of international law, including, inter alia, the rules of international trade and investment law, of the law of the sea and of international human rights law, should, to the extent possible, be identified, interpreted and applied in order to give rise to a single set of compatible obligations, in line with the principles of harmonization and systemic integration, and with a view to avoiding conflicts. | 1. 在确定、解释及适用关于保护大气层的国际法规则和其他相关的国际法规则，尤其是国际贸易和投资法规则、海洋法规则以及国际人权法规则时，应当依照协调原则和体系整合原则及为了避免冲突，尽可能产生单一一套相互兼容的义务。 |
| This should be done in accordance with the relevant rules set forth in the Vienna Convention on the Law of Treaties, including articles 30 and 31, paragraph 3 (c), and the principles and rules of customary international law. | 在这样做时应当遵守载于《维也纳条约法公约》的相关规则，包括其第三十条和第三十一条第三款(丙)项以及习惯国际法的原则和规则。 |
| 2. States should, to the extent possible, when developing new rules of international law relating to the protection of the atmosphere and other relevant rules of international law, endeavour to do so in a harmonious manner. | 2. 各国在制定关于保护大气层的国际法新规则和其他相关的国际法规则时，应当尽可能采用协调的方式。 |
| 3. When applying paragraphs 1 and 2, special consideration should be given to persons and groups particularly vulnerable to atmospheric pollution and atmospheric degradation. | 3. 在适用第1和第2段时，应当特别考虑到特别易受大气污染和大气层退化影响的个人和群体。 |
| Such groups may include, inter alia, indigenous peoples, people of the least developed countries and people of low-lying coastal areas and small island developing States affected by sea-level rise. | 这些群体除其他人外，可能包括土著人民、最不发达国家的人民和受海平面上升影响的低地沿海地区和小岛屿发展中国家的人民。 |
| Guideline 10 Implementation | 指南10 执行 |
| 1. National implementation of obligations under international law relating to the protection of the atmosphere from atmospheric pollution and atmospheric degradation, including those referred to in the present draft guidelines, may take the form of legislative, administrative, judicial and other actions. | 1. 各国在执行与保护大气层免遭大气污染和大气层退化有关的国际法规定的义务、包括本指南草案中所述的义务时，采取的形式可包括立法、行政和司法行动以及其他行动。 |
| 2. States should endeavour to give effect to the recommendations contained in the present draft guidelines. | 2. 各国应当努力落实本指南草案所载的各项建议。 |
| Guideline 11 Compliance | 指南11 遵约 |
| 1. States are required to abide by their obligations under international law relating to the protection of the atmosphere from atmospheric pollution and atmospheric degradation in good faith, including through compliance with the rules and procedures in the relevant agreements to which they are parties. | 1. 各国须善意地遵守与保护大气层免遭大气污染和大气层退化有关的国际法规定的义务，包括为此遵守它们所加入的相关协定中所载的规则和程序。 |
| 2. To achieve compliance, facilitative or enforcement procedures may be used as appropriate, in accordance with the relevant agreements: | 2. 为实现遵约，可根据相关协定酌情采用促进性程序或强制执行程序： |
| (a) facilitative procedures may include providing assistance to States, in cases of non-compliance, in a transparent, non-adversarial and non-punitive manner to ensure that the States concerned comply with their obligations under international law, taking into account their capabilities and special conditions; | (a) 促进性程序可包括在出现不遵约情况时，以透明、非对抗和非惩罚性方式向各国提供援助，确保当事国遵守国际法为其规定的义务，同时考虑到其能力和特殊情况； |
| (b) enforcement procedures may include issuing a caution of non-compliance, termination of rights and privileges under the relevant agreements, and other forms of enforcement measures. | (b) 强制执行程序可包括就不遵约发出警告、终止根据相关协定享有的权利和特权以及采取其他形式的强制执行措施。 |
| Guideline 12 Dispute settlement | 指南12 争端解决 |
| 1. Disputes between States relating to the protection of the atmosphere from atmospheric pollution and atmospheric degradation are to be settled by peaceful means. | 1. 与保护大气层免遭大气污染和大气层退化有关的国家间争端应通过和平手段解决。 |
| 2. Since such disputes may be of a fact-intensive and science-dependent character, due consideration should be given to the use of scientific and technical experts. | 2. 鉴于此类争端可能涉及大量事实并依赖科学，应当适当考虑使用科学技术专家。 |
| 2. Text of the draft guidelines and commentaries thereto | 2. 指南草案案文及其评注 |
| 40. The text of the draft guidelines and commentaries thereto, adopted by the Commission on second reading, is reproduced below. | 40. 委员会二读通过的指南草案案文及其评注载录如下。 |
| Protection of the atmosphere | 保护大气层 |
| General commentary | 总评注 |
| (1) As is always the case with the Commission’s output, the draft guidelines are to be read together with the commentaries. | (1) 与委员会以往工作成果一样，本指南草案应结合评注来解读。 |
| (2) The Commission recognizes the importance of being fully engaged with the international community’s present-day needs. | (2) 委员会认识到，充分考虑到国际社会当前的需要十分重要。 |
| 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 or energy, 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条件的某些改变而受到不利影响，这些改变主要由有害物质或能量的引入所致，有害物质或能量引起了跨界空气污染、臭氧层消耗以及最终导致气候变化的大气条件改变。 |
| 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渐发展和编纂提供一些指南，可能有助于国际社会处理与大气层的跨界和全球保护有关的极为重要的问题。 |
| In doing so, the Commission, based on the 2013 understanding, does not desire to interfere with relevant political negotiations or to impose on current treaty regimes rules or principles not already contained therein. | 在这样做时，委员会依照2013年的谅解， 不希望影响有关的政治谈判，也不希望给现行条约制度强加它们尚不具有的规则或原则。 |
| Preamble | 序言 |
| Acknowledging that the atmosphere is a natural resource, with a limited assimilation capacity, essential for sustaining life on Earth, human health and welfare, and aquatic and terrestrial ecosystems, | 承认大气层是一种吸收能力有限的自然资源，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, | 铭记污染物质和引起退化的物质的输送和扩散发生在大气层内， |
| Considering that atmospheric pollution and atmospheric degradation are a common concern of humankind, | 考虑到大气污染和大气层退化是人类共同关心的问题， |
| Aware of the special situation and needs of developing countries, | 认识到发展中国家的特殊情况和需要， |
| Noting the close interaction between the atmosphere and the oceans, | 注意到大气层与海洋的密切相互作用， |
| Noting in particular the special situation of low-lying coastal areas and small island developing States due to sea-level rise, | 尤其注意到低地沿海地区和小岛屿发展中国家因海平面上升而面临的特别处境， |
| Recognizing that the interests of future generations of humankind in the long-term conservation of the quality of the atmosphere should be fully taken into account, | 承认应当充分考虑到人类子孙后代在长期保护大气层质量方面的利益， |
| Recalling that the present draft guidelines were elaborated on the understanding that they were not intended to interfere with relevant political negotiations or to impose on current treaty regimes rules or principles not already contained therein, | 忆及拟订本指南草案时有一项谅解，即指南草案不会影响有关的政治谈判，也不会给现行条约制度强加条约制度尚不具有的规则或原则， |
| Commentary | 评注 |
| (1) The preamble seeks to provide a contextual framework for the draft guidelines. | (1) 序言的目的是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. | 序言部分第一段是总括性的，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 natural resource and one of its most important. | 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 Committee on Natural Resources of the Economic and Social Council, as well as in the 1972 Declaration of the United Nations Conference on the Human Environment (hereinafter, “Stockholm Declaration”) and in the 1982 World Charter for Nature. | 经济及社会理事会的原自然资源委员会、 1972年《联合国人类环境会议宣言》(下称《斯德哥尔摩宣言》) 及1982年《世界自然宪章》 将大气层与矿物资源、能源和水资源并列，视为自然资源。 |
| The World Charter recognizes that humankind is part of nature and life depends on the uninterrupted functioning of natural systems which ensure the supply of energy and nutrients. | 《世界自然宪章》承认，人类是自然的一部分，生命有赖于自然系统的功能维持不坠，以保证能源和养料的供应。 |
| 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“流动资源”； 它还是运输和传播的媒介。 |
| As a natural resource, the atmosphere was long considered to be non-exhaustible and non-exclusive. | 作为一种自然资源，大气层过去长期被视为用之不竭的非专属的资源。 |
| 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 natural resource with a limited assimilation capacity, also referred to in draft guideline 5. | 必须牢记，也正如指南草案5所提到的，大气层是一种吸收能力有限的自然资源。 |
| (2) The second preambular paragraph addresses the functional aspect of the atmosphere as a medium through which transport and dispersion of polluting and degrading substances occurs, involving the large-scale movement of air. | (2) 序言部分第二段指出大气层作为污染物质和引起退化的物质输送和扩散媒介的功能方面，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。 |
| 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 seriously affected by the worldwide spread of deleterious pollutants. | 污染 物质和引起退化的物质的远距离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严重的地区之一。 |
| (3) The third preambular paragraph states that atmospheric pollution and atmospheric degradation are a “common concern of humankind”. | (3) 序言部分第三段指出，大气污染和大气层退化是“人类共同关心的问题”。 |
| This expression first appeared in General Assembly resolution 43/53 of 6 December 1988 on the protection of global climate for present and future generations of mankind, recognizing that climate change was a “common concern of [human]kind”, since the climate was an essential condition sustaining life on Earth. | 这一表述最早出现在联大1988年12月6日关于为今世后代保护全球气候的第43/53号决议中，该决议承认气候变化是“人类共同关心的问题”，因为气候是维持地球上的生命的一项必要条件。 |
| The first paragraph of the preamble to the 1992 United Nations Framework Convention on Climate Change acknowledges that “change in the Earth’s climate and its adverse effects are a common concern of humankind” (emphasis added), which was reiterated in the preamble of the 2015 Paris Agreement on climate change. | 1992年《联合国气候变化框架公约》 序言部分第一段承认，“地球气候的变化及其不利影响是人类共同关心的问题”(强调是后加的)， 2015年关于气候变化的《巴黎协定》序言重申了这一点。 |
| Likewise, other conventions use this expression or similar language. | 同样，其他公约也使用了这一表述或类似措辞。 |
| The phrase as used in this preambular paragraph reflects a concern of the entire international community that all may be affected by atmospheric pollution and atmospheric degradation, as defined in the draft guidelines. | 该序言段所使用的这一措辞反映了整个国际社会关心的问题，即所有人都可能受到本指南草案所界定的大气污染和大气层退化的影响。 |
| It is recalled that the expression has commonly been used in the field of environmental law, even though doctrine is divided on its scope, content and consequences. | 值得回顾的是，这一表述在环境法领域中经常使用， 尽管对其范围、内容和后果存在理论分歧。 |
| It is understood that the expression identifies a problem that requires cooperation from the entire international community, while at the same time that its inclusion does not create, as such, rights and obligations, and, in particular, that it does not entail erga omnes obligations in the context of the draft guidelines. | 有一项谅解是，这一表述指出了一个需要整个国际社会开展合作的问题，然而，使用这一表述本身并不创设权利和义务，具体而言，它不意味着在指南草案所涉及的问题上产生了任何普遍义务。 |
| (4) The fourth preambular paragraph, having regard to considerations of equity, concerns the special situation and needs of developing countries. | (4) 序言部分第四段考虑到公平问题，涉及发展中国家的特殊情况和需要。 |
| The need for special consideration for developing countries in the context of environmental protection has been endorsed by a number of international instruments, such as the 1972 Stockholm Declaration, the 1992 Rio Declaration on Environment and Development (hereinafter, “Rio Declaration”), and the 2002 Johannesburg Declaration on Sustainable Development. | 在环境保护方面需要给予发展中国家特别考虑，这一点已得到一些国际文书的认可，如1972年《斯德哥尔摩宣言》、 1992年《关于环境与发展的里约宣言》(下称“《里约宣言》”) 和2002年《约翰内斯堡可持续发展宣言》。 |
| Principle 12 of the Stockholm Declaration attaches importance to “taking into account the circumstances and particular requirements of developing countries”. | 《斯德哥尔摩宣言》原则12强调应“顾及发展中国家的情况和特殊需求”。 |
| Principle 6 of the Rio Declaration highlights “the special situation and needs of developing countries, particularly the least developed and those most environmentally vulnerable”. | 《里约宣言》原则6重点指出“发展中国家，尤其是最不发达国家和在环境方面最易受伤害的发展中国家的特殊情况和需要”。 |
| The Johannesburg Declaration expresses resolve to pay attention to “the developmental needs of small island developing States and least developed countries”. | 《约翰内斯堡宣言》表示决心注意“小岛屿发展中国家和最不发达国家的发展需要”。 |
| The principle is similarly reflected in article 3 of the United Nations Framework Convention on Climate Change and article 2 of the Paris Agreement under the United Nations Framework Convention on Climate Change. | 《联合国气候变化框架公约》第三条和《联合国气候变化框架公约》下的《巴黎协定》第二条也反映了这一原则。 |
| The formulation of the preambular paragraph is based on the seventh paragraph of the preamble of the 1997 Convention on the Law of the Non-navigational Uses of International Watercourses. | 本序言段的行文是参照1997年《国际水道非航行使用法公约》序言部分第七段拟订的。 |
| (5) The fifth preambular paragraph acknowledges the “close interaction” that arises, as a factual matter, from the physical relationship between the atmosphere and the oceans. | (5) 序言部分第五段承认大气层与海洋的“密切相互作用”，这一作用事实上产生于二者之间的物理关系。 |
| According to scientists, a significant proportion of the pollution of the marine environment from or through the atmosphere originates from land-based sources, including from anthropogenic activities on land. | 科学家指出，大部分来自或通过大气层的海洋环境污染源于陆地，包括陆上人类活动。 |
| Scientific research shows that human activities are also responsible for global warming, which causes a rise in temperature of the oceans and in turn results in extreme atmospheric conditions that can lead to flood and drought. | 科学研究表明，人类活动还应为全球变暖负责，全球变暖造成海洋水温上升，而海洋水温上升又进而导致可引发洪水和干旱的极端大气状况。 |
| The General Assembly has confirmed the effect of climate change on oceans and stressed the importance of increasing the scientific understanding of the oceans-atmosphere interface. | 联大确认了气候变化对海洋的影响，并强调必须增进对海洋大气界面的科学了解。 |
| Although not mentioned in the preambular paragraph, there are also close interactions between the atmosphere and other biospheres, as well as forests, lakes and rivers. | 虽然该序言段没有提到，但大气层与其他生物圈及森林、湖泊和河流也有密切相互作用。 |
| (6) The First Global Integrated Marine Assessment (first World Ocean Assessment), as a comprehensive, in-depth study on the state of the marine environment, refers to substances polluting the oceans from land-based sources through the atmosphere, which bear on sea-surface temperature, sea-level rise, ocean acidification, salinity, stratification, ocean circulation, storms and other extreme weather events, and ultraviolet radiation and the ozone layer. | (6) 第一次全球海洋综合评估(第一次世界海洋评估)是对海洋环境状况进行的一项全面深入研究，提到了来自陆地的物质经由大气层污染海洋，这些物质与海面温度、海平面上升、海洋酸化、盐度、分层、海洋环流、风暴和其他极端天气事件、紫外线辐射和臭氧层有关。 |
| The General Assembly has continued to emphasize the urgency of addressing the effects of atmospheric degradation, such as increases in global temperatures, sea-level rise, ocean acidification and the impact of other climate changes that are seriously affecting coastal areas and low-lying coastal countries, including many least developed countries and small island developing States, and threatening the survival of many societies. | 联大继续强调亟需应对大气层退化的影响，例如全球温度上升、海平面上升、海洋酸化和其他气候变化产生的影响，它们严重影响到沿海地区和低地沿海国家，包括许多最不发达国家和小岛屿发展中国家，并危及许多社会的生存。 |
| Among other human activities that have an impact on the oceans, are greenhouse gas emissions from ships that contribute to global warming and climate change, including exhaust gases, cargo emissions, emissions of refrigerants and other emissions. | 在对海洋有影响的其他人类活动中，包括废气排放、货物排放、制冷剂排放和其他排放在内的船只产生的温室气体排放加剧了全球变暖和气候变化。 |
| (7) The sixth preambular paragraph addresses one of the most profound impacts of atmospheric degradation for all States, that is the sea-level rise caused by global warming. | (7) 序言部分第六段阐述了大气层退化对所有国家最深刻的影响之一，即全球变暖造成的海平面上升。 |
| It draws particular attention to the special situation of low-lying coastal areas and small island developing States due to sea-level rise. | 这一段特别提请注意低地沿海地区和小岛屿发展中国家因海平面上升而面临的特别处境。 |
| The Fifth Assessment Report of the Intergovernmental Panel on Climate Change (IPCC) estimates that the global mean sea-level rise is likely to be between 26 cm and 98 cm by the year 2100. | 政府间气候变化专门委员会(气专委)第五次评估报告估计，到2100年，全球平均海平面上升可能达到26厘米至98厘米之间。 |
| While exact figures and rates of change still remain uncertain, the report states that it is “virtually certain” that sea levels will continue to rise during the twenty-first century, and for centuries beyond – even if the concentrations of greenhouse gas emissions are stabilized. | 虽然准确的数字和变化速度仍然未确定，但该报告指出，即使温室气体浓度稳定下来，“几乎可以肯定”的是，海平面将在21世纪和今后几个世纪内继续上升。 |
| Moreover, sea-level rise is likely to exhibit “a strong regional pattern, with some places experiencing significant deviations of local and regional sea level change from the global mean change”. | 此外，海平面上升可能展现“一个显著的区域模式，相对于全球平均变化，一些地方将出现差异巨大的局部和区域海平面变化”。 |
| Such degree of change in sea levels may pose a potentially serious, maybe even disastrous, threat to many coastal areas, especially those with large, heavily populated and low-lying coastal areas, as well as to small island developing States. | 这种程度的海平面变化可能会给许多沿海地区(特别是面积大、人口稠密的低地沿海地区)和小岛屿发展中国家带来潜在的严重甚至是灾难性威胁。 |
| (8) The sixth preambular paragraph is linked to the interrelationship between the rules of international law relating to the protection of the atmosphere and the rules of the law of the sea addressed in paragraph 1 of draft guideline 9. | (8) 序言部分第六段与指南草案9第1段所述的关于保护大气层的国际法规则与海洋法规则之间的相互关系有关。 |
| Special consideration to be given to persons and groups in vulnerable situations are referred to in paragraph 3 of draft guideline 9. | 指南草案9第3段提到应当特别考虑到易受影响的个人和群体。 |
| The words “in particular” are intended to acknowledge specific areas without necessarily limiting the list of potentially affected areas. | “尤其”一词旨在确认一些特定地区，同时又不限定潜在受影响地区的清单。 |
| (9) The seventh preambular paragraph emphasizes the interests of future generations, including with a view to human rights protection, as well as intergenerational equity. | (9) 序言部分第七段强调子孙后代的利益，包括着眼于人权保护和代际公平。 |
| The goal is to ensure that the planet remains habitable for future generations. | 其目标是确保我们的星球一直适合子孙后代居住。 |
| In taking measures to protect the atmosphere today, it is important to fully take into account the long-term conservation of the quality of the atmosphere. | 现在采取措施保护大气层时，必须要充分考虑到大气层质量的长期保护。 |
| The Paris Agreement, in its preamble, after acknowledging that climate change is a common concern of humankind, provides that parties should, when taking action to address climate change, respect, promote and consider, among other things, their respective obligations on human rights, as well as intergenerational equity. | 《巴黎协定》在序言中承认气候变化是人类共同关心的问题，之后规定缔约方在采取行动应对气候变化时，应当尊重、促进和考虑它们各自对人权和代际公平等的义务。 |
| The importance of “intergenerational” considerations was already expressed in principle 1 of the 1972 Stockholm Declaration. | “代际”考虑的重要性在1972年《斯德哥尔摩宣言》的原则一中已有表述。 |
| It also underpins the concept of sustainable development, as formulated in the 1987 Brundtland Report, Our Common Future, and informs the 2030 Agenda for Sustainable Development. | 这种考虑还是1987年《布伦特兰报告：我们共同的未来》 所提出的可持续发展概念的基础，并为《2030年可持续发展议程》 提供了参考。 |
| It is also reflected in the preamble of the 1992 Convention on Biological Diversity, and in other treaties. | 它在1992年《生物多样性公约》的序言 和其他条约 中也有所体现。 |
| Article 3, paragraph 1, of the United Nations Framework Convention on Climate Change, for example, provides that: “Parties should protect the climate system for the benefit of present and future generations of humankind”. | 例如，《联合国气候变化框架公约》第三条第1款规定：“各缔约方应当…为人类当代和后代的利益保护气候系统”。 |
| The International Court of Justice has noted, in its 1996 Advisory Opinion in the Nuclear Weapons case with respect to such weapons, the imperative to take into account “in particular their … ability to cause damage to generations to come”. | 国际法院1996年关于核武器问题的咨询意见指出，对于这类武器，必须考虑到“特别是其…对后代造成伤害的能力”。 |
| The term “interests” is employed rather than “benefit” in the paragraph. | 这段中使用“利益”一词，而不是“福利”。 |
| A similar formulation is used in draft guideline 6, which refers to the interests of future generations in the context of “equitable and reasonable utilization of the atmosphere”. | 指南草案6也使用了类似表述，在“公平合理利用大气层”方面提及后代的利益。 |
| (10) The eighth preambular paragraph is based on the 2013 understanding of the Commission according to which the topic was included in the programme of work at its sixty-fifth session. | (10) 序言部分第八段以委员会2013年的一项谅解为基础，根据该谅解，本专题被纳入第六十五届会议工作方案。 |
| This preambular paragraph was considered important to reflect certain elements of the 2013 understanding, as the latter resulted in a significant limitation on both the scope of the topic and the outcome of the work of the Commission. | 这一序言段被认为对于反映2013年谅解的某些内容非常重要，因为该谅解导致了对本专题的范围和委员会的工作成果的重大限制。 |
| This preambular paragraph should be read in conjunction with paragraph 2 of draft guideline 2 on scope. | 这一序言段应当与关于范围的指南草案2第2段一并解读。 |
| Guideline 1 Use of terms | 指南1 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 or energy contributing to significant 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或能量，产生的重大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，产生重大有害影响，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 present draft guideline on the “Use of terms” seeks to provide a common understanding of what is covered by the present draft guidelines. | (1) 关于“用语”的本条指南草案旨在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 of the term “atmosphere” in the relevant international instruments. | (2) 有关国际文书中没有“大气层”一词的定义。 |
| A working definition for the present draft guidelines is provided in subparagraph (a). | 在(a)分段中提供了一个工作定义。 |
| It is inspired by the definition given by IPCC. | 它参考了气专委给出的定义。 |
| (3) The definition provided is consistent with the approach of scientists. | (3) 所提供的定义与科学家们使用的定义一致。 |
| According to scientists, the atmosphere exists in what is called the atmospheric shell. | 科学家认为，大气层存在于所谓的大气壳层当中。 |
| Physically, it extends upwards from the Earth’s surface, which is the bottom boundary of the dry atmosphere. | 从物理角度而言，大气层从地球表面即干大气层底部边界向上延伸。 |
| The average composition of the atmosphere up to an altitude of 25 km 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%)和若干微量气体，诸如氩(0.93%)、氦以及二氧化碳(0.035%)和臭氧等辐射活跃的温室气体，还有数量变化很大的温室气体水蒸气。 |
| 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五层。 |
| From the lower to upper layers, the spheres are: troposphere, stratosphere, mesosphere, thermosphere, and the exosphere. | 从下至上分别为：对流层、平流层、中间层、热层、散逸层。 |
| Approximately 80 per cent of air mass exists in the troposphere and 20 per cent in the stratosphere. | 约有80%的大气层质量在对流层，20%的大气层质量在平流层。 |
| The thin, white, hazy belt (with a thickness of less than 1 per cent 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 km, and can be distinguished from the “upper atmosphere”. | 在科学上，这些气层一起组成“低层大气”，它往上延伸至平均海拔50千米的高度，以此可与“高层大气”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 km), 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)，温度随着高度的上升而下降，因为地球表面吸收和反射太阳能。 |
| In contrast, in the stratosphere (up to the stratopause, at a height of nearly 50 km), temperature gradually increases with height because of the absorption of ultraviolet radiation by ozone. | 与此相反，在平流层(至约50千米的平流层顶)，温度随着高度而逐渐上升， 因为臭氧吸收紫外线辐射。 |
| In the mesosphere (up to the mesopause, at a height of above 80 km), 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) Aside from its physical characteristics, it is 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 (see the second preambular paragraph). | (4) 除了其物理特征外，还必须认识到大气层作为内部不停地在运动的媒介的功能，因为正是在这个背景下发生污染物质和引起退化的物质的输送和扩散(见序言部分第二段)。 |
| Indeed, the long-range transboundary movement of polluting substances is one of the major problems for the atmospheric environment. | 事实上，污染物质的远距离跨界转移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，其他令人关切的问题与臭氧层消耗和气候变化有关。 |
| (5) Subparagraph (b) defines “atmospheric pollution” and addresses transboundary air pollution, whereas subparagraph (c) defines “atmospheric degradation” and refers to global atmospheric problems. | (5) (b)分段界定了“大气污染”，提及跨界空气污染，而(c)分段界定了“大气层退化”，提及全球大气层问题。 |
| By stating “by humans”, both subparagraphs (b) and (c) make it clear that the draft guidelines concern “anthropogenic” atmospheric pollution and atmospheric degradation. | (b)、(c)两个分段都用了“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 focus on human activity, whether direct or indirect, is a deliberate one, as the present draft guidelines seek to provide guidance to States and the international community. | 将重点放在直接和间接的人类活动方面是故意的，因为本指南草案的目的是为各国和国际社会提供指导意见。 |
| (6) 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. | (6) “大气污染”(或“空气污染”)一语有时作广义使用，包括大气层状况的全球性恶化，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作狭义使用，与现有条约实践一致。 |
| It thus excludes the global issues from the definition of atmospheric pollution. | 这样，该词语将全球性问题排除在大气污染定义之外。 |
| (7) In defining “atmospheric pollution”, subparagraph (b) uses the language that is essentially based on article 1 (a) of the 1979 Convention on Long-Range Transboundary Air Pollution, which provides that: | (7) 在界定“大气污染”时，(b)分段所用词语基本依据1979年《远距离越境空气污染公约》 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、破坏生物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”。 |
| (8) However, in departing from the language of the 1979 Convention, the words “contributing to” were used instead of “resulting in” in order to safeguard the overall balance in ensuring international cooperation. | (8) 然而，与1979年《公约》的措辞不同，使用了“产生”一词，而不是“导致”，以便维护总体平衡，确保国际合作。 |
| The change was made for this particular “use of terms” and “for the purpose of the present draft guidelines”, which are not intended to give a “definition” for international law in general, as noted in paragraph (1) of the present commentary. | 改动是专门为“用语”作出的，是“为本指南草案的目的”，如本评注第(1)段所说，本指南草案的目的不是提供一个在整个国际法领域适用的“定义”。 |
| (9) Another departure from the 1979 Convention is the addition the word “significant” before “deleterious”. | (9) 与1979年《公约》的另一个不同之处是在“有害”之前增加了“重大”一词。 |
| This is intended, for the purposes of consistency, to align the wording of subparagraphs (b) and (c). | 这是为了保持一致，以便(b)分段与(c)分段的措辞相统一。 |
| The term “significant deleterious effects” is intended to qualify the range of human activities to be covered by the draft guidelines. | “重大有害影响”一语意在限定指南草案要涵盖的人类活动的种类。 |
| The Commission has further employed the term “significant” in its previous work. | 委员会在以前的工作中也使用过“重大”一词。 |
| In doing so, the Commission has stated that “significant is something more than ‘detectable’ but need not be at the level of ‘serious’ or ‘substantial’. | 在使用时，委员会曾指出，“重大的程度超过‘可察觉’，但不必达到‘严重’或‘显著’的程度。 |
| The harm must lead to a real detrimental effect [and]… such detrimental effects must be susceptible of being measured by factual and objective standards”. | 损害必须有实际破坏作用[而且]…这些破坏作用必须能以实际和客观的标准衡量”。 |
| Moreover, the term “significant”, while determined by factual and objective standards, 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，根据实际和客观标准确定的“重大”一词也涉及价值的确定，这将取决于具体案件情况以及进行确定的时期。 |
| 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，某一具体损失在某一特定时期可能不被认为是“重大”，因为在那一时期，科学知识或人对某一具体资源的认识还没有赋予该资源很大价值。 |
| The question of what constitutes “significant” is more of a factual assessment. | 究竟什么是“重大”，这主要是应根据事实确定的问题。 |
| 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，包括助长这种危害。 |
| (10) Article 1 (a) of the Convention on Long-Range Transboundary Air Pollution and article 1, paragraph 1 (4), of the United Nations Convention on the Law of the Sea provide for “introduction of energy” (as well as substances) as part of the “pollution”. | (10) 《远距离越境空气污染公约》第1条(a)项和《联合国海洋法公约》第一条第1款第(4)项规定，把(物质和)“能量引入”大气层是“污染”的一部分。 |
| The reference to “energy” in the present subparagraph (b) is understood to include heat, light, noise and radioactivity introduced and released into the atmosphere through human activities. | 这里(b)分段提及的“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、噪音和放射能。 |
| The reference to radioactivity as energy is without prejudice to peaceful uses of nuclear energy in relation to climate change in particular. | 提及放射能这种能量不妨碍核能的和平利用，尤其是在涉及气候变化问题时。 |
| (11) The expression “effects extending beyond the State of origin” in subparagraph (b) clarifies that the draft guidelines address the transboundary effects, excluding as a matter of general orientation regarding scope, domestic or local pollution, and the expression is understood in the sense provided in article 1 (b) of the Convention on Long-Range Transboundary Air Pollution that: | (11) (b)分段中“影响超出来源国”一语澄清指南草案不涉及关于范围、一国内部或局部的污染的一般方向问题，要处理的是《远距离越境空气污染公约》第1条(b)项规定意义上的跨界影响，即： |
| “[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.” | “远距离跨界空气污染”指物理来源完全或部分位于属于一国国家管辖范围之内的地区的空气污染，对另一国所管辖范围内的地区产生不利影响，两个地区之间相隔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”。 |
| (12) As is evident from draft guideline 2 below, on scope, the present draft guidelines are concerned with the protection of the atmosphere from both atmospheric pollution and atmospheric degradation. | (12) 下文关于范围的指南草案2表明，本指南草案涉及保护大气层免遭大气污染和大气层退化。 |
| Since subparagraph (b) covers “atmospheric pollution” only, it is necessary, for the purposes of the draft guidelines, to address issues other than atmospheric pollution by means of a different definition. | (b)分段仅涵盖“大气污染”，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大气污染以外的问题。 |
| For this purpose, subparagraph (c) provides a definition of “atmospheric degradation”. | 为此，(c)分段提供了一个“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. | 它涵盖人类直接或间接造成的全球大气状况改变。 |
| 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。 |
| (13) The 1985 Vienna Convention for the Protection of the 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. | (13) 1985年《保护臭氧层维也纳公约》 第1条第2款将“不利影响”定义为“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重大有害影响的变化，包括气候变化”。 |
| ” Article 1, paragraph 2, of the United Nations Framework Convention on Climate Change 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”。 |
| Guideline 2 Scope | 指南2 范围 |
| 1. The present draft guidelines concern the protection of the atmosphere from atmospheric pollution and atmospheric degradation. | 1. 本指南草案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 and are without prejudice to questions concerning the polluter-pays principle, the precautionary principle and the common but differentiated responsibilities principle. | 2. 本指南草案不处理、也不妨碍关于污染者付费原则、谨慎原则和共同但有区别的责任原则的问题。 |
| 3. Nothing in the present draft guidelines affects the status of airspace under international law nor questions related to outer space, including its delimitation. | 3. 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 on the protection of the atmosphere. | (1) 指南草案2规定了保护大气层指南草案的范围。 |
| Under paragraph 1, the draft guidelines deal with the protection of the atmosphere from atmospheric pollution and atmospheric degradation. | 第1段指出，指南草案处理保护大气层免遭大气污染和大气层退化问题。 |
| Paragraphs 2 and 3 contain saving clauses. | 第2段和第3段载有保留条款。 |
| (2) Paragraph 1 deals with the protection of the atmosphere in two areas, atmospheric pollution and atmospheric degradation. | (2) 第1段从两方面处理保护大气层问题，即大气污染和大气层退化。 |
| 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 current realities. | 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。 |
| (3) In Agenda 21, it was recognized that transboundary air pollution has adverse health impacts on humans and other detrimental environmental impacts, such as tree and forest loss and the acidification of water bodies. | (3) 《21世纪议程》承认，越界空气污染对人类健康有不良作用，也有其他不利环境作用，例如树木和森林的损失与水体的酸化。 |
| Moreover, according to IPCC, the science indicates with 95 per cent certainty that human activity is the dominant cause of observed warming since the mid-twentieth century. | 此外，气专委指出，科学显示，能95%地确定，20世纪中叶以来，人类活动是观测到的变暖的主要原因。 |
| The Panel has 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. | 已经在大气层和海洋变暖、全球水循环变化、积雪和冰的减少、全球平均海平面上升以及一些极端气候事件的变化中检测到这种影响。 |
| The Panel has 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年全球平均地表温度升高的一半以上极有可能是由温室气体浓度的人为增加和其他人为“强迫”共同导致的。 |
| (4) The guidelines do not deal with domestic or local pollution as such. | (4) 本指南不处理单纯的国内污染或局部污染。 |
| 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它们之间的相互作用。 |
| (5) 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. | (5) 二氧化硫和氮氧化物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。 |
| (6) Paragraph 2 reflects what is not covered by the present draft guidelines. | (6) 第2段说明本指南草案不涵盖什么。 |
| It is based on the 2013 understanding of the Commission. | 其依据是委员会2013年的谅解。 |
| It should be read in conjunction with the eighth preambular paragraph. | 它应当与序言部分第八段一并解读。 |
| In order to provide greater clarity to the formula of the understanding which stated “do not deal with, but without prejudice to”, the paragraph has been reformulated to combine the two phrases with “and” instead of “but”. | 为了更清楚地说明该谅解阐述的“不处理，但不妨碍”方式，该段已重新措辞，将连接两个短语的“但”改为“也”。 |
| Paragraph 2 further explains that questions concerning the polluter-pays principle, the precautionary principle and the common but differentiated responsibilities principle are excluded from the present draft guidelines. | 第2段还解释说，关于污染者付费原则、谨慎原则和共同但有区别的责任原则的问题不包括在本指南草案之中。 |
| It should be noted that, in not dealing with these three specified principles, this paragraph does not in any way imply the legal irrelevance of those principles. | 应当指出的是，这一段不处理这三项具体原则绝不意味着这些原则在法律上无关紧要。 |
| Also excluded in the 2013 understanding from the scope of this topic were questions concerning liability of States and their nationals, and the transfer of funds and technology to developing countries, including intellectual property rights. | 2013年谅解还从本专题的范围中排除了关于国家及其国民的赔偿责任，以及向发展中国家转让资金和技术(包括知识产权)的问题。 |
| (7) The 2013 understanding also had a clause stating that “[t]he present draft guidelines would not deal with specific substances, such as black carbon, tropospheric ozone and other dual-impact substances, which are the subject of negotiations among States”. | (7) 2013年谅解还有一个规定，指出“本指南草案不会处理具体物质，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”。 |
| This has also not been reflected in the text of the draft guideline. | 这一点也没有反映在本条指南草案的文本中。 |
| (8) Paragraph 3 is a saving clause that the draft guidelines do not affect the status of airspace under international law. | (8) 第3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 different concepts, which should be distinguished. | 大气层和空气空间是两个不同的概念，应予区分。 |
| The regimes covering the atmosphere and outer space are also separate. | 涉及大气层和外层空间的制度也是分开的。 |
| Accordingly, the draft guidelines do not affect the legal status of airspace nor address questions related to outer space. | 因此，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。 |
| (9) The atmosphere, as an envelope of gases surrounding the Earth, is dynamic and fluctuating, with gases that constantly move without regard to territorial boundaries. | (9) 大气层作为环绕地球的气体圈层，是动态的、变化不定的，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。 |
| Airspace, on the other hand, is a static and spatial-based institution over which the State, within its territory, has “complete and exclusive sovereignty”. | 而空气空间是静态的、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》第一条规定：“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，该公约第二条认为一国的领土是在该国主权、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 sea is not under the sovereignty of any State and is open for use by all States, like the high seas. | 领海边界以外的空气空间不处于任何国家的主权之下，像公海一样，开放供所有国家使用。 |
| (10) The atmosphere is spatially divided into spheres on the basis of temperature characteristics. | (10) 大气层按照温度特性在空间上被分为几层。 |
| There is no sharp scientific boundary between the atmosphere and outer space. | 大气层与外层空间之间没有科学上的明确界线。 |
| Beyond 100 km, 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”. | 《关于各国探索和利用包括月球和其他天体在内的外层空间活动的原则条约》没有提出“外层空间”的定义。 |
| The matter has been under discussion within the context of the Legal Sub-Committee of the Committee on the Peaceful Uses of Outer Space since 1959, which has looked at both spatial and functional approaches to the questions of delimitation. | 1959年以来，这个问题一直在和平利用外层空间委员会法律小组委员会讨论范围内，该小组委员会对划界问题从空间和功能两个角度都进行了探讨。 |
| Guideline 3 Obligation to protect the atmosphere | 指南3 保护大气层的义务 |
| States have the obligation to protect the atmosphere by exercising due diligence in taking appropriate measures, in accordance with applicable rules of international law, to prevent, reduce or control atmospheric pollution and atmospheric degradation. | 各国有义务保护大气层，履行应尽义务，按照适用的国际法规则采取适当措施，防止、减少或控制大气污染和大气层退化。 |
| Commentary | 评注 |
| (1) Draft guideline 3 restates the obligation to protect the atmosphere. | (1) 指南草案3重申保护大气层的义务。 |
| It is central to the present draft guidelines. | 它是本指南草案的核心。 |
| In particular, draft guidelines 4, 5 and 6, below, which seek to apply various principles of international environmental law to the specific situation of the protection of the atmosphere, flow from the present guideline. | 具体而言，下文的指南草案4、5和6都是从本条指南中派生出来的，试图将各种国际环境法原则适用于保护大气层的具体情况。 |
| (2) The draft guideline concerns both the transboundary and global contexts. | (2) 本条指南草案涉及跨界和全球两个背景。 |
| It will be recalled that draft guideline 1 contains a “transboundary” element in defining “atmospheric pollution” (as the introduction or release by humans, directly or indirectly, into the atmosphere of substances or energy contributing to significant 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), and a “global” dimension in defining “atmospheric degradation” (as 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). | 可以回顾，指南草案1包含用以界定“大气污染”的“跨界”要素(人类直接或间接向大气层引入或释放某些物质或能量，产生的重大有害影响“超出来源国”，危及人类生命和健康以及地球自然环境)和用以界定大气层退化的“全球”要素(人类直接或间接改变大气状况，产生重大有害影响，危及人类生命和健康以及地球自然环境)。 |
| (3) The present draft guideline delimits the obligation to protect the atmosphere to preventing, reducing or controlling atmospheric pollution and atmospheric degradation. | (3) 本条指南草案将保护大气层的义务界定为防止、减少或控制大气污染和大气层退化。 |
| The formulation of the present draft guideline finds its genesis in principle 21 of the 1972 Stockholm Declaration, which reflected the finding in the Trail Smelter arbitration. | 本条指南草案的行文来自1972年《斯德哥尔摩宣言》原则二十一, 其中反映了特雷尔冶炼厂仲裁案的裁决。 |
| According to principle 21, “States have the sovereign right to exploit their own resources pursuant to their own environmental policies, and the responsibility to ensure that activities within their jurisdiction or control do not cause damage to the environment of other States or of areas beyond the limits of national jurisdiction”. | 原则21指出，“各国具有按照其环境政策开发其资源的主权权利，同时亦负有责任，确保在它管辖或控制范围内的活动，不致对其他国家的环境或其本国管辖范围以外地区的环境引起损害”。 |
| This principle is further reflected in principle 2 of the 1992 Rio Declaration. | 1992年《里约宣言》原则2也反映了这一原则。 |
| (4) The reference to “States” for the purposes of the draft guideline denotes both the possibility of States acting individually and jointly, as appropriate. | (4) 为了本条指南草案的目的，提及“各国”是表明国家可能酌情采取单独行动和联合行动。 |
| (5) As presently formulated, the draft guideline is without prejudice to whether or not the obligation to protect the atmosphere is an erga omnes obligation in the sense of article 48 of the articles on responsibility of States for internationally wrongful acts, a matter on which there are different views. | (5) 按目前行文，本条指南草案不妨碍保护大气层的义务是否属于《国家对国际不法行为的责任条款》第48条 意义上的普遍义务问题，对于这一问题有不同的看法。 |
| (6) Significant adverse effects on the atmosphere are caused, in large part, by the activities of individuals and private industries, which are not normally attributable to a State. | (6) 对大气层造成重大不利影响的主要是个人和私营企业的活动，这些活动通常不可归于一国。 |
| In this respect, due diligence requires States to “ensure” that such activities within their jurisdiction or control do not cause significant adverse effects. | 在这方面，应尽义务要求国家“确保”其管辖或控制范围内的这些活动不造成重大不利影响。 |
| This does not mean, however, that due diligence applies solely to private activities since a State’s own activities are also subject to the due diligence rule. | 然而，这并不意味着应尽义务仅仅适用于私营活动，因为国家自己的活动也应遵守应尽义务规则。 |
| It is an obligation which entails not only the adoption of appropriate rules and measures, but also a certain level of vigilance in their enforcement and the exercise of administrative control applicable to public and private operators, such as the monitoring of activities undertaken by such operators, to safeguard the rights of the other party. | 为履行这项义务，不仅需要采取适当的规则和措施，还需要在执行过程中以及对公共和私营运营商进行行政控制时保持一定程度的警觉，例如监测这些运营商开展的活动，以保障另一方的权利。 |
| It also requires taking into account the context and evolving standards of both regulation and technology. | 还需要考虑到监管和技术的背景及不断发展的标准。 |
| Therefore, even where significant adverse effects materialize, that does not necessarily constitute a failure of due diligence. | 因此，即使造成了重大不利影响，也不一定构成未能履行应尽义务。 |
| Such failure is limited to the State’s negligence to meet its obligation to take all appropriate measures to prevent, reduce or control human activities where these activities have or are likely to have significant adverse effects. | 这种未能履行限于国家在履行义务，采取一切适当措施防止、减少或控制已经或可能造成重大不利影响的人类活动方面的疏忽。 |
| The States’ obligation “to ensure” does not require the achievement of a certain result (obligation of result) but only requires the best available good faith efforts so as not to cause significant adverse effects (obligation of conduct). | 国家的“确保”义务不要求取得某个结果(结果义务)，而是仅仅要求尽最大的善意努力避免造成重大不利影响(行为义务)。 |
| (7) The obligation to “prevent, reduce or control” denotes a variety of measures to be taken by States, whether individually or jointly, in accordance with applicable rules relevant to atmospheric pollution on the one hand and atmospheric degradation on the other. | (7) “防止、减少或控制”的义务表明，国家应按照与大气污染和与大气层退化相关的适用规则，单独或联合采取各种措施。 |
| The phrase “prevent, reduce or control” draws upon formulations contained in article 194, paragraph 1, of the United Nations Convention on the Law of the Sea, which uses “and” and article 3, paragraph 3, of the United Nations Framework Convention on Climate Change, which uses “or”. | “防止、减少或控制”一语借鉴自《联合国海洋法公约》第一九四条第1款(使用了“和”)和《联合国气候变化框架公约》第三条第3款(使用了“或”)。 |
| Important in the consideration of the draft guideline is the obligation to ensure that “appropriate measures” are taken. | 确保“适当措施”被采取的义务是本条指南草案的一个重要考虑因素。 |
| In this context, it should be noted that the Paris Agreement, “acknowledging” in the preamble that “climate change is a common concern of humankind”, states “the importance of ensuring the integrity of all ecosystems, including oceans, and the protection of biodiversity”. | 在这方面，应当指出的是，《巴黎协定》在序言中“承认气候变化是人类共同关心的问题”，指出“必须确保包括海洋在内的所有生态系统的完整性并保护…生物多样性”。 |
| (8) Even though the appropriate measures to “prevent, reduce or control” apply to both atmospheric pollution and atmospheric degradation, the reference to “applicable rules of international law” signals a distinction between measures taken, bearing in mind the transboundary nature of atmospheric pollution and global nature of atmospheric degradation and the different rules that are applicable in relation thereto. | (8) 即使“防止、减少或控制”的适当措施同时适用于大气污染和大气层退化，但提及“适用的国际法规则”旨在表明所采取措施之间的差别，需要铭记大气污染的跨界性质和大气层退化的全球性质以及对二者适用的不同规则。 |
| In the context of transboundary atmospheric pollution, the obligation of States to prevent significant adverse effects is firmly established as customary international law, as confirmed, for example, in the Commission’s articles on prevention of transboundary harm from hazardous activities and by the jurisprudence of international courts and tribunals. | 在跨界大气污染情况下，各国防止重大不利影响的义务已确立为习惯国际法，例如已在委员会《预防危险活动的跨界损害条款》 以及各国际性法院和法庭判例 中得到确认。 |
| However, the existence of this obligation in customary international law is still somewhat unsettled for global atmospheric degradation. | 然而，对于全球大气层退化而言，习惯国际法中是否存在这项义务仍是一个未决问题。 |
| (9) The International Court of Justice has stated that “the existence of the general obligation of States to ensure that activities within their jurisdiction and control respect the environment … of areas beyond national control is now part of the corpus of international law”, and has attached great significance to respect for the environment “not only for States but also for the whole of mankind”. | (9) 国际法院指出，“各国履行一般义务以确保在其管辖和控制范围内的活动尊重…国家控制范围以外地区的环境，目前已成为国际法典的一部分”， 国际法院十分重视对环境的尊重，“不仅是为了国家，也是为了全人类”。 |
| The Tribunal in the Iron Rhine Railway case stated that the “duty to prevent, or at least mitigate [significant harm to the environment] … has now become a principle of general international law”. | 在莱茵铁路案中，法庭指出，“防止或至少减轻[对环境的重大损害]…现已成为一般国际法原则”。 |
| These pronouncements are instructive and relevant to the protection of the atmosphere. | 这些意见对保护大气层具有启发性和相关性。 |
| Guideline 4 Environmental impact assessment | 指南4 环境影响评估 |
| States have the obligation to ensure that an environmental impact assessment is undertaken of proposed activities under their jurisdiction or control which are likely to cause significant adverse impact on the atmosphere in terms of atmospheric pollution or atmospheric degradation. | 对于在本国管辖或控制下拟开展的活动，凡可能对大气层造成大气污染或大气层退化等重大不利影响的，各国有义务确保环境影响评估得到实施。 |
| Commentary | 评注 |
| (1) Draft guideline 4 deals with environmental impact assessment. | (1) 指南草案4涉及环境影响评估。 |
| This is the first of three draft guidelines that flow from the overarching draft guideline 3. | 它是从总括性指南草案3中派生出来的三条指南草案的第一条。 |
| The draft guideline is formulated in the passive in order to signal that this is an obligation of conduct and because, given the variety of economic actors, the obligation does not necessarily require the State itself to perform the assessment. | 本条指南草案使用了被动语态，其目的是表明这是一项行为义务，而且，由于经济行为体的多样性，这项义务不一定要求国家自己进行环境影响评估。 |
| What is required is that the State put in place the necessary legislative, regulatory and other measures for an environmental impact assessment to be conducted with respect to proposed activities. | 所要求的是国家采取必要立法、监管和其他措施，以便确保对拟议活动的环境影响评估得到实施。 |
| Procedural safeguards such as notification and consultations are also key to such an assessment. | 通知和协商等程序性保障对这种评估也非常重要。 |
| It may be noted that the Kiev Protocol on Strategic Environmental Assessment to the Convention on the Environmental Impact in the Transboundary Context encourages “strategic environmental assessment” of the likely environmental, including health, effects, which means any effect on the environment, including human health, flora, fauna, biodiversity, soil, climate, air, water, landscape, natural sites, material assets, cultural heritage and the interaction among other factors. | 可以指出的是，《越境环境影响评估公约关于战略环境评估的基辅议定书》鼓励对可能的环境影响包括健康影响进行“战略环境评估”，这是指对环境，包括对人类健康、动物、植物、生物多样性、土壤、气候、空气、水、景观、自然遗产、物质资产、文化遗产以及这些因素之间相互作用的影响。 |
| (2) The International Court of Justice in the Gabčíkovo-Nagymaros Project case alluded to the importance of environmental impact assessment. | (2) 国际法院在加布奇科沃－大毛罗斯项目案中间接指出了环境影响评估的重要性。 |
| In Certain Activities Carried Out by Nicaragua in the Border area (Costa Rica v. Nicaragua) and Construction of a Road along the San Juan River (Nicaragua v. Costa Rica) in the context of due diligence obligations, the Court affirmed that “a State’s obligation to exercise due diligence in preventing significant transboundary harm requires that State to ascertain whether there is a risk of significant transboundary harm prior to undertaking an activity having the potential adversely to affect the environment of another State. | 在尼加拉瓜在边界地区开展的某些活动(哥斯达黎加诉尼加拉瓜)和圣胡安河沿线修建道路案(尼加拉瓜诉哥斯达黎加)中，法院就应尽义务申明，“一国对防止重大跨界损害履行应尽义务，要求该国在开展可能对另一国环境造成不利影响的活动之前，必须确定是否有造成重大跨界损害的可能。 |
| If that is the case, the State concerned must conduct an environmental impact assessment”. | 如果存在这种可能，有关国家必须开展环境影响评估”。 |
| The Court concluded that the State in question “ha[d] not complied with its obligation under general international law to perform an environmental impact assessment prior to the construction of the road”. | 国际法院判定，有关国家“未履行一般国际法规定的在修建道路之前开展环境影响评估的义务”。 |
| In a separate opinion, Judge Hisashi Owada noted that “an environmental impact assessment plays an important and even crucial role in ensuring that the State in question is acting with due diligence under general international environmental law”. | 小和田恒法官在个人意见中指出，“环境影响评估对确保有关国家根据一般国际环境法规定采取行动，履行应尽职责，具有重要甚至关键性作用”。 |
| In the earlier Pulp Mills case, the Court stated that “the obligation to protect and preserve, under Article 41 (a) of the Statute, has to be interpreted in accordance with a practice which in recent years has gained so much acceptance among States that it may now be considered a requirement under general international law to undertake an environmental impact assessment”. | 在更早的纸浆厂案中，国际法院指出，“《规约》第41条(a)款所指的保护和保全的义务必须按照惯例来解释，这种惯例必须为近年来已被各国广泛接受，以至于实施环境影响评估现在可能被认为是一般国际法下的一项要求”。 |
| Moreover, the Seabed Disputes Chamber of the International Tribunal for the Law of the Sea in its Advisory Opinion on the Responsibilities and obligations of States regarding activities in the Area held that the duty to conduct an environmental impact assessment arises not only under the United Nations Convention on the Law of the Sea, but is also a “general obligation under customary international law”. | 此外，国际海洋法法庭海底争端分庭关于国家对区域内活动的责任和义务的咨询意见认为，进行环境影响评估的义务不仅是《联合国海洋法公约》规定的义务，也是“习惯国际法规定的一般义务”。 |
| (3) The phrase “of proposed activities under their jurisdiction or control” is intended to indicate that the obligation of States to ensure an environment impact assessment is in respect of activities under their jurisdiction or control. | (3) “在本国管辖或控制下拟开展的活动”一语旨在表明，各国确保环境影响评估的义务是针对其管辖或控制下的活动的。 |
| Since environmental threats have no respect for borders, it is not precluded that States, as part of their global environmental responsibility, take decisions jointly regarding environmental impact assessments. | 由于环境威胁不分边界，不排除各国可以作为其全球环境责任的一部分，就环境影响评估做出联合决定。 |
| (4) The phrase “which are likely to cause significant adverse impact” establishes a threshold considered necessary to trigger an environmental impact assessment. | (4) “可能…造成…重大不利影响”一语规定了被认为触发环境影响评估所需的阈值。 |
| It is drawn from the language of principle 17 of the Rio Declaration. | 这一用语借鉴自《里约宣言》原则17。 |
| Moreover, there are other instruments, such as the 1991 Espoo Convention on Environmental Impact Assessment in a Transboundary Context, that use a similar threshold. | 其他一些文书也使用了类似的阈值，如1991年《关于跨界环境影响评估的埃斯波公约》。 |
| In the 2010 Pulp Mills case, the Court indicated that an environmental impact assessment had to be undertaken where there was a risk that the proposed industrial activity may have a “significant adverse impact in a transboundary context, in particular, on a shared resource”. | 国际法院在2010年纸浆厂案中指出，如果拟议工业活动可能具有造成“重大跨界不利影响的风险，特别是对于共有资源而言”，就必须进行环境影响评估。 |
| (5) By having a threshold of “likely to cause significant adverse impact”, the draft guideline excludes an environmental impact assessment for an activity whose impact is likely to be minor. | (5) 使用“可能造成…重大不利影响”的阈值，指南草案排除了对影响可能轻微的活动的环境影响评估。 |
| The impact of the potential harm must be “significant” for both “atmospheric pollution” and “atmospheric degradation”. | 潜在危害的影响在“大气污染”和“大气层退化”方面必须都是“重大”的。 |
| The phrase “significant deleterious effects” has been used both in subparagraphs (b) and (c) of draft guideline 1 and, as mentioned in the commentary thereto, what constitutes “significant” requires a factual rather than a legal, determination. | 指南草案1的(b)和(c)分段中都使用了“重大有害影响”一词，而且正如其评注所述，何为“重大”需要作出事实判定，而不是法律判定。 |
| (6) The phrase “in terms of atmospheric pollution or atmospheric degradation” relates the draft guideline once more to the two main issues of concern to the protection of the atmosphere under the present draft guidelines, namely transboundary atmospheric pollution and atmospheric degradation. | (6) “在大气污染或大气层退化”一语再次将本条指南草案与本套指南草案关注的保护大气层的两个主要问题即跨界大气污染和大气层退化联系起来。 |
| While the relevant precedents for the requirement of an environmental impact assessment primarily address transboundary contexts, it is considered that there is a similar requirement for projects that are likely to have significant adverse effects on the global atmosphere, such as those activities involving intentional large-scale modification of the atmosphere. | 虽然环境影响评估要求的相关先例主要涉及跨界情况，但人们认为可能对全球大气层具有重大不利影响的项目也需遵守类似要求，如有意大规模改变大气层活动。 |
| In the context of atmospheric degradation, such activities may carry a more extensive risk of severe damage than even those causing transboundary harm, and therefore the same considerations should apply a fortiori to those activities potentially causing global atmospheric degradation. | 在大气层退化方面，这些活动可能甚至比跨界损害在更大范围内造成严重损害； 因此，相同考虑因素应当更有理由适用于可能造成全球大气层退化的活动。 |
| (7) Even though procedural aspects are not dealt with in text of the draft guideline, transparency and public participation are important components in ensuring access to information and representation in undertaking an environmental impact assessment. | (7) 尽管指南草案文本中没有涉及程序方面，但在进行环境影响评估时，透明和公众参与是确保获得信息和保障代表性的重要内容。 |
| Principle 10 of the 1992 Rio Declaration provides that environmental issues are best handled with the participation of all concerned citizens, at the relevant level. | 1992年《里约宣言》原则10规定，环境问题最好是在所有关心环境的公民的参与下，在恰当的级别上加以处理。 |
| Participation includes access to information, the opportunity to participate in decision-making processes, and effective access to judicial and administrative proceedings. | 参与包括获得信息； 有机会参与决策； 有效诉诸司法和行政程序。 |
| The Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters also addresses these issues. | 《在环境问题上获得信息、公众参与决策和诉诸法律的公约》 也论述了这些问题。 |
| The above-mentioned Kiev Protocol on Strategic Environmental Assessment encourages the carrying out of public participation and consultations, and the taking into account of the results of the public participation and consultations in a plan or programme. | 上述《关于战略环境评估的基辅议定书》鼓励公众参与和协商，在计划或方案中考虑公众参与和协商的结果。 |
| Guideline 5 Sustainable utilization of the atmosphere | 指南5 可持续利用大气层 |
| 1. Given that the atmosphere is a natural resource with a limited assimilation capacity, its utilization should be undertaken in a sustainable manner. | 1. 考虑到大气层是一种吸收能力有限的自然资源，应当以可持续的方式利用。 |
| 2. Sustainable utilization of the atmosphere includes the need to reconcile economic development with the protection of the atmosphere. | 2. 可持续利用大气层包括需要兼顾经济发展和大气层保护。 |
| Commentary | 评注 |
| (1) The atmosphere is a natural resource with limited assimilation capacity. | (1) 大气层是一种吸收能力有限的自然资源。 |
| It is often not conceived of as exploitable in the same sense as, for example, mineral or oil and gas resources are explored and exploited. | 人们常常认为，无法像勘探和开发利用矿物或油气等资源那样勘探和开发利用大气层。 |
| In truth, however, the atmosphere, in its physical and functional components, is exploitable and exploited. | 但事实是，大气层在物质成份和功能成份上均可以开发利用，并且已被开发利用。 |
| The polluter exploits the atmosphere by reducing its quality and its capacity to assimilate pollutants. | 污染者会降低大气层的质量和吸收污染物的能力，利用大气层牟利。 |
| The draft guideline draws analogies from the concept of “shared resource”, while also recognizing that the unity of the global atmosphere requires recognition of the commonality of interests. | 本条指南草案对“共有资源”的概念做了类推，同时确认，全球大气层的整体性要求承认利益的共同性。 |
| Accordingly, this draft guideline proceeds on the premise that the atmosphere is a natural resource with limited assimilation capacity, the ability of which to sustain life on Earth is impacted by anthropogenic activities. | 因此，指南草案所立足的前提是，大气层是吸收能力有限的自然资源，其维持地球生命的能力会受到人类活动的影响。 |
| In order to secure its protection, it is important to see the atmosphere as a natural resource subject to the principles of conservation and sustainable use. | 为了使大气层得到保护，必须将大气层视为一种自然资源，对它适用养护原则和可持续利用原则。 |
| (2) Paragraph 1 acknowledges that the atmosphere is a “natural resource with a limited assimilation capacity”. | (2) 第1段承认，大气层是“吸收能力有限的自然资源”。 |
| The second part of paragraph 1 seeks to integrate conservation and development so as to ensure that modifications to the planet continue to enable the survival and wellbeing of organisms on Earth. | 第1段第二部分试图将养护与开发结合起来，确保对地球的改造可以继续维持地球上生物的存续和福祉。 |
| It does so by reference to the proposition that the utilization of the atmosphere should be undertaken in a sustainable manner. | 为此，第二部分提到了应当以可持续的方式利用大气层这一主张。 |
| This is inspired by the Commission’s formulations as reflected in the Convention on the Law of the Non-navigational Uses of International Watercourses, and the articles on the law of transboundary aquifers. | 此句受到了《国际水道非航行使用法公约》 和《跨界含水层法条款》 中反映的委员会措词方式的启发。 |
| (3) The term “utilization” is used broadly and in general terms evoking notions beyond actual exploitation. | (3) “利用”一词取广义，包含实际开发利用之外的其他概念。 |
| The atmosphere has been utilized in several ways. | 人们已通过若干方式利用了大气层。 |
| Likely, most of these activities that have been carried out so far are those conducted without a clear or concrete intention to affect atmospheric conditions. | 迄今为止开展的大多数活动可能并无影响大气状况的明确或具体意图。 |
| However, there have been certain activities the very purpose of which is to alter atmospheric conditions, such as weather modification. | 但也有某些活动就是为了改变大气状况，例如人工影响天气。 |
| Some of the proposed technologies for intentional, large-scale modification of the atmosphere are examples of the utilization of the atmosphere. | 拟议的有意大规模改变大气层 的技术中，有些就是利用大气层的实例。 |
| (4) The phrase “its utilization should be undertaken in a sustainable manner” in paragraph 1 is intended to be simple and reflects a paradigmatic shift towards viewing the atmosphere as a natural resource that ought to be utilized in a sustainable manner. | (4) 第1段中“应当以可持续的方式利用”一语有意写得简明，反映了将大气层视为应当得到可持续利用的自然资源这一范式转变。 |
| (5) Paragraph 2 builds upon the language of the International Court of Justice in its judgment in the Gabčíkovo-Nagymaros Project case, in which it referred to the “need to reconcile environmental protection and economic development”. | (5) 第2段立足于国际法院加布奇科沃－大毛罗斯项目案判决中的用语，国际法院在判决中提到，“需要使环境保护与经济发展协调一致”。 |
| There are other relevant cases. | 还有其他相关的案例。 |
| The reference to “protection of the atmosphere” as opposed to “environmental protection” seeks to focus the paragraph on the subject matter of the present topic, which is the protection of the atmosphere. | 提到“大气层保护”而非“环境保护”，是为了使该段侧重于本专题的主旨，即保护大气层。 |
| Guideline 6 Equitable and reasonable utilization of the atmosphere | 指南6 公平合理利用大气层 |
| The atmosphere should be utilized in an equitable and reasonable manner, taking fully into account the interests of present and future generations. | 应当充分考虑到今世后代的利益，公平合理地利用大气层。 |
| Commentary | 评注 |
| (1) Although equitable and reasonable utilization of the atmosphere is an important element of sustainability, as reflected in draft guideline 5, it is considered important to state it as an autonomous principle. | (1) 尽管如指南草案5所反映出的那样，公平合理地利用大气层是可持续性的一项重要要素，但将之单独作为一项原则列出来，被认为很重要。 |
| Like draft guideline 5, the present draft guideline is formulated at a broad level of abstraction and generality. | 同指南草案5一样，本条指南草案措词较为抽象而笼统。 |
| (2) The draft guideline is stated in general terms so as to apply the principle of equity to the protection of the atmosphere as a natural resource that is to be shared by all. | (2) 本条指南草案措词笼统，以便对保护大气层这一世界共有自然资源的工作适用公平原则。 |
| The first part of the sentence deals with “equitable and reasonable” utilization. | 该句下半句论及“公平合理”的利用。 |
| The formulation that the “atmosphere should be utilized in an equitable and reasonable manner” draws, in part, upon article 5 of the Convention on the Law of the Non-navigational Uses of International Watercourses, and article 4 of the articles on the law of transboundary aquifers. | “应当…公平合理地利用大气层”这一表述部分参考了《国际水道非航行使用法公约》第5条和《跨界含水层法条款》第4条。 |
| It indicates a balancing of interests and consideration of all relevant factors that may be unique to either atmospheric pollution or atmospheric degradation. | 这一表述要求平衡各种利益并考虑所有相关因素，这些相关因素可能为大气污染所特有，也可能为大气层退化所特有。 |
| (3) The second part of the draft guideline addresses aspects of intra- and intergenerational equity. | (3) 本条指南草案上半句论及代内和代际公平方面。 |
| In order to draw out the link between these two aspects, the phrase “taking fully into account the interests of” has been preferred to “for the benefit of” present and future generations of humankind. | 为了说明这两方面之间的关系，选用了“充分考虑到今世后代的利益”这一短语，而非“为了今世后代的福利”。 |
| The words “the interests of”, and not “the benefit of”, have been used to signal the integrated nature of the atmosphere, the “exploitation” of which needs to take into account a balancing of interests to ensure sustenance for the Earth’s living organisms. | 使用“利益”一词而非“福利”，以显示大气层的一体性，“开发利用”大气层需要考虑平衡各种利益，以确保地球上生物的存续。 |
| The word “fully” seeks to demonstrate the importance of taking various factors and considerations into account, and it should be read with the seventh preambular paragraph, which recognizes that the interests of future generations of humankind in the long-term conservation of the quality of the atmosphere should be fully taken into account. | “充分”一词旨在表明将各种因素和情况考虑在内的重要性，应当结合序言部分第七段解读，该段承认应当充分考虑到人类子孙后代在长期保护大气层质量方面的利益。 |
| Guideline 7 Intentional large-scale modification of the atmosphere | 指南7 有意大规模改变大气层 |
| Activities aimed at intentional large-scale modification of the atmosphere should only be conducted with prudence and caution, and subject to any applicable rules of international law, including those relating to environmental impact assessment. | 旨在有意大规模改变大气层的活动仅应当审慎和谨慎地开展，并且须遵守任何适用的国际法规则，包括关于环境影响评估的国际法规则。 |
| Commentary | 评注 |
| (1) Draft guideline 7 deals with activities the purpose of which is to alter atmospheric conditions. | (1) 指南草案7论及目的为改变大气状况的活动。 |
| As the title of the draft guideline signals, it addresses only intentional modification on a large scale. | 如指南草案标题所示，它仅涉及有意的大规模改变。 |
| (2) The term “activities aimed at intentional large-scale modification of the atmosphere” is taken in part from the definition of “environmental modification techniques” in the Convention on the Prohibition of Military or Any Other Hostile Use of Environmental Modification Techniques, which refers to techniques for changing – through the deliberate manipulation of natural processes – the dynamics, composition or structure of the Earth, including its biota, lithosphere, hydrosphere and atmosphere, or of outer space. | (2) “旨在有意大规模改变大气层的活动”一语部分源自《禁止为军事或任何其他敌对目的使用改变环境的技术的公约》 中的“改变环境的技术”的定义，“改变环境的技术”指通过蓄意操纵自然过程改变地球(包括其生物区系、岩石圈、水圈和大气层)或外层空间的动态、组成或结构的技术。 |
| (3) These activities include what is commonly understood as “geo-engineering”, the methods and technologies of which encompass carbon dioxide removal and solar radiation management. | (3) 这些活动包括通常被理解为“地球工程”的活动，其方法和技术包括二氧化碳清除和太阳辐射管理。 |
| Activities related to carbon dioxide removal involve the ocean, land and technical systems and seek to remove carbon dioxide from the atmosphere through natural sinks or through chemical engineering. | 与二氧化碳清除有关的活动涉及海洋、陆地和技术系统，试图通过天然碳汇或化学工程从大气层清除二氧化碳。 |
| Proposed techniques for carbon dioxide removal include: soil carbon sequestration; carbon capture and sequestration; ambient air capture; ocean fertilization; ocean alkalinity enhancement; and enhanced weathering. | 提出的二氧化碳清除技术包括：土壤固碳、碳捕获和固存、环境空气捕获、海洋肥化、海洋碱度提升，以及加强风化。 |
| (4) According to scientific experts, solar radiation management is designed to mitigate the negative impacts of climate change by intentionally lowering the surface temperatures of the Earth. | (4) 科学专家指出，太阳辐射管理旨在通过有意降低地球表面温度减缓气候变化的不利影响。 |
| Proposed activities here include: “albedo enhancement”, a method that involves increasing the reflectiveness of clouds or the surface of the Earth, so that more of the heat of the sun is reflected back into space; | 在这方面提出的活动包括：“反照率提升”，该方法涉及提高云层或地球表面的反射性，以便将更多的太阳热量反射回太空； |
| stratospheric aerosols, a technique that involves the introduction of small, reflective particles into the upper atmosphere to reflect sunlight before it reaches the surface of the Earth; | 平流层气溶胶，该技术涉及将微小的反射性颗粒注入高层大气，以便在太阳光到达地球表面之前予以反射； |
| and space reflectors, which entail blocking a small proportion of sunlight before it reaches the Earth. | 太空反射镜，该方法涉及在太阳光到达地球表面之前阻断一部分太阳光。 |
| (5) The term “activities” is broadly understood. | (5) 对“活动”一词，应取广义。 |
| However, there are certain other activities that are prohibited by international law, which are not covered by the present draft guideline, such as those prohibited by the Convention on the Prohibition of Military or Any Other Hostile Use of Environmental Modification Techniques and Protocol I to the Geneva Conventions of 1949. | 然而，某些其他活动被《禁止为军事或任何其他敌对目的使用改变环境的技术的公约》 和《一九四九年日内瓦四公约第一议定书》 等国际法所禁止，不属于本条指南草案的范围。 |
| Accordingly, the present draft guideline applies only to “non-military” activities. | 因此，本条指南草案只适用于“非军事”活动。 |
| Military activities involving deliberate modifications of the atmosphere are outside the scope of the present draft guideline. | 涉及蓄意改变大气层的军事活动不属于本条指南草案的范围。 |
| (6) Likewise, other activities are governed by various regimes. | (6) 同样，其他活动也处于各种制度的规范之下。 |
| For example, afforestation has been incorporated in the Kyoto Protocol to the United Nations Framework Convention on Climate Change regime and in the Paris Agreement (art. 5, para. 2). | 例如，造林已被纳入《〈联合国气候变化框架公约〉京都议定书》 制度和《巴黎协定》(第五条第二款)。 |
| Under some international legal instruments, measures have been adopted for regulating carbon capture and storage. | 在一些国际法律文书下，已经采取了规范碳捕获和封存的措施。 |
| The 1996 Protocol (London Protocol) to the 1972 Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter now includes an amended provision and annex, as well as new guidelines for controlling the dumping of wastes and other matter. | 《1972年〈防止倾倒废物及其他物质污染海洋的公约〉 1996年议定书》(《伦敦议定书》) 现载有一项经过修正的条款和附件，以及关于控制废物和其他物质倾倒的新准则。 |
| To the extent that “ocean iron fertilization” and “ocean alkalinity enhancement” relate to questions of ocean dumping, the 1972 Convention and the London Protocol thereto are relevant. | “海洋铁肥化”和“海洋碱度提升”与海洋倾倒问题有关，因此1972年《公约》及其《伦敦议定书》也是有关文书。 |
| (7) Activities aimed at intentional large-scale modification of the atmosphere have a significant potential for preventing, diverting, moderating or ameliorating the adverse effects of disasters and hazards, including drought, hurricanes, tornadoes, and enhancing crop production and the availability of water. | (7) 旨在有意大规模改变大气层的活动具有极大潜力，可以防止、转移、调节或缓解干旱、飓风、旋风等灾害和危害的不利影响，并提高作物产量和水的供应。 |
| At the same time, it is also recognized that they may have long-range and unexpected effects on existing climatic patterns that are not confined by national boundaries. | 同时，人们也认识到，这些活动可能对当前的气候格局产生长远和意料之外的影响，而且不受国境的局限。 |
| As noted by the World Meteorological Organization with respect to weather modification: “The complexity of the atmospheric processes is such that a change in the weather induced artificially in one part of the world will necessarily have repercussions elsewhere … . Before undertaking an experiment on large-scale weather modification, the possible and desirable consequences must be carefully evaluated, and satisfactory international arrangements must be reached.” | 如世界气象组织就人工影响天气所述：“大气过程是非常复杂的过程，以至于以人工方式导致世界某一处发生的天气变化很有可能对别处产生影响…在开始大规模人工影响天气的实验之前，必须认真评估可能的结果和理想的结果，并且必须达成令人满意的国际安排”。 |
| (8) It is not the intention of the present draft guideline to stifle innovation and scientific advancement. | (8) 本条指南草案无意抑制创新和科学进步。 |
| Principles 7 and 9 of the Rio Declaration acknowledge the importance of new and innovative technologies and cooperation in these areas. | 《里约宣言》原则7和原则9承认了新技术和革新性技术以及在此领域开展合作的重要意义。 |
| At the same time, this does not mean that those activities always have positive effects. | 然而，这并不意味着这些活动的影响总是正面的。 |
| (9) Accordingly, the draft guideline does not seek either to authorize or to prohibit such activities unless there is agreement among States to take such a course of action. | (9) 因此，本条指南草案并不试图授权或禁止这种活动，除非各国达成协议，要采取这样的行动。 |
| It simply sets out the principle that such activities, if undertaken, should only be conducted with prudence and caution. | 本条指南草案仅仅载述了以下原则，即如果要开展这种活动，仅应当审慎和谨慎地开展。 |
| The word “only” is intended to further enhance the prudent and cautious manner in which activities aimed at intentional large-scale modification may be undertaken, while the latter part of the draft guideline makes it clear that such activities are conducted subject to any applicable rules of international law. | “仅”字意在进一步强化在开展旨在有意大规模改变大气层的活动时的审慎和谨慎方式，而本条指南草案的后一部分表明，开展这种活动须遵守任何适用的国际法规则。 |
| (10) The reference to “prudence and caution” is inspired by the language of the International Tribunal for the Law of the Sea in the Southern Blue Fin Tuna Case, the MOX Plant Case, and the Case concerning Land Reclamation by Singapore in and around the Straits of Johor. | (10) “审慎和谨慎”的提法受到国际海洋法法庭在南方蓝鳍金枪鱼案、 混合氧化物核燃料厂案 和新加坡在柔佛海峡及周边填海案 中用语的启发。 |
| The Tribunal stated in the Land Reclamation case: “Considering that, given the possible implications of land reclamation on the marine environment, prudence and caution require that Malaysia and Singapore establish mechanisms for exchanging information and assessing the risks or effects of land reclamation works and devising ways to deal with them in the areas concerned. | 该法庭在填海案中指出：“有鉴于此，考虑到填海造地可能对海洋环境造成的影响，审慎和谨慎原则要求马来西亚和新加坡建立相关机制，交流信息和评估填海造地工程的风险或影响，并制定在相关区域应对这些风险或影响的方式”。 |
| ” The draft guideline is cast in hortatory language, aimed at encouraging the development of rules to govern such activities, within the regimes competent in the various fields relevant to atmospheric pollution and atmospheric degradation. | 本条指南草案使用了劝告性的语言，旨在鼓励在与大气污染和大气层退化有关的各领域的主管制度内，制订规则以规范这些活动。 |
| (11) The phrase “including those relating to environmental impact assessment” at the end of the draft guideline adds emphasis, to acknowledge the importance of an environmental impact assessment, as reflected in draft guideline 4. | (11) 本条指南草案末尾处“包括关于环境影响评估的国际法规则”一语增加了强调，以确认指南草案4所反映的环境影响评估的重要性。 |
| Activities aimed at intentional large-scale modification of the atmosphere should be conducted with full disclosure and in a transparent manner, and an environmental impact assessment provided for in draft guideline 4 may be required for that purpose. | 旨在有意大规模改变大气层的活动应当以充分公开和透明的方式进行，为了这一目的，可能需要进行指南草案4所规定的环境影响评估。 |
| It is considered that a project involving intentional large-scale modification of the atmosphere may cause significant adverse impact, in which case an assessment is necessary for such an activity. | 有人认为，涉及有意大规模改变大气层的项目可能会造成重大不利影响，在这种情况下，有必要对这种活动进行评估。 |
| Guideline 8 International cooperation | 指南8 国际合作 |
| 1. States have the obligation to cooperate, as appropriate, with each other and with relevant international organizations for the protection of the atmosphere from atmospheric pollution and atmospheric degradation. | 1. 各国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 and technical knowledge relating to the causes and impacts of atmospheric pollution and atmospheric degradation. | 2. 各国应当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技术知识开展合作。 |
| Cooperation could include exchange of information and joint monitoring. | 合作可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 the present draft guidelines. | (1) 国际合作位于这一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， 如今在很大程度上依托整个国际社会的共同利益概念。 |
| In this connection, it is recalled that the third preambular paragraph of the present draft guidelines considers that atmospheric pollution and atmospheric degradation are a common concern of humankind. | 值得回顾的是，本指南草案序言部分第三段认为，大气污染和大气层退化是人类共同关心的问题。 |
| (2) Paragraph 1 of the present draft guideline provides the obligation of States to cooperate, as appropriate. | (2) 本条指南草案第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 organizations. | 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 a certain flexibility for States in carrying out the obligation to cooperate depending on the nature and subject matter required for cooperation, and on the applicable rules of international law. | “酌情”一词为国家视所要求的合作性质和主题事项以及适用的国际法规则履行合作义务留出一定的灵活性。 |
| The forms in which such cooperation may occur may also vary depending on the situation and allow for the exercise of a certain margin of appreciation of States in accordance with the applicable rules of international law. | 这种合作的形式也可根据情况而有所不同，并给各国留出了一定的根据适用的国际法规则进行斟酌的空间。 |
| It may be at the bilateral, regional or multilateral levels. | 合作可以是双边的、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) In the Pulp Mills case, the International Court of Justice emphasized linkages attendant to the obligation to cooperate between the parties and the obligation of prevention. | (3) 在纸浆厂案中，国际法院强调了缔约国间合作的义务与防止义务的联系。 |
| 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…以便防止有关损害”。 |
| (4) International cooperation is found in several multilateral instruments relevant to the protection of the environment. | (4) 在与环境保护有关的若干多边文书中已提到了国际合作。 |
| Both the Stockholm Declaration and the Rio Declaration, in principle 24 and principle 27, respectively, stress the importance of cooperation, entailing good faith and a spirit of partnership. | 《斯德哥尔摩宣言》和《里约宣言》分别在原则二十四和原则27内强调了合作的重要性，要求 |
| In addition, among some of the existing treaties, the Vienna Convention for the Protection of the Ozone Layer 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”. | 善意和伙伴精神。 此外，在一些现有条约中，《保护臭氧层维也纳公约》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 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》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”。 |
| Under article 7 of the Paris Agreement, parties “recognize the importance and support and international cooperation on adaptation efforts and the importance of taking into account the needs of developing country Parties, especially those that are particularly vulnerable to the adverse effects of climate change”. | 在《巴黎协定》第七条下，缔约方“认识到支持适应努力并开展适应努力方面的国际合作的重要性，以及考虑发展中国家缔约方的需要，尤其是特别易受气候变化不利影响的发展中国家的需要的重要性”。 |
| The preamble of the Paris Agreement in turn affirms the importance of education, training, public awareness, public participation, public access to information and cooperation at all levels on the matters addressed in the Agreement. | 《巴黎协定》序言申明就《协定》处理的事项在各级开展教育、培训、公众意识，公众参与和公众获得信息和合作的重要性。 |
| (5) In its work, the Commission has also recognized the importance of cooperation. | (5) 委员会在工作中也认识到合作的重要性。 |
| Cooperation could take a variety of forms. | 合作可采取多种形式。 |
| Paragraph 2 of the draft guideline stresses, in particular, the importance of cooperation in enhancing scientific and technical knowledge relating to the causes and impacts of atmospheric pollution and atmospheric degradation. | 本条指南草案第2段尤其强调就增进关于大气污染和大气层退化的原因与影响的科学技术知识开展合作的重要性。 |
| Paragraph 2 also highlights the exchange of information and joint monitoring. | 第2段还着重指出了信息交流和联合监测。 |
| (6) The Vienna Convention for the Protection of the Ozone Layer provides, in its preamble, that international cooperation and action should be “based on relevant scientific and technical considerations”, and in article 4, paragraph 1, on cooperation in the legal, scientific and technical fields, there is provision that: | (6) 《保护臭氧层维也纳公约》序言部分写明，国际合作和行动应当“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. Such information shall be supplied to bodies agreed upon by the Parties. | 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。 这种资料应提供给各缔约方同意的各组织。 |
| Annex II to the Convention gives a detailed set of items for information exchange. | 该公约附件二详细列出了信息交流的全套事项。 |
| Article 4, paragraph 2, provides for cooperation in the technical fields, taking into account the needs of developing countries. | 第4条第2款规定在照顾到发展中国家的需要的情形下进行技术领域的合作。 |
| (7) Article 4, paragraph 1, of the United Nations Framework Convention on Climate Change, regarding commitments, provides that: | (7) 《联合国气候变化框架公约》关于承诺的第四条第1款规定： |
| All Parties … shall (e) cooperate in preparing for adaptation to the impacts of climate change; | 所有缔约方，…应(e) 合作为适应气候变化的影响做好准备； |
| … (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; | …(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) 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; | (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) 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. | (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。 |
| (8) In this context, the obligation to cooperate includes, inter alia and as appropriate, exchange of information. | (8) 在此背景下，合作义务除其他以外，酌情包括信息交流。 |
| 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 Convention on Long-Range Transboundary Air Pollution 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，《远距离越境空气污染公约》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，包括远距离越境空气污染”。 |
| The Convention also has detailed provisions on cooperation in the fields of research and development (art. 7); | 该公约还载有关于以下事项的详细规定：研究与发展领域合作(第7条)； |
| exchange of information (art. 8); | 交换信息(第8条)； |
| and implementation and further development of the cooperative programme for the monitoring and evaluation of the long-range transmission of air pollutants in Europe (art. 9). | 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(第9条)。 |
| Similarly, at the regional level, 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，在区域一级，《东非空气污染区域框架协定》(《内罗毕协定》，2008年) 和《西部和中部非洲空气污染区域框架协定》(《阿比让协定》，2009年) 也载有类似关于国际合作的规定。 |
| The parties agree to: | 缔约方商定： |
| 1.2 Consider the synergies and co-benefits of taking joint measures against the emission of air pollutants and greenhouse gases; | 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 Promote the exchange of educational and research information on air quality management; | 1.4 促进交换关于空气质量管理的教育和研究信息； |
| 1.5 Promote regional cooperation to strengthen the regulatory institutions. | 1.5 促进区域合作，以加强管制机构。 |
| (9) In its work, the Commission has also recognized the importance of scientific and technical knowledge. | (9) 委员会在工作中也认识到科学技术知识的重要性。 |
| In the context of protecting the atmosphere, enhancing scientific and technical knowledge relating to the causes and impacts of atmospheric pollution and atmospheric degradation is key. | 就保护大气层而言，重点是增进有关大气污染和大气层退化的原因和影响的科学技术知识。 |
| For addressing the adverse effects of climate change, the Paris Agreement recognizes the importance of averting, minimizing and addressing loss and damage associated with the adverse effects of climate change and envisages cooperation in such areas as (a) early warning systems; | 为了应对气候变化的不利影响，《巴黎协定》认识到避免、尽量减轻和处理与气候变化不利影响相关的损失和损害的重要性，并设想在以下领域开展合作：(a) 早期预警系统； |
| (b) emergency preparedness; | (b) 应急准备； |
| (c) slow onset events; | (c) 缓发事件； |
| (d) events that may involve irreversible and permanent loss and damage; | (d) 可能涉及不可逆转和永久性损失和损害的事件； |
| (e) comprehensive risk assessment and management; | (e) 综合性风险评估和管理； |
| (f) risk insurance facilities, climate risk pooling and other insurance solutions; | (f) 风险保险机制，气候风险分担安排和其他保险方案； |
| (g) non-economic losses; | (g) 非经济损失； |
| and (h) resilience of communities, livelihoods and ecosystems. | 和(h) 社区、生计和生态系统的复原力。 |
| Guideline 9 Interrelationship among relevant rules | 指南9 相关规则之间的相互关系 |
| 1. The rules of international law relating to the protection of the atmosphere and other relevant rules of international law, including, inter alia, the rules of international trade and investment law, of the law of the sea and of international human rights law, should, to the extent possible, be identified, interpreted and applied in order to give rise to a single set of compatible obligations, in line with the principles of harmonization and systemic integration, and with a view to avoiding conflicts. | 1. 在确定、解释及适用关于保护大气层的国际法规则和其他相关的国际法规则，尤其是国际贸易和投资法规则、海洋法规则以及国际人权法规则时，应当依照协调原则和体系整合原则及为了避免冲突，尽可能产生单一一套相互兼容的义务。 |
| This should be done in accordance with the relevant rules set forth in the Vienna Convention on the Law of Treaties, including articles 30 and 31, paragraph 3 (c), and the principles and rules of customary international law. | 在这样做时应当遵守载于《维也纳条约法公约》的相关规则，包括其第三十条和第三十一条第三款(丙)项以及习惯国际法的原则和规则。 |
| 2. States should, to the extent possible, when developing new rules of international law relating to the protection of the atmosphere and other relevant rules of international law, endeavour to do so in a harmonious manner. | 2. 各国在制定关于保护大气层的国际法新规则和其他相关的国际法规则时，应当尽可能采用协调的方式。 |
| 3. When applying paragraphs 1 and 2, special consideration should be given to persons and groups particularly vulnerable to atmospheric pollution and atmospheric degradation. | 3. 在适用第1和第2段时，应当特别考虑到特别易受大气污染和大气层退化影响的个人和群体。 |
| Such groups may include, inter alia, indigenous peoples, people of the least developed countries and people of low-lying coastal areas and small island developing States affected by sea-level rise. | 这些群体除其他人外，可能包括土著人民、最不发达国家的人民和受海平面上升影响的低地沿海地区和小岛屿发展中国家的人民。 |
| Commentary | 评注 |
| (1) Draft guideline 9 addresses “interrelationship among relevant rules” and seeks to reflect the relationship between rules of international law relating to the protection of the atmosphere and other relevant rules of international law. | (1) 指南草案9涉及“相关规则之间的相互关系”， 试图反映关于保护大气层的国际法规则与其他相关的国际法规则之间的相互关系。 |
| Paragraphs 1 and 2 are general in nature, while paragraph 3 places emphasis on the protection of groups that are particularly vulnerable to atmospheric pollution and atmospheric degradation. | 第1和第2段具有一般性，而第3段强调保护特别易受大气污染和大气层退化影响的群体。 |
| Atmospheric pollution and atmospheric degradation are defined in draft guideline 1 on the use of terms. | 关于用语的指南草案1对大气污染和大气层退化作了界定。 |
| Those terms focus on pollution and degradation caused “by humans”. | 这两个术语侧重“人类”造成的污染和退化。 |
| That necessarily means that human activities governed by other fields of law have a bearing on the atmosphere and its protection. | 这必然意味着其他法律领域管辖的人类活动与大气层及其保护有关。 |
| It is therefore important that conflicts and tensions between rules relating to the protection of the atmosphere and rules relating to other fields of international law are to the extent possible avoided. | 因此，必须尽可能避免关于保护大气层的规则与关于其他领域的国际法规则之间的冲突和紧张关系。 |
| Accordingly, draft guideline 9 highlights the various techniques in international law for addressing tensions between legal rules and principles, whether they relate to a matter of interpretation or a matter of conflict. | 因此，指南草案9着重指出了国际法中处理法律规则和原则间的紧张关系，包括与解释问题和冲突问题相关的紧张关系的各种技巧。 |
| The formulation of draft guideline 9 draws upon the conclusions reached by the Commission’s Study Group on fragmentation of international law: difficulties arising from the diversification and expansion of international law. | 指南草案9的表述参考了委员会研究组关于“国际法不成体系问题：国际法多样化和扩展引起的困难”的结论。 |
| (2) Paragraph 1 addresses three kinds of legal processes, namely the identification of the relevant rules, their interpretation and their application. | (2) 第1段涉及三种法律进程，即相关规则的确定、解释及适用。 |
| The phrase “and with a view to avoiding conflicts” at the end of the first sentence of the paragraph signals that “avoiding conflicts” is one of the principal purposes of the paragraph. | 本段第一句中的“及为了避免冲突”短语表示，“避免冲突”是本段的主要目的之一。 |
| It is, however, not the exclusive purpose of the draft guideline. | 然而，这并不是本条指南草案的唯一目的。 |
| The paragraph is formulated in the passive form, in recognition of the fact that the process of identification, interpretation and application involves not only States but also others including international organizations, as appropriate. | 本段(英文本)以被动式表述，并承认了一个事实，即确定、解释及适用进程不仅涉及各国，还酌情涉及其他各方，包括国际组织。 |
| (3) The phrase “should, to the extent possible, be identified, interpreted and applied in order to give rise to a single set of compatible obligations” draws upon the Commission’s Study Group conclusions on fragmentation. | (3) “在确定、解释及适用…时，应当…尽可能产生唯一一套相互兼容的义务”这一表述参考了委员会研究组关于不成体系问题的结论。 |
| The term “identified” is particularly relevant in relation to rules arising from treaty obligations and other sources of international law. | “确定”一词对条约义务和国际法其他渊源所产生的规则而言特别相关。 |
| In coordinating rules, certain preliminary steps need to be taken that pertain to identification, for example, a determination of whether two rules address “the same subject matter”, and which rule should be considered lex generalis or lex specialis and lex anterior or lex posterior, and whether the pacta tertiis rule applies. | 在协调各种规则时，需要采取与确定有关的某些初步步骤，例如，确定两项规则是否涉及“同一事项”，确定哪一规则应当被视为一般法或特别法、前法或后法，以及对第三者的约定规则是否适用。 |
| (4) The first sentence makes specific reference to the principles of “harmonization and systemic integration”, which were accorded particular attention in the conclusions of the work of the Study Group on fragmentation. | (4) 第一句具体提及“协调”原则和“体系整合”原则，不成体系问题研究组工作的结论中对这些原则给予了特别关注。 |
| As noted in conclusion (4) on harmonization, when several norms bear on a single issue they should, to the extent possible, be interpreted so as to give rise to “a single set of compatible obligations”. | 正如关于协调的结论(4)指出的那样，当若干规范同时涉及一项问题时，应当尽可能作出能够产生“单一一套相互兼容的义务”的解释。 |
| Moreover, under conclusion (17), systemic integration denotes that “whatever their subject matter, treaties are a creation of the international legal system”. | 此外，根据结论(17)，体系整合意味着“无论事项为何，条约是国际法律制度的产物”。 |
| They should thus be interpreted taking into account other international rules and principles. | 因此，对条约的解释应当考虑到其他国际规则和原则。 |
| (5) The second sentence of paragraph 1 seeks to locate the paragraph within the relevant rules set forth in the 1969 Vienna Convention on the Law of Treaties, including articles 30 and 31, paragraph 3 (c), and the principles and rules of customary international law. | (5) 第1段第二句试图将该款置于1969年《维也纳条约法公约》 所载的相关规则范围内，包括第三十条和第三十一条第三款(丙)项以及习惯国际法的原则和规则范围内。 |
| Article 31, paragraph 3 (c), of the 1969 Convention, is intended to guarantee a “systemic interpretation”, requiring “any relevant rules of international law applicable in the relations between the parties” to be taken into account. | 1969年《公约》第三十一条第三款(丙)项意在保证“系统解释”，要求将“适用于当事国间关系之任何有关国际法规则”纳入考虑。 |
| In other words, article 31, paragraph 3 (c), emphasizes both the “unity of international law” and “the sense in which rules should not be considered in isolation of general international law”. | 换言之，第三十一条第三款(丙)项既强调了“国际法的统一”，又强调了“不应抛开一般国际法来考虑规则”。 |
| Article 30 of the 1969 Convention provides rules to resolve a conflict, if the above principle of systemic integration does not work effectively in a given circumstance. | 1969年《公约》第三十条规定了上述体系整合原则在特定情况下无法有效发挥作用时的冲突解决规则。 |
| Article 30 provides for conflict rules of lex specialis (para. 2), of lex posterior (para. 3) and of pacta tertiis (para. 4). | 第三十条规定了关于特别法(第二款)、后法(第三款)和对第三者的约定(第四款)的冲突规则。 |
| The phrase “principles and rules of customary international law” in the second sentence of paragraph 1 covers such principles and rules of customary international law as are relevant to the identification, interpretation and application of relevant rules. | 第1段第二句中的“习惯国际法原则和规则”一语涵盖与确定、解释及适用相关规则有关的习惯国际法原则和规则。 |
| While the last sentence of paragraph 1 refers to “principles” as well as “rules” of customary international law, it is without prejudice to the relevance that “general principles of law” might have in relation to the draft guidelines. | 虽然第1段最后一句提到习惯国际法的“原则”和“规则”，但这并不妨碍“一般法律原则”可能与指南草案的相关性。 |
| (6) The reference to “including, inter alia, the rules of international trade and investment law, of the law of the sea and of international human rights law” highlights the practical importance of these three areas in their relation to the protection of the atmosphere. | (6) 提及“尤其是国际贸易和投资法规则、海洋法规则以及国际人权法规则”着重指出了与保护大气层有关的这三个领域的重要性。 |
| The specified areas have close connection with the rules of international law relating to the protection of the atmosphere in terms of treaty practice, jurisprudence and doctrine. | 具体指出的这些领域在条约实践、判例和理论方面与关于保护大气层的国际法规则有着密切联系。 |
| Other fields of law, which might be equally relevant, have not been overlooked and the list of relevant fields of law is not intended to be exhaustive. | 其他可能同样相关的法律领域并没有被忽视，相关法律领域的清单并不是要做到详尽无遗。 |
| Furthermore, nothing in draft guideline 9 should be interpreted as subordinating rules of international law in the listed fields to rules relating to the protection of the atmosphere or vice versa. | 此外，指南草案9的任何内容都不应被解释为将所列领域国际法规则的地位排在与保护大气层有关的规则之后，或者相反。 |
| (7) With respect to international trade law, the concept of mutual supportiveness has emerged to help reconcile that law and international environmental law, which relates in part to the protection of the atmosphere. | (7) 关于国际贸易法，相辅相成概念的出现是为了帮助协调该法与国际环境法，而国际环境法在一定程度上与保护大气层有关。 |
| The 1994 Marrakesh Agreement establishing the World Trade Organization provides, in its preamble, that its aim is to reconcile trade and development goals with environmental needs “in accordance with the objective of sustainable development”. | 1994年《马拉喀什建立世界贸易组织(世贸组织)协定》 序言规定，其目的是“依照可持续发展的目标”，使贸易和发展目标与环境需求相调和。 |
| The WTO Committee on Trade and Environment began pursuing its activities “with the aim of making international trade and environmental policies mutually supportive”, and in its 1996 report to the Singapore Ministerial Conference, the Committee reiterated its position that the WTO system and environmental protection are “two areas of policy-making [that] are both important and … should be mutually supportive in order to promote sustainable development”. | 世贸组织贸易和环境委员会开始开展各项活动，“旨在使国际贸易和环境政策相辅相成”， 该委员会在1996年提交新加坡部长级会议的报告中重申了自己的立场，即世贸组织系统和环境保护是“都重要的两个决策领域…应相互支持，以促进可持续发展”。 |
| As the concept of “mutual supportiveness” has become gradually regarded as “a legal standard internal to the WTO”, the 2001 Doha Ministerial Declaration expresses the conviction of States that “acting for the protection of the environment and the promotion of sustainable development can and must be mutually supportive”. | 随着“相辅相成”概念逐渐被视为“世贸组织内部的法律标准”， 2001年《多哈部长宣言》表示，各国相信，“为保护环境和促进可持续发展而采取的行动是能够而且必须是相互支持的”。 |
| Mutual supportiveness is considered in international trade law as part of the principle of harmonization in interpreting conflicting rules of different treaties. | 在国际贸易法中，相辅相成被视为用于解释不同条约相互冲突的规则的协调原则的一部分。 |
| Among a number of relevant WTO dispute settlement cases, the United States – Standards for Reformulated and Conventional Gasoline case in 1996 is most notable in that the Appellate Body refused to separate the rules of the General Agreement on Tariffs and Trade from other rules of interpretation in public international law, by stating that “the General Agreement is not to be read in clinical isolation from public international law” (emphasis added). | 在一系列相关的世贸组织争端解决案件中，1996年美国―新配方汽油和常规汽油标准案最引人注意，因为上诉机构拒绝将《关税及贸易总协定》规则与国际公法的其他解释规则区分开，指出“不能机械地抛开国际公法来解读《总协定》”(强调是后加的)。 |
| (8) Similar trends and approaches appear in international investment law. | (8) 国际投资法中也存在类似趋势和方法。 |
| Free trade agreements, which contain a number of investment clauses, and numerous bilateral investment treaties also contain standards relating to the environment, which have been confirmed by the jurisprudence of the relevant dispute settlement bodies. | 自由贸易协定(载有一些投资条款) 和许多双边投资条约 也包含与环境有关的标准，这些标准得到了相关争端解决机构判例的确认。 |
| Some investment tribunals have emphasized that investment treaties “cannot be read and interpreted in isolation from public international law”. | 一些投资问题法庭强调，投资条约“不能脱离国际公法解读和解释”。 |
| (9) The same is the case with the law of the sea. | (9) 海洋法也是同样的情况。 |
| The protection of the atmosphere is intrinsically linked to the oceans and the law of the sea owing to the close physical interaction between the atmosphere and the oceans. | 由于大气层与海洋间存在密切的物理相互作用，保护大气层与海洋和海洋法有着内在的联系。 |
| The Paris Agreement notes in its preamble “the importance of ensuring the integrity of all ecosystems, including oceans”. | 《巴黎协定》的序言部分指出，“必须确保包括海洋在内的所有生态系统的完整性”。 |
| This link is also borne out by the United Nations Convention on the Law of the Sea, which defines the “pollution of the marine environment”, in article 1, paragraph 1 (4), in such a way as to include all sources of marine pollution, including atmospheric pollution from land-based sources and vessels. | 这种联系也得到了《联合国海洋法公约》的支持， 该公约第一条第1款第(4)项对“海洋环境污染”的界定包括所有的海洋污染来源，包括来自陆地来源和船只的大气污染。 |
| It offers detailed provisions on the protection and preservation of the marine environment through Part XII, in particular articles 192, 194, 207, 211 and 212. | 该公约在第十二部分特别是第一九二、第一九四、第二○七、第二一一和第二一二条中作出了关于海洋环境的保护和保全的详细规定。 |
| There are a number of regional conventions regulating marine pollution from land-based sources. | 存在一些管理陆源海洋污染的区域公约。 |
| IMO has sought to regulate vessel-source pollution in its efforts to supplement the provisions of the Convention and to combat climate change. | 海事组织一直致力于管理来自船只的污染，以努力补充《公约》规定 并应对气候变化。 |
| The effective implementation of the applicable rules of the law of the sea could help to protect the atmosphere. | 有效执行适用的海洋法规则可帮助保护大气层。 |
| Similarly, the effective implementation of the rules on the protection of the environment could protect the oceans. | 同样，有效执行关于保护大气层的规则也可保护海洋。 |
| (10) As for international human rights law, environmental degradation, including air pollution, climate change and ozone layer depletion, “has the potential to affect the realization of human rights”. | (10) 对于国际人权法而言，环境退化，包括空气污染、气候变化和臭氧层消耗，“有可能影响实现人权”。 |
| The link between human rights and the environment, including the atmosphere, is acknowledged in practice. | 人权与包括大气层在内的环境间的联系在实践中得到承认。 |
| The Stockholm Declaration recognizes, in its principle 1, that everyone “has the fundamental right to freedom, equality and adequate conditions of life in an environment of a quality that permits a life of dignity and well-being”. | 《斯德哥尔摩宣言》原则一承认人人“都有在过着尊严和幸福生活的优良环境里享受自由、平等和适当生活条件的基本权利”。 |
| The Rio Declaration of 1992 outlines, in its principle 1, that “[h]uman beings are at the centre of concerns for sustainable development”, and that “[t]hey are entitled to a healthy and productive life in harmony with nature”. | 1992年《里约宣言》原则1指出，“可持续发展问题的中心是人”，“有权顺应自然，过健康而有生产能力的生活”。 |
| In the context of atmospheric pollution, the Convention on Long-Range Transboundary Air Pollution recognizes that air pollution has “deleterious effects of such a nature as to endanger human health” and provides that the parties are determined “to protect man and his environment against air pollution” of a certain magnitude. | 关于大气污染，《远距离越境空气污染公约》承认空气污染产生“有害影响，足以危害人类健康”，并规定，各方决心“保护人类与人类环境不受”一定规模的“空气污染”。 |
| Likewise, for atmospheric degradation, the Vienna Convention for the Protection of the Ozone Layer contains a provision whereby the parties are required to take appropriate measures “to protect human health” in accordance with the Convention and Protocols to which they are a party. | 同样对于大气层退化问题，《保护臭氧层维也纳公约》载有一项条款，其中规定缔约国必须根据该公约和加入的议定书采取适当措施，“保护人类健康”。 |
| Similarly, the United Nations Framework Convention on Climate Change deals with the adverse effects of climate change, including significant deleterious effects “on human health and welfare”. | 同样，《联合国气候变化框架公约》述及气候变化的不利影响，包括“对人类的健康和福利”的重大有害影响。 |
| (11) In this regard, relevant human rights include “the right to life”, “the right to private and family life” and “the right to property”, as well as the other rights listed in the eleventh preambular paragraph of the Paris Agreement: | (11) 这方面的有关人权包括“生命权”、“私人生活和家庭生活权” 和“财产权”， 以及《巴黎协定》序言部分第十一段所列的其他权利： |
| [C]limate change is a common concern of humankind, Parties should, when taking action to address climate change, respect, promote and consider their respective obligations on human rights, the right to health, the rights of indigenous peoples, local communities, migrants, children, persons with disabilities and people in vulnerable situations and the right to development, as well as gender equality, empowerment of women and intergenerational equity. | 气候变化是人类共同关心的问题。 缔约方在采取行动应对气候变化时，应当尊重、促进和考虑它们各自对人权、健康权、土著人民权利、当地社区权利、移徙者权利、儿童权利、残疾人权利、弱势人权利、发展权，以及性别平等、妇女赋权和代际公平等的义务。 |
| (12) Where a specific right to environment exists in human rights conventions, the relevant courts and treaty bodies apply them, including the right to health. | (12) 如果人权公约中存在某项具体的环境权，包括健康权，有关法院和条约机构即适用这些权利。 |
| In order for international human rights law to contribute to the protection of the atmosphere, however, certain core requirements must be fulfilled. | 然而，若要使国际人权法促进保护大气层，还必须满足某些核心要求。 |
| First, as international human rights law remains “a personal-injury-based legal system”, a direct link between atmospheric pollution or degradation that impairs the protected right and an impairment of a protected right must be established. | 首先，因为国际人权法仍然是“一个基于个人伤害的法律制度”， 所以必须证明减损受保护权利的大气污染或大气层退化与一项受保护权利的被减损之间存在直接联系。 |
| Second, the adverse effects of atmospheric pollution or degradation must attain a certain threshold if they are to fall within the scope of international human rights law. | 其次，大气污染或大气层退化的不利影响必须达到某个阈值，才能纳入国际人权法的范畴。 |
| The assessment of such minimum standards is relative and depends on the content of the right to be invoked and all the relevant circumstances of the case, such as the intensity and duration of the nuisance and its physical or mental effects. | 对这种最低标准的评估是相对的，取决于所援引权利的内容和案件的所有相关情况，例如损害的强度和持续时间及其对身体或精神的影响。 |
| Third, and most importantly, it is necessary to establish the causal link between an action or omission of a State, on the one hand, and atmospheric pollution or degradation, on the other hand. | 第三，也是最重要的一点，必须证明一国的作为或不作为与大气污染或大气层退化之间存在因果联系。 |
| (13) One of the difficulties in the relationship between the rules of international law relating to the atmosphere and human rights law is the “disconnect” in their application ratione personae. | (13) 关于大气层的国际法规则与人权法的关系中的一个难点在于两者在属人适用上的“脱节”。 |
| While the rules of international law relating to the atmosphere apply not only to the States of victims but also to the States of origin of the harm, the scope of application of human rights treaties is limited to the persons subject to a State’s jurisdiction. | 尽管关于大气层的国际法规则不仅适用于受害者所属国，也适用于伤害的源头国，但人权条约的适用范围仅限于受一国管辖的个人。 |
| Thus, where an environmentally harmful activity in one State affects persons in another State, the question of the interpretation of “jurisdiction” in the context of human rights obligations arises. In interpreting and applying the notion, regard may be had to the object and purpose of human rights treaties. | 因此，当一国境内的对环境有害的活动影响到另一国的个人时，就产生了结合人权义务解释“管辖权”的问题，在解释和适用这一概念时，可能需要考虑人权条约的目标和宗旨。 |
| In its Advisory Opinion on the Legal Consequences of the Construction of a Wall in the Occupied Palestinian Territory, the International Court of Justice said, when addressing the issue of extraterritorial jurisdiction, “while the jurisdiction of States is primarily territorial, it may sometimes be exercised outside the national territory. | 国际法院关于在巴勒斯坦被占领土修建隔离墙的法律后果的咨询意见在处理域外管辖权问题时称：“尽管各国管辖权主要是在境内，但有时也可在国家领土之外行使。 |
| Considering the object and purpose of the International Covenant on Civil and Political Rights, it would seem natural that, even when such is the case, State parties to the Covenant should be bound to comply with its provisions”. | 考虑到《公民及政治权利国际公约》的目的和宗旨，即使是在这种情况下，《公约》缔约国也应当有义务遵守其规定，这似乎是顺理成章的”。 |
| (14) One possible consideration is the relevance of the principle of non-discrimination. | (14) 一个可能的考虑因素是不歧视原则的相关性。 |
| Some authors maintain that it may be considered unreasonable that international human rights law would have no application to atmospheric pollution or global degradation and that the law can extend protection only to the victims of intra-boundary pollution. | 一些作者认为以下观点是不合理的，即国际人权法不适用于大气污染和全球大气层退化，并且法律只能向边界内污染的受害者提供保护。 |
| They maintain that the non-discrimination principle requires the responsible State to treat transboundary atmospheric pollution or global atmospheric degradation no differently from domestic pollution. | 他们认为，不歧视原则要求责任国如同处理国内污染一样处理跨界大气污染或全球大气层退化。 |
| Furthermore, if and insofar as the relevant human rights norms have extraterritorial effect, they may be considered as overlapping with environmental norms for the protection of the atmosphere, such as due diligence (draft guideline 3), environmental impact assessment (draft guideline 4), sustainable utilization (draft guideline 5), equitable and reasonable utilization (draft guideline 6) and international cooperation (draft guideline 8), among others, which would enable interpretation and application of both norms in a harmonious manner. | 此外，如果并且只要有关人权准则具有域外效力， 它们即可被视为与保护大气层的环境准则相互重叠，例如应尽义务(指南草案3)、环境影响评估(指南草案4)、可持续利用(指南草案5)、公平合理利用(指南草案6)和国际合作(指南草案8)等，因此将能够以协调一致的方式予以解释和适用。 |
| (15) In contrast to paragraph 1, which addresses identification, interpretation and application, paragraph 2 deals with the situation in which States wish to develop new rules. | (15) 第1段涉及的是确定、解释和适用，相比之下，第2段涉及各国制定新规则的情况。 |
| The paragraph signals a general desire to encourage States, when engaged in negotiations involving the creation of new rules, to take into account the systemic relationships that exist between rules of international law relating to the atmosphere and rules in other legal fields. | 该段表示了一种一般性意愿，鼓励各国在进行涉及建立新规则的谈判时，考虑到关于大气层的国际法规则与其他法律领域的规则之间的体系关系。 |
| (16) Paragraph 3 highlights the plight of those in vulnerable situations because of atmospheric pollution and atmospheric degradation. | (16) 第3段着重说明易受影响群体因大气污染和大气层退化而面临的困境。 |
| It has been formulated to make a direct reference to atmospheric pollution and atmospheric degradation. | 其表述直接提及大气污染和大气层退化。 |
| The reference to paragraphs 1 and 2 captures both the aspects of “identification, interpretation and application”, on the one hand, and “development”, on the other hand. | 其中提到第1段和第2段，一方面体现了“确定、解释及适用”，另一方面体现了“制定”。 |
| The phrase “special consideration should be given to persons and groups particularly vulnerable to atmospheric pollution and atmospheric degradation” underlines the broad scope of the consideration to be given to the situation of vulnerable persons and groups, covering both aspects of the present topic, namely “atmospheric pollution” and “atmospheric degradation”. | “应当特别考虑到特别易受大气污染和大气层退化影响的个人和群体”一语强调了对易受影响的个人和群体给予考虑的广泛范围，涵盖本专题的两个方面，即“大气污染”和“大气层退化”。 |
| It was not considered useful to refer in the text to “human rights”, or even to “rights” or “legally protected interests”. | 在案文中提及“人权”，甚至“权利”或“受法律保护的利益”被认为没有帮助。 |
| (17) The second sentence of paragraph 3 gives examples of groups that may be found in vulnerable situations in the context of atmospheric pollution and atmospheric degradation. | (17) 第3段第二句列举了在大气污染和大气层退化背景下可能易受影响的群体。 |
| The World Health Organization has noted that: “[a]ll populations will be affected by a changing climate, but the initial health risks vary greatly, depending on where and how people live. | 世界卫生组织指出：“所有人口将受到气候变化的影响，但初步的健康风险大不相同，取决于人口居住的地点和生活方式。 |
| People living in small island developing States and other coastal regions, megacities, and mountainous and polar regions are all particularly vulnerable in different ways. | 生活在小岛屿发展中国家和其他沿海地区、特大城市、山区和极地地区的人们，都以不同的方式变得尤其脆弱”。 |
| ” In the Sustainable Development Goals adopted by the General Assembly in its 2030 Agenda for Sustainable Development, atmospheric pollution is addressed in Goals 3.9 and 11.6, which call, in particular, for a substantial reduction in the number of deaths and illnesses from air pollution, and for special attention to ambient air quality in cities. | 在联大通过的《2030年可持续发展议程》的可持续发展目标中，目标3.9和目标11.6涉及大气污染问题，尤其呼吁大幅度减少空气污染导致的死亡和患病人数，并呼吁特别关注城市的环境空气质量。 |
| (18) The phrase in the second sentence of paragraph 3 “may include, inter alia” denotes that the examples given are not necessarily exhaustive. | (18) 第3段第二句的“除其他人外，可能包括”一语表示列举并非详尽无遗。 |
| Indigenous peoples are, as was declared in the Report of the Indigenous Peoples’ Global Summit on Climate Change, “the most vulnerable to the impacts of climate change because they live in the areas most affected by climate change and are usually the most socio-economically disadvantaged”. | 正如《土著人民气候变化全球峰会报告》中宣布的那样，“由于土著人民生活在受气候变化影响最严重的地区，在社会经济意义上通常处于最弱势地位，他们最容易受到气候变化的影响”。 |
| People of the least developed countries are also placed in a particularly vulnerable situation as they often live in extreme poverty, without access to basic infrastructure services and to adequate medical and social protection. | 最不发达国家人民也被认为特别易受影响，因为他们常常生活在极端贫困中，得不到基本的基础设施服务以及适当的医疗和社会保护。 |
| People of low-lying areas and small-island developing States affected by sea-level rise are subject to the potential loss of land, leading to displacement and, in some cases, forced migration. | 受海平面上升影响的低地地区和小岛屿发展中国家的人民有可能会丧失土地，这会导致流离失所，在某些情况下会导致强迫移民。 |
| Inspired by the preamble of the Paris Agreement, in addition to the groups specifically indicated in paragraph 3 of draft guideline 9, other groups of potentially particularly vulnerable people include local communities, migrants, women, children, persons with disabilities and also the elderly, who are often seriously affected by atmospheric pollution and atmospheric degradation. | 受《巴黎协定》序言的启发，除了指南草案9第3段具体列出的群体，其他可能特别弱势的群体包括当地社区、移民、妇女、儿童、残疾人和老年人，他们往往受到大气污染和大气层退化的严重影响。 |
| Guideline 10 Implementation | 指南10 执行 |
| 1. National implementation of obligations under international law relating to the protection of the atmosphere from atmospheric pollution and atmospheric degradation, including those referred to in the present draft guidelines, may take the form of legislative, administrative, judicial and other actions. | 1. 各国在执行与保护大气层免遭大气污染和大气层退化有关的国际法规定的义务、包括本指南草案中所述的义务时，采取的形式可包括立法、行政和司法行动以及其他行动。 |
| 2. States should endeavour to give effect to the recommendations contained in the present draft guidelines. | 2. 各国应当努力落实本指南草案所载的各项建议。 |
| Commentary | 评注 |
| (1) Draft guideline 10 deals with national implementation of obligations under international law relating to the protection of the atmosphere from atmospheric pollution and atmospheric degradation. | (1) 指南草案10涉及各国执行与保护大气层免遭大气污染和大气层退化有关的国际法规定的义务。 |
| Compliance at the international level is the subject of draft guideline 11. | 国际层面的遵约是指南草案11的主题。 |
| These two draft guidelines are interrelated. | 这两条指南草案是相互关联的。 |
| The term “implementation” is used in the present draft guideline to refer to measures that States may take to make treaty provisions effective at the national level, including implementation in their national laws. | 本条指南草案使用“执行”一词，指各国为使条约规定在国家层面生效而可能采取的措施，包括国家法律中的执行措施。 |
| (2) The two paragraphs of the draft guideline address, on one hand, existing obligations under international law and, on the other hand, recommendations contained in the draft guidelines. | (2) 本条指南草案由两段组成，一段论及国际法规定的现有义务，另一段论及指南草案所载建议。 |
| (3) The term “[n]ational implementation” denotes the measures that parties may take to make international obligations operative at the national level, pursuant to the national constitution and legal system of each State. | (3) “各国在执行”一语指缔约方为使国际义务在国家层面生效而根据各国的国家宪法和法律制度可能采取的措施。 |
| National implementation may take many forms, including “legislative, administrative, judicial and other actions”. | 国家执行可采取许多形式，包括“立法、行政和司法行动一级其他行动”。 |
| The word “may” reflects the discretionary nature of the provision. | “可”一词，反映这一规定的自由裁量性质。 |
| The reference to “administrative” actions is used, rather than “executive” actions, as it is more encompassing. It covers possible implementation at lower levels of governmental administration. | 使用“行政”行动而不是“行政部门”行动，这是由于“行政”被认为范围更广，因为它也涵盖了下级政府行政部门可能执行的行动。 |
| The term “other actions” is a residual category covering all other forms of national implementation. | “其他行动”一词是涵盖国家执行的所有其他形式的剩余类别。 |
| The term “national implementation” also applies to obligations of regional organizations such as the European Union. | “国家执行”一词也适用于欧洲联盟等区域组织的义务。 |
| (4) The use of the term “obligations” in paragraph 1 does not refer to new obligations for States, but rather refers to existing obligations that States already have under international law. | (4) 在第1段中使用“义务”一词，指的不是各国应承担的新的义务，而是指各国根据国际法已承担的现有义务。 |
| Thus, the phrase “including those [obligations] referred to in the present draft guidelines” was chosen, and the expression “referred to” highlights the fact that the draft guidelines do not as such create new obligations and are not dealing comprehensively with the various issues related to the topic. | 因此，选择了“包括本指南草案中所述的[义务]”一语，而“所述”一词着重指出，指南草案本身并不创造新的义务，也没有详尽无遗地阐述与本专题有关的各种问题。 |
| (5) The draft guidelines refer to obligations of States under international law relating to the protection of the atmosphere from atmospheric pollution and atmospheric degradation, namely, the obligation to protect the atmosphere (draft guideline 3), the obligation to ensure that an environmental impact assessment is carried out (draft guideline 4) and the obligation to cooperate (draft guideline 8). | (5) 指南草案提到国际法规定的与执行与保护大气层免遭大气污染和大气层退化有关的国家义务，即保护大气层的义务(指南草案3)、确保进行环境影响评估的义务(指南草案4)和合作的义务(指南草案8)。 |
| Given that States have these obligations, it is clear that they need to be faithfully implemented. | 鉴于各国负有这些义务，它们显然有必要忠实履行这些义务。 |
| (6) The reference to “the recommendations contained in the present draft guidelines” in paragraph 2 is intended to distinguish such recommendations from “obligations” as referred to in paragraph 1. | (6) 第2段中提到“本指南草案所载的各项建议”是为了将这些建议与第1段中提到的“义务”区分开来。 |
| The expression “recommendations” was considered appropriate as it would be consistent with the draft guidelines, which use the term “should”. | “建议”一词被认为是适当的，因为它与使用“应当”一词 的整个指南草案相一致。 |
| This is without prejudice to any normative content that the draft guidelines have under international law. | 这并不妨碍指南草案在国际法上的任何规范性内容。 |
| Paragraph 2 provides that States should endeavour to give effect to the recommended practices contained in the draft guidelines. | 第2段规定，各国应当努力落实本指南草案建议的做法。 |
| (7) Moreover, even though States sometimes resort to extraterritorial application of national law to the extent permissible under international law, it was not considered necessary to address the matter for the purposes of the present draft guidelines. | (7) 此外，尽管各国有时会在国际法允许的范围内诉诸域外适用国内法， 但为了本指南草案的目的阐述这个问题被认为是没有必要的。 |
| It was considered that the matter of extraterritorial application of national law by a State raised a host of complex questions with far-reaching implications for other States and for their relations with each other. | 一国在域外适用国内法的问题被认为会引发对其他国家及其这些国家的相互关系具有深远影响的一系列复杂问题。 |
| Guideline 11 Compliance | 指南11 遵约 |
| 1. States are required to abide by their obligations under international law relating to the protection of the atmosphere from atmospheric pollution and atmospheric degradation in good faith, including through compliance with the rules and procedures in the relevant agreements to which they are parties. | 1. 各国须善意地遵守与保护大气层免遭大气污染和大气层退化有关的国际法规定的义务，包括为此遵守它们所加入的相关协定中所载的规则和程序。 |
| 2. To achieve compliance, facilitative or enforcement procedures may be used as appropriate, in accordance with the relevant agreements: | 2. 为实现遵约，可根据相关协定酌情采用促进性程序或强制执行程序： |
| (a) facilitative procedures may include providing assistance to States, in cases of non-compliance, in a transparent, non-adversarial and non-punitive manner to ensure that the States concerned comply with their obligations under international law, taking into account their capabilities and special conditions; | (a) 促进性程序可包括在出现不遵约情况时，以透明、非对抗和非惩罚性方式向各国提供援助，确保当事国遵守国际法为其规定的义务，同时考虑到其能力和特殊情况； |
| (b) enforcement procedures may include issuing a caution of non-compliance, termination of rights and privileges under the relevant agreements, and other forms of enforcement measures. | (b) 强制执行程序可包括就不遵约发出警告、终止根据相关协定享有的权利和特权以及采取其他形式的强制执行措施。 |
| Commentary | 评注 |
| (1) Draft guideline 11, which complements draft guideline 10 on national implementation, refers to compliance at the international level. | (1) 指南草案11是对关于国家执行的指南草案10的补充，提到国际层面的遵约。 |
| The use of the term “compliance” is not necessarily uniform in agreements, or in the literature. | “遵约”一词在各种协定或文献中的用法未必统一。 |
| The term “compliance” is used in the present draft guideline to refer to mechanisms or procedures at the international level that verify whether States in fact adhere to the obligations of an agreement or other rules of international law. | 本指南草案中使用的“遵约”一词是指核查各国是否实际遵守一项协定或其他国际法规则规定的义务的国际层面的机制或程序。 |
| (2) Paragraph 1 reflects, in particular, the principle pacta sunt servanda. | (2) 第1段特别反映了“条约必须遵守”原则。 |
| The purpose of the formulation “obligations under international law” relating to the protection of the atmosphere is to harmonize the language used, in paragraph 1, with the language used throughout the draft guidelines. | 与保护大气层有关的“国际法规定的义务”这一措辞的目的是使第1段使用的措辞形式与指南草案全文所使用的语言相一致。 |
| The broad nature of the formulation “obligations under international law” was considered to also better account for the fact that treaty rules constituting obligations may, in some cases, be binding only on the parties to the relevant agreements, while others may codify or lead to the crystallization of rules of international law, or give rise to a general practice that is accepted as law, thus generating a new rule of customary international law, with consequent legal effects for non-parties. | “国际法规定的义务”这一措辞的广泛性也被认为可以更好地反映了这样一个事实，即构成义务的条约规则在某些情况下可能仅对有关协定的缔约方具有约束力，而在另一些情况下，可能会将国际法规则编纂成法或具体化，或形成一项被接受为法律的一般惯例， 从而产生一项新的习惯国际法规则，对非缔约方产生法律效力。 |
| The phrase “relevant agreements” to which the States are parties has been used to avoid narrowing the scope of the provision only to multilateral environmental agreements, when such obligations can exist in other agreements. | 缔约国加入的“相关协定”一词被用来避免将规定的范围缩小到仅包括多边环境协定，这种义务也可能存在于其他协定中。 |
| The general character of paragraph 1 also appropriately serves as an introduction to paragraph 2. | 第1段的一般性质也适当地引出了第2段。 |
| (3) Paragraph 2 deals with the facilitative or enforcement procedures that may be used by compliance mechanisms. | (3) 第2段论及遵约机制可采用的促进性程序或强制执行程序。 |
| The wording of the opening phrase of the chapeau “[t]o achieve compliance” is aligned with formulations in existing agreements addressing compliance mechanisms. | 起首部分的开头语“为实现遵约”的措辞与阐述遵约机制的现有协定的表述相一致。 |
| The phrase “may be used as appropriate” emphasizes the differing circumstances and contexts in which facilitative or enforcement procedures could be deployed to help foster compliance. | “可…酌情使用”这一短语强调了可以采用促进性程序或强制执行程序帮助促进遵约的不同情况和背景。 |
| The disjunctive word “or” indicates that facilitative or enforcement procedures may be considered as alternatives by the competent organ established under the agreement concerned. | 区别连词“或”表示，促进性程序或强制执行程序可被根据有关协定设立的主管机关视为二择其一的办法。 |
| The phrase “in accordance with the relevant agreements” is used at the end of the chapeau, so as to emphasize that facilitative or enforcement procedures are those provided for under agreements to which States are parties, and that these procedures will operate in accordance with such agreements. | 起首部分使用了“根据相关协定”一语，以强调促进性程序或强制执行程序是国家加入的协定规定的程序，并且这些程序将根据这些协定发挥作用。 |
| (4) Besides the chapeau, paragraph 2 comprises two subparagraphs, (a) and (b). | (4) 除起首部分外，第2段还包括(a)和(b)两个分段。 |
| In both subparagraphs, the word “may” has been used before “include” to provide States and the competent organ established under the agreement concerned with flexibility to use existing facilitative or enforcement procedures. | 在这两个分段中，在“包括”之前都使用了“可”一词，以便使各国和根据有关协定设立的主管机关能够灵活地使用现有的促进性程序或强制执行程序。 |
| (5) Subparagraph (a) employs the phrase “in cases of non-compliance” and refers to “the States concerned”, avoiding the expression “non-complying States”. | (5) (a)分段使用了“在出现不遵约情况时” 这一短语，并提及“当事国”，而避免使用“不遵约国家”的说法。 |
| Facilitative procedures may include providing “assistance” to States, since some States may be willing to comply but unable to do so for lack of capacity. | 促进性程序可包括向各国提供“援助”，因为一些国家可能愿意遵约，但由于能力不足而无法这样做。 |
| Thus, facilitative measures are provided in a transparent, non-adversarial and non-punitive manner to ensure that the States concerned are assisted to comply with their obligations under international law. | 在这种情况下，以透明、非对抗和非惩罚性方式提供促进性措施，以确保协助当事国遵守其国际法义务。 |
| The last part of that sentence, which references “taking into account their capabilities and special conditions”, was considered necessary, in recognition of the specific challenges that developing and least developed countries often face in the discharge of obligations relating to environmental protection. | 该句末尾提到“同时考虑到其能力和特殊情况”，这被认为是必要的，它承认发展中国家和最不发达国家在履行与环境保护有关的义务时经常面临的具体挑战。 |
| This is due to, most notably, a general lack of capacity, which can sometimes be mitigated through the receipt of external support enabling capacity-building to facilitate compliance with their obligations under international law. | 这种情况主要是由于普遍缺乏能力所致，有时可以通过获得外部支助得到缓解，这些外部支助利用能力建设促进这些国家遵守其国际法义务。 |
| (6) Subparagraph (b) speaks of enforcement procedures, which may include issuing a caution of non-compliance, termination of rights and privileges under the relevant agreements, and other forms of enforcement measures. | (6) (b)分段述及强制执行程序，强制执行程序可包括就不遵约发出警告、终止根据相关协定享有的权利和特权以及采取其他形式的强制执行措施。 |
| Enforcement procedures, in contrast to facilitative procedures, aim to achieve compliance by imposing a penalty on the State concerned in case of non-compliance. | 与促进性程序不同，强制执行程序的目的是在出现不遵约情况时通过对当事国实施处罚实现遵约。 |
| At the end of the sentence, the term “enforcement measures” was employed rather than the term “sanctions” in order to avoid any confusion with the possible negative connotation associated with the term “sanctions”. | 该句末尾使用了“强制执行措施”，而不是“制裁”，以避免与“制裁”一词可能具有的负面含义相混淆。 |
| The enforcement procedures referred to in subparagraph (b) should be distinguished from any invocation of international responsibility of States, hence these procedures should be adopted only for the purpose of leading the States concerned to return to compliance in accordance with the relevant agreements to which they are party as referred to in the chapeau. | (b)分段所指的强制执行程序应当区别于任何援引国家的国际责任的情况，因此，采取这些程序的唯一目的应当是促使当事国重新如起首部分所说，遵守它们所加入的有关协定。 |
| Guideline 12 Dispute settlement | 指南12 争端解决 |
| 1. Disputes between States relating to the protection of the atmosphere from atmospheric pollution and atmospheric degradation are to be settled by peaceful means. | 1. 与保护大气层免遭大气污染和大气层退化有关的国家间争端应通过和平手段解决。 |
| 2. Since such disputes may be of a fact-intensive and science-dependent character, due consideration should be given to the use of scientific and technical experts. | 2. 鉴于此类争端可能涉及大量事实并依赖科学，应当适当考虑使用科学技术专家。 |
| Commentary | 评注 |
| (1) Draft guideline 12 concerns dispute settlement. | (1) 指南草案12涉及争端解决。 |
| Paragraph 1 describes the general obligation of States to settle their disputes by peaceful means. | 第1段阐述了各国通过和平手段解决争端的一般义务。 |
| The expression “between States” clarifies that the disputes being referred to in the paragraph are inter-State in nature. | “国家间”一词澄清，该段所指的争端具有国家间性质。 |
| The paragraph does not refer to Article 33, paragraph 1, of the Charter of the United Nations, but the intent is not to downplay the significance of the various pacific means of settlement mentioned in that provision, such as negotiation, enquiry, mediation, conciliation, arbitration, judicial settlement, resort to other peaceful means that may be preferred by the States concerned, nor the principle of choice of means. | 该段并未提及《联合国宪章》第三十三条第一项，但用意并不在于淡化该条款中提到的谈判、调查、调停、和解、仲裁、司法解决、当事国可能倾向采用的其他和平手段等各种和平解决手段的重要性，也不在于淡化选择手段原则。 |
| Paragraph 1 is not intended to interfere with or displace existing dispute settlement provisions in treaty regimes, which will continue to operate in their own terms. | 第1段的目的不是干涉或取代条约制度中现有的争端解决规定，这些规定将继续以自己的方式发挥作用。 |
| The main purpose of the present paragraph is to reaffirm the principle of peaceful settlement of disputes and to serve as a basis for paragraph 2. | 本段的主要目的是重申和平解决争端的原则， 并作为第2段的基础。 |
| (2) The first part of paragraph 2 recognizes that disputes relating to the protection of the atmosphere from atmospheric pollution and atmospheric degradation would be “fact-intensive” and “science-dependent”. | (2) 第2段前半部分承认，与保护大气层免遭大气污染和大气层退化有关的国家间争端会“涉及大量事实”并“依赖科学”。 |
| As scientific input has been emphasized in the process of progressive development of international law relating to the protection of the atmosphere, likewise, more complicated scientific and technical issues have been raised in the process of international dispute settlement in recent years. | 与保护大气层有关的国际法的逐渐发展过程一直强调科学投入， 同样，近年来国际争端解决过程中也提出了更加复杂的科学和技术问题。 |
| Thus, the cases brought before international courts and tribunals have increasingly focused on highly technical and scientific evidence. | 因此，提交国际性法院和法庭的案件越来越侧重技术性和科学性很强的证据。 |
| Thus, those elements, evident from the experience with inter-State environment disputes, typically require specialized expertise to contextualize or fully grasp the issues in dispute. | 因此，这些在国家间环境争端的经历中显而易见的因素通常需要专门知识，以便认识到争端问题的来龙去脉并充分理解这些问题。 |
| (3) Recent cases before the International Court of Justice involving the science-dependent issues of international environmental law illustrate, directly or indirectly, specific features of the settlement of disputes relating to the protection of the atmosphere. | (3) 国际法院最近审理的涉及依赖科学的国际环境法问题的案件 直接或间接地表明了与保护大气层有关的争端解决的具体特点。 |
| For this reason, it is necessary that, as underlined in paragraph 2, “due consideration” be given to the use of technical and scientific experts. | 为此，正如第2段所着重指出的那样，有必要“适当考虑”使用科学技术专家。 |
| The essential aspect in this paragraph is to emphasize the use of technical and scientific experts in the settlement of inter-State disputes whether by judicial or other means. | 本段的主要内容是强调在通过司法或其他方法解决国家间争端时使用科学技术专家。 |
| (4) The Commission decided to maintain a simple formulation for this draft guideline and not to address other issues that may be relevant, such as jura novit curia (the court knows the law) and non ultra petita (not beyond the parties’ request). | (4) 委员会决定对本条指南草案保留一个简单的提法，不阐述可能相关的其他问题，如法官知法原则(jura novit curia)和不超出诉讼请求原则(non ultra petita)。 |
| Chapter V Provisional application of treaties | 第五章 条约的暂时适用 |
| A. Introduction | A. 导言 |
| 41. At its sixty-fourth session (2012), the Commission decided to include the topic “Provisional application of treaties” in its programme of work and appointed Mr. Juan Manuel Gómez Robledo as Special Rapporteur for the topic. | 41. 委员会在第六十四届会议(2012年)上，决定将“条约的暂时适用”专题列入工作方案，并任命胡安·曼努埃尔·戈麦斯·罗夫莱多先生为专题特别报告员。 |
| In its resolution 67/92 of 14 December 2012, the General Assembly subsequently noted with appreciation the decision of the Commission to include the topic in its programme of work. | 联大随后在2012年12月14日第67/92号决议中赞赏地注意到委员会决定将此专题列入其工作方案。 |
| 42. The Commission considered the first report of the Special Rapporteur at its sixty-fifth session (2013); | 42. 委员会在第六十五届会议(2013年)上审议了特别报告员的第一次报告； |
| the second report at its sixty-sixth session (2014); | 在第六十六届会议(2014年)上审议了第二次报告； |
| the third report at its sixty-seventh session (2015); | 在第六十七届会议(2015年)上审议了第三次报告； |
| the fourth report at its sixty-eighth session (2016); | 在第六十八届会议(2016年)上审议了第四次报告； |
| and the fifth report at its seventieth session (2018). | 在第七十届会议(2018年)上审议了第五次报告。 |
| The Commission also had before it three memorandums, prepared by the Secretariat, which were submitted at the sixty-fifth (2013), sixty-seventh (2015) and sixth-ninth sessions (2017). | 委员会还在第六十五届会议(2013年)、第六十七届会议(2015年)和第六十九届会议(2017年)上收到了三份秘书处编写的备忘录。 |
| At its seventieth session, on the basis of the draft guidelines proposed by the Special Rapporteur in the third, fourth and fifth reports, the Commission provisionally adopted 12 draft guidelines as the draft Guide to Provisional Application of Treaties, together with commentaries thereto, on first reading. | 在第七十届会议上，根据特别报告员在第三、第四和第五次报告中提出的准则草案，委员会一读暂时通过了作为条约的暂时适用指南草案的12项准则草案及其评注。 |
| B. Consideration of the topic at the present session | B. 本届会议审议此专题的情况 |
| 43. At the present session, the Commission had before it the sixth report of the Special Rapporteur (A/CN.4/738), as well as comments and observations received from Governments and international organizations (A/CN.4/737). | 43. 委员会本届会议收到了特别报告员的第六次报告(A/CN.4/738)以及各国政府和国际组织提交的评论和意见(A/CN.4/737)。 |
| The Special Rapporteur, in his report, examined the comments and observations received from governments and international organizations on the draft Guide, as adopted on first reading, and on several draft model clauses, which he had proposed to Commission at its seventy-first session (2019). | 特别报告员在其报告中审查了各国政府和国际组织就一读通过的指南草案以及他向委员会第七十一届会议(2019年)提出的若干示范条款草案 提交的评论和意见。 |
| He made proposals for consideration on second reading, in the light of the comments and observations, and proposed a recommendation to the General Assembly. | 他根据这些评论和意见提出了供二读审议的提案，并向联大提出了一项建议。 |
| 44. At its 3514th meeting and its 3516th to 3522nd meetings, held from 4 to 14 May 2021, the Commission considered the sixth report of the Special Rapporteur. | 44. 委员会在2021年5月4日至14日举行的第3514次和第3516至第3522次会议上，审议了特别报告员的第六次报告。 |
| 45. Following its debate on the report, the Commission, at its 3522nd meeting, held on 14 May 2021, decided to refer draft guidelines 1 to 12, together with five draft model clauses, as contained in the Special Rapporteur’s sixth report, to the Drafting Committee, taking into account the debate in the Commission. | 45. 对报告进行辩论后，委员会在2021年5月14日举行的第3522次会议上，决定根据委员会的辩论情况，将特别报告员第六次报告所载的准则草案1至12以及五项示范条款草案转交起草委员会。 |
| 46. At its 3530th meeting, held on 3 June 2021, the Commission considered an interim report of the Drafting Committee. | 46. 在2021年6月3日举行的第3530次会议上，委员会审议了起草委员会的一份临时报告。 |
| At its 3549th meeting, held on 26 July 2021, the Commission considered the final report of the Drafting Committee (A/CN.4/L.952/Rev.1), and adopted the Guide to Provisional Application of Treaties, including the draft guidelines and a draft annex containing examples of provisions on provisional application (see sect. E.1 below). | 在2021年7月26日举行的第3549次会议上，委员会审议了起草委员会的最后报告(A/CN.4/L.952/Rev.1)，并通过了条约的暂时适用指南，包括准则草案和载有暂时适用条款实例的附件草案(见下文E.1节)。 |
| 47. At its 3554th to 3557th meetings, held from 29 July to 3 August 2021, the Commission adopted the commentaries to the Guide (see sect. E.2 below). | 47. 在2021年7月29日至8月3日举行的第3554次至第3557次会议上，委员会通过了指南的评注(见下文E.2节)。 |
| 48. In accordance with its statute, the Commission submits the Guide to the General Assembly, with the recommendation set out below (see sect. C below). | 48. 委员会根据其章程向联大提交指南以及下述建议(见下文C节)。 |
| C. Recommendation of the Commission | C. 委员会的建议 |
| 49. At its 3557th meeting, held on 3 August 2021, the Commission decided, in accordance with article 23 of its statute, to recommend that the General Assembly: | 49. 在2021年8月3日举行的第3557次会议上，委员会根据其章程第23条，决定建议联大： |
| (a) take note of the Guide to Provisional Application of Treaties of the International Law Commission in a resolution, and encourage its widest possible dissemination; | (a) 在一项决议中注意到国际法委员会关于条约的暂时适用的指南，并鼓励对其进行尽可能广泛的传播； |
| (b) commend the Guide, and the commentaries thereto, to the attention of States and international organizations; | (b) 请各国和国际组织注意该指南及其评注； |
| (c) request the Secretary-General to prepare a volume of the United Nations Legislative Series compiling the practice of States and international organizations in the provisional application of treaties, as furnished by the latter over the years, together with other materials relevant to the topic. | (c) 请秘书长编写一卷《联合国法律汇编》，汇编各国和国际组织多年来提供的在条约暂时适用方面的实践，以及与该专题有关的其他材料。 |
| D. Tribute to the Special Rapporteur | D. 向特别报告员表示感谢 |
| 50. At its 3557th meeting, held on 3 August 2021, the Commission, after adopting the Guide to Provisional Application of Treaties, adopted the following resolution by acclamation: | 50. 在2021年8月3日举行的第3557次会议上，委员会在通过条约的暂时适用指南后，以鼓掌方式通过了以下决议： |
| “The International Law Commission, | “国际法委员会， |
| Having adopted the Guide to Provisional Application of Treaties, | 通过了条约的暂时适用指南， |
| Expresses to the Special Rapporteur, Mr. Juan Manuel Gómez Robledo, its deep appreciation and warm congratulations for the outstanding contribution he has made to the preparation of the Guide through his tireless efforts and devoted work, and for the results achieved in the elaboration of the Guide to Provisional Application of Treaties.” | 向特别报告员胡安·曼努埃尔·戈麦斯·罗夫莱多先生表示深挚感谢和热烈祝贺，感谢并祝贺他以不懈的努力和专注的工作为起草指南做出杰出贡献，并使条约的暂时适用指南的拟订工作取得成果。” |
| E. Text of the Guide to Provisional Application of Treaties | E. 条约的暂时适用指南案文 |
| 1. Text of the draft guidelines and draft annex constituting the Guide to Provisional Application of Treaties | 1. 构成条约的暂时适用指南的准则草案和附件草案案文 |
| 51. The text of the Guide to Provisional Application of Treaties adopted by the Commission, on second reading, at its seventy-second session is reproduced below. | 51. 委员会七十二届会议二读通过的条约的暂时适用指南草案案文载录如下。 |
| Guide to Provisional Application of Treaties | 条约的暂时适用指南 |
| Guideline 1 Scope | 准则1 范围 |
| The present draft guidelines concern the provisional application of treaties by States or by international organizations. | 本准则草案涉及国家或国际组织对条约的暂时适用。 |
| Guideline 2 Purpose | 准则2 目的 |
| The purpose of the present draft guidelines is to provide guidance regarding the law and practice on the provisional application of treaties, on the basis of article 25 of the Vienna Convention on the Law of Treaties and other relevant rules of international law. | 本准则草案的目的是，在《维也纳条约法公约》第二十五条和其他有关国际法规则的基础上，就关于条约的暂时适用的法律和实践提供指导。 |
| Guideline 3 General rule | 准则3 一般规则 |
| A treaty or a part of a treaty is applied provisionally pending its entry into force between the States or international organizations concerned, if the treaty itself so provides, or if in some other manner it has been so agreed. | 如条约本身如此规定，或以其他方式协议如此办理，条约或条约之一部分于条约在有关国家或国际组织之间生效前暂时适用。 |
| Guideline 4 Form of agreement | 准则4 协议形式 |
| In addition to the case where the treaty so provides, the provisional application of a treaty or a part of a treaty may be agreed between the States or international organizations concerned through: | 除条约规定的情况外，条约或条约之一部分的暂时适用可在有关国家或国际组织之间以下述形式协议： |
| (a) a separate treaty; | (a) 一项单独的条约； |
| or | 或 |
| (b) any other means or arrangements, including: | (b) 任何其他办法或安排，包括： |
| (i) a resolution, decision or other act adopted by an international organization or at an intergovernmental conference, in accordance with the rules of such organization or conference, reflecting the agreement of the States or international organizations concerned; | (一) 国际组织或政府间会议根据该组织或会议的规则通过的、反映有关国家或国际组织协议的决议、决定或其他行为； |
| (ii) a declaration by a State or by an international organization that is accepted by the other States or international organizations concerned. | (二) 由一国或一国际组织作出并被其他有关国家或国际组织所接受的声明。 |
| Guideline 5 Commencement | 准则5 开始 |
| The provisional application of a treaty or a part of a treaty takes effect on such date, and in accordance with such conditions and procedures, as the treaty provides or as is otherwise agreed. | 条约或条约之一部分的暂时适用按条约规定的或另经协议的日期、条件和程序开始。 |
| Guideline 6 Legal effect | 准则6 法律效果 |
| The provisional application of a treaty or a part of a treaty produces a legally binding obligation to apply the treaty or a part thereof between the States or international organizations concerned, except to the extent that the treaty otherwise provides or it is otherwise agreed. | 除条约另有规定或另经协议外，条约或条约之一部分的暂时适用产生在有关国家或国际组织之间适用该条约或条约之一部分的具有法律约束力的义务。 |
| Such treaty or part of a treaty that is being applied provisionally must be performed in good faith. | 此种暂时适用的条约或条约之一部分必须善意履行。 |
| Guideline 7 Reservations | 准则7 保留 |
| The present draft guidelines are without prejudice to any question concerning reservations relating to the provisional application of a treaty or a part of a treaty. | 本准则草案不妨碍与对条约或条约之一部分的暂时适用提出的保留有关的任何问题。 |
| Guideline 8 Responsibility for breach | 准则8 违约责任 |
| The breach of an obligation arising under a treaty or a part of a treaty that is applied provisionally entails international responsibility in accordance with the applicable rules of international law. | 根据适用的国际法规则，违反暂时适用的条约或条约之一部分产生的义务引起国际责任。 |
| Guideline 9 Termination | 准则9 终止 |
| 1. The provisional application of a treaty or a part of a treaty terminates with the entry into force of that treaty in the relations between the States or international organizations concerned. | 1. 条约或条约之一部分的暂时适用，于该条约在有关国家或国际组织之间的关系中生效时终止。 |
| 2. Unless the treaty otherwise provides or it is otherwise agreed, the provisional application of a treaty or a part of a treaty with respect to a State or an international organization shall be terminated if that State or international organization notifies the other States or international organizations concerned of its intention not to become a party to the treaty. | 2. 除条约另有规定或另经协议外，暂时适用条约或条约之一部分的国家或国际组织如果通知其他有关国家或国际组织其无意成为条约缔约方，则暂时适用应对该国或该国际组织终止。 |
| 3. Unless the treaty otherwise provides or it is otherwise agreed, a State or an international organization may invoke other grounds for terminating provisional application, in which case it shall notify the other States or international organizations concerned. | 3. 除条约另有规定或另经协议外，一国或一国际组织可援引其他理由终止暂时适用，在此情况下，该国或该国际组织应通知其他有关国家或国际组织。 |
| 4. Unless the treaty otherwise provides or it is otherwise agreed, the termination of the provisional application of a treaty or a part of a treaty does not affect any right, obligation or legal situation created through the execution of such provisional application prior to its termination. | 4. 除条约另有规定或另经协议外，条约或条约之一部分暂时适用的终止不影响终止之前因此种暂时适用而产生的任何权利、义务或法律情势。 |
| Guideline 10 Internal law of States, rules of international organizations and observance of provisionally applied treaties | 准则10 各国国内法、国际组织规则与暂时适用的条约的遵守 |
| 1. A State that has agreed to the provisional application of a treaty or a part of a treaty may not invoke the provisions of its internal law as justification for its failure to perform an obligation arising under such provisional application. | 1. 同意暂时适用条约或条约之一部分的国家不得援引其国内法规定作为不履行此种暂时适用所产生的义务的理由。 |
| 2. An international organization that has agreed to the provisional application of a treaty or a part of a treaty may not invoke the rules of the organization as justification for its failure to perform an obligation arising under such provisional application. | 2. 同意暂时适用条约或条约之一部分的国际组织不得援引该组织的规则作为不履行此种暂时适用所产生的义务的理由。 |
| Guideline 11 Provisions of internal law of States and rules of international organizations regarding competence to agree on the provisional application of treaties | 准则11 关于同意暂时适用条约的权限的各国国内法规定和国际组织规则 |
| 1. A State may not invoke the fact that its consent to the provisional application of a treaty or a part of a treaty has been expressed in violation of a provision of its internal law regarding competence to agree to the provisional application of treaties as invalidating its consent unless that violation was manifest and concerned a rule of its internal law of fundamental importance. | 1. 一国不得援引其同意暂时适用条约或条约之一部分的表示违反了该国国内法关于同意暂时适用条约的权限的规定为理由主张其同意无效，但违反情事明显且涉及其具有根本重要性的国内法规则时不在此限。 |
| 2. An international organization may not invoke the fact that its consent to the provisional application of a treaty or a part of a treaty has been expressed in violation of the rules of the organization regarding competence to agree to the provisional application of treaties as invalidating its consent unless that violation was manifest and concerned a rule of fundamental importance. | 2. 一国际组织不得援引其同意暂时适用条约或条约之一部分的表示违反了该组织关于同意暂时适用条约的权限的规则为理由主张其同意无效，但违反情事明显且涉及其具有根本重要性的规则时不在此限。 |
| Guideline 12 Agreement to provisional application with limitations deriving from internal law of States or rules of international organizations | 准则12 关于在源自各国国内法或国际组织规则的限制之下暂时适用的协议 |
| The present draft guidelines are without prejudice to the right of States or international organizations to agree in the treaty itself or otherwise to the provisional application of the treaty or a part of the treaty with limitations deriving from the internal law of States or from the rules of international organizations. | 本准则草案不妨碍各国或国际组织在条约中或以其他方式同意在源自各国国内法或国际组织规则的限制之下暂时适用条约或条约之一部分的权利。 |
| Annex | 附件 |
| Examples of provisions on provisional application of treaties | 关于条约暂时适用的条款实例 |
| The following examples of provisions are intended to assist States and international organizations in drafting an agreement to apply provisionally a treaty or a part of a treaty. | 以下条款实例旨在协助各国和国际组织起草暂时适用条约或条约之一部分的协议。 |
| They do not cover all possible situations and are not intended to prescribe any specific formulation. | 这些实例并不涵盖所有可能的情况，也无意限定任何具体的表述。 |
| These examples providing for the provisional application of treaties, found in both bilateral and multilateral treaties, are organized according to certain issues that typically arise, as set out in sections A to E. The examples listed come from recent practice, and, to the extent possible, they reflect regional diversity. They are, however, not exhaustive. | 这些规定条约暂时适用的条款实例载于双边和多边条约， 根据A至E节所述的一些典型问题编排。 所列实例来自最近的实践， 并尽可能反映了区域多样性，但它们并不是详尽无遗的。 |
| A. Commencement of provisional application | A. 暂时适用的开始 |
| The examples of provisions on commencement of provisional application are as follow below. | 关于暂时适用开始的条款实例如下： |
| 1. From the date of signature | 1. 自签署之日起 |
| (a) Bilateral treaties | (a) 双边条约 |
| 1. Undertaking between the Kingdom of the Netherlands and the Republic of the Philippines on the recognition of certificates under regulation 1/10 of the STCW 1978 Convention [Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978] (Manila, 31 May 2001): | 1. 《荷兰王国和菲律宾共和国关于根据1978年STCW公约[1978年〈海员培训、发证和值班标准国际公约〉]规则1/10承认证书的承诺》(2001年5月31日，马尼拉)： |
| Article 11 | 第11条 |
| Without prejudice to Article 9, this Undertaking shall apply provisionally from the date of its signature and shall enter into force on the first date of the second month after both Parties have notified each other in writing that the procedures required for the entry into force of the Undertaking in their respective countries have been complied with. | 在不影响第9条的情况下，本承诺自签署之日起暂时适用，并在缔约双方以书面形式通知对方已履行本承诺在各自国家生效所需程序后的第二个月第一日生效。 |
| 2. Agreement between the Government of the Kingdom of Denmark and the Council of Ministers of Serbia and Montenegro on the Succession to the Treaties Concluded between the Kingdom of Denmark and the Socialist Federal Republic of Yugoslavia (Copenhagen, 18 July 2003): | 2. 《丹麦王国政府与塞尔维亚和黑山部长会议关于继承丹麦王国与南斯拉夫社会主义联邦共和国缔结的条约的协定》(2003年7月18日，哥本哈根)： |
| Article 3 | 第3条 |
| (b) The provisions of this Agreement shall apply provisionally from the date of the signature of the Agreement. | (b) 本协定的规定自本协定签署之日起暂时适用。 |
| 3. Agreement between the United Nations and the United Republic of Tanzania concerning the Headquarters of the International Residual Mechanism for Criminal Tribunals (Dar es Salaam, 26 November 2013): | 3. 《联合国与坦桑尼亚联合共和国关于刑事法庭余留事项国际处理机制总部的协定》(2013年11月26日，达累斯萨拉姆)： |
| Article 48 Entry into force | 第48条 生效 |
| 1. The provisions of this Agreement shall be applied provisionally as from the date of signature. | 1. 本协定的规定自签署之日起暂时适用。 |
| (b) Multilateral treaties | (b) 多边条约 |
| 4. Agreement between the Government of the Federal Republic of Germany, the United Nations and the Secretariat of the Convention on the Conservation of Migratory Species of Wild Animals concerning the Headquarters of the Convention Secretariat (Bonn, 18 September 2002): | 4. 《德意志联邦共和国政府、联合国和保护野生动物迁徙物种公约秘书处之间关于公约秘书处总部的协定》(2002年9月18日，波恩)： |
| Article 7 Final Provisions | 第7条 最后条款 |
| (7) The provisions of this Agreement shall be applied provisionally, as from the date of signature, as appropriate, until its entry into force referred to in paragraph 9 below. | (7) 本协定的规定自签署之日起酌情暂时适用，直至下文第9款所述的生效为止。 |
| 5. Agreement on the Amendments to the Framework Agreement on the Sava River Basin and the Protocol on the Navigation Regime to the Framework Agreement on the Sava River Basin (Ljubljana, 2 April 2004): | 5. 《关于修订〈萨瓦河盆地框架协定〉和〈关于萨瓦河盆地框架协定航行制度的议定书〉的协定》(2004年4月2日，卢布尔雅那)： |
| Article 3 | 第3条 |
| 5. This Agreement shall be provisionally applied from the date of its signature. | 5. 本协定自签署之日起暂时适用。 |
| 6. Agreement on Collective Forces of Rapid Response of the Collective Security Treaty Organization (Moscow, 14 June 2009): | 6. 《集体安全条约组织集体快速反应部队协定》(2009年6月14日，莫斯科)： |
| Article 17 | 第17条 |
| This Agreement shall provisionally apply as of the date of signature, unless it contravenes the national laws of the Parties, and shall enter into force on the date of receipt by the depositary of the fourth notification of the completion of the internal procedures necessary for its entry into force by the Parties that have signed it. … | 本协定自签署之日起暂时适用，除非与缔约方的国内法相抵触，并在保存人收到签署本协定的缔约方关于已完成其生效所需内部程序的第四份通知之日生效。 … |
| 2. From a date other than the date of signature | 2. 自签署日期之外的其他日期起 |
| (a) Bilateral treaties | (a) 双边条约 |
| 7. Exchange of notes constituting an agreement on the abolition of visas for holders of diplomatic passports (Sofia, 16 December 1996): | 7. 《构成取消外交护照持有人签证协定的换文》(1996年12月16日，索非亚)： |
| Note from Bulgaria | 保加利亚的照会 |
| 6. This Agreement shall enter into force 30 days after the last notification through the diplomatic channel that the relevant internal legal requirements have been met. | 6. 本协定在通过外交途径最后一次通知已满足相关国内法律要求的30天后生效。 |
| Its provisional application shall begin 10 days after the date of exchange of these Notes. | 其暂时适用在互换照会10天后开始。 |
| Note from Spain | 西班牙的照会 |
| The Embassy of the Kingdom of Spain in Sofia has the honour to inform the Ministry of Foreign Affairs of the Republic of Bulgaria that the Government of the Kingdom of Spain accepts the proposal of the Government of Bulgaria and agrees that the aforementioned Note and this reply shall constitute an Agreement between the Governments, which shall enter into force and be applied provisionally in accordance with the provisions of paragraph 6. | 西班牙王国驻索非亚大使馆谨通知保加利亚共和国外交部，西班牙王国政府接受保加利亚政府的提议，同意上述照会和本答复构成两国政府之间的协定，根据第6款的规定生效和暂时适用。 |
| 8. Treaty between the Federal Republic of Germany and the Kingdom of the Netherlands concerning the Implementation of Air Traffic Controls by the Federal Republic of Germany above Dutch Territory and concerning the Impact of the Civil Operations of Niederrhein Airport on the Territory of the Kingdom of the Netherlands (Berlin, 29 April 2003): | 8. 《德意志联邦共和国和荷兰王国之间关于德意志联邦共和国在荷兰领土上空执行空中交通管制以及关于下莱茵机场民用业务对荷兰王国领土的影响的条约》(2003年4月29日，柏林)： |
| Article 16 Ratification, entry into force, provisional application | 第16条 批准、生效、暂时适用 |
| 3. This Treaty shall be applied provisionally with effect from 1 May 2003. … | 3. 本条约自2003年5月1日起暂时适用。 … |
| 9. Protocol to the Partnership and Cooperation Agreement Establishing a Partnership between the European Communities and their Member States, of the one part, and the Republic of Kazakhstan, of the other part, to Take Account of the Accession of the Czech Republic, the Republic of Estonia, the Republic of Cyprus, the Republic of Hungary, the Republic of Latvia, the Republic of Lithuania, the Republic of Malta, the Republic of Poland, the Republic of Slovenia, and the Slovak Republic to the European Union (Brussels, 30 April 2004): | 9. 《〈关于欧洲共同体及其成员国与哈萨克斯坦共和国之间建立伙伴关系的伙伴关系与合作协定〉反映捷克共和国、爱沙尼亚共和国、塞浦路斯共和国、匈牙利共和国、拉脱维亚共和国、立陶宛共和国、马耳他共和国、波兰共和国、斯洛文尼亚共和国和斯洛伐克共和国加入欧洲联盟一事的议定书》(2004年4月30日，布鲁塞尔)： |
| Article 5 | 第5条 |
| 3. Where not all the instruments of approval of this Protocol have been deposited before 1 May 2004, this Protocol shall apply provisionally with effect from 1 May 2004. | 3. 如未在2004年5月1日之前交存本议定书的所有批准书，则本议定书自2004年5月1日起暂时适用。 |
| 10. Framework Agreement on Cooperation in the Field of Immigration between the Kingdom of Spain and the Republic of Mali (Madrid, 23 January 2007): | 10. 《西班牙王国和马里共和国关于移民领域合作的框架协定》(2007年1月23日，马德里)： |
| Article 16 | 第16条 |
| 2. This Framework Agreement shall apply provisionally after a period of thirty days from its signature. | 2. 本框架协定在签署三十天后暂时适用。 |
| 11. Agreement between the Kingdom of the Netherlands and the Argentine Republic on Mutual Administrative Assistance in Customs Matters (Buenos Aires, 26 September 2012): | 11. 《荷兰王国和阿根廷共和国关于海关事项行政互助的协定》(2012年9月26日，布宜诺斯艾利斯)： |
| Article 23 Entry into force | 第23条 生效 |
| 2. This Agreement shall be applied provisionally from the first day of the second month after its signature. | 2. 本协定自签署后的第二个月第一日起暂时生效。 |
| (b) Multilateral treaties | (b) 多边条约 |
| 12. Document Agreed among the States Parties to the Treaty on Conventional Armed Forces in Europe of November 19, 1990 (Vienna, 31 May 1996): | 12. 1990年11月19日《欧洲常规武装力量条约缔约国商定文件》(1996年5月31日，维也纳)： |
| VI | 六 |
| 1. This Document shall enter into force upon receipt by the Depositary of notification of confirmation of approval by all States Parties. | 1. 本文件在保存人收到所有缔约国的核准确认通知后生效。 |
| Section II, paragraphs 2 and 3, Section IV and Section V of this Document are hereby provisionally applied as of 31 May 1996 through 15 December 1996. | 本文件第二节第二和第三段、第四节和第五节自1996年5月31日至1996年12月15日暂时适用。 |
| 3. Upon conclusion or notification | 3. 在缔结或通知后 |
| (a) Bilateral treaties | (a) 双边条约 |
| 13. Exchange of notes constituting an agreement concerning the abolition of visas for holders of diplomatic passports (Madrid, 27 December 1996): | 13. 《构成取消外交护照持有人签证协定的换文》(1996年12月27日，马德里)： |
| Note from Spain | 西班牙的照会 |
| Should the Government of Tunisia accept the foregoing proposal, on the basis of reciprocity, this Note and the reply to it from the Embassy of Tunisia shall constitute an Agreement between the Kingdom of Spain and the Republic of Tunisia, which shall be applied provisionally from the date of exchange of these Notes and shall enter into force on the date of the last notification of completion of the respective domestic requirements. | 如果突尼斯政府在互惠基础上接受上述提议，本照会和突尼斯大使馆对本照会的答复构成西班牙王国和突尼斯共和国之间的协定，自互换照会之日起暂时适用，并在最后一次通知已完成各自的国内要求之日生效。 |
| Note from Tunisia | 突尼斯的照会 |
| The Embassy of the Republic of Tunisia in Madrid has the honour to inform the Ministry of Foreign Affairs that the Government of the Republic of Tunisia accepts the proposal of the Government of the Kingdom of Spain and agrees that the aforementioned Note and this reply should constitute an Agreement. | 突尼斯共和国驻马德里大使馆谨通知外交部，突尼斯共和国政府接受西班牙王国政府的提议，并同意上述照会和本答复构成一项协定。 |
| 14. Exchange of notes constituting an agreement amending the Agreement between the Kingdom of the Netherlands and the International Criminal Tribunal for the former Yugoslavia concerning the position of ICTY trainees in the Netherlands (The Hague, 14 July 2010): | 14. 《构成修正荷兰王国与前南斯拉夫问题国际刑事法庭关于该法庭受训人员在荷兰地位的协定的换文》(2010年7月14日，海牙)： |
| Note from the Netherlands | 荷兰的照会 |
| If the abovementioned proposal is acceptable to the UN-ICTY, the Ministry has the honour to propose that this Note and the affirmative Note in reply of the UN-ICTY shall constitute an amendment to the Interns Agreement, that shall be provisionally applied as from the date of receipt of the affirmative Note in reply, and shall enter into force on the day after both Parties have notified each other in writing that the legal requirements for entry into force have been complied with. | 如联合国前南斯拉夫问题国际刑事法庭(前南问题国际法庭)可以接受上述提议，本部谨提议，本照会和前南问题国际法庭作出肯定答复的照会构成对《实习人员协定》的修正，自收到该肯定答复照会之日起暂时适用，并在双方书面通知对方已符合关于生效的法律要求后的次日生效。 |
| Note from the International Criminal Tribunal for the former Yugoslavia (UN-ICTY) | 前南斯拉夫问题国际刑事法庭(前南问题国际法庭)的照会 |
| The UN-ICTY has further the honour to inform the Ministry that the proposals set forth in the Ministry’s note are acceptable to the UN-ICTY and to confirm that the Ministry’s note and this note shall constitute an amendment to the Interns Agreement, that shall be provisionally applied as from the date of receipt of this affirmative Note in reply, and shall enter into force on the day after both Parties have notified each other in writing that the legal requirements for entry into force have been complied with. | 前南问题国际法庭还谨通知贵部，前南问题国际法庭可以接受贵部照会中的提议，并确认贵部照会和本照会将构成对《实习人员协定》的修正，自收到本肯定答复照会之日起暂时适用，并在双方书面通知对方已符合关于生效的法律要求后的次日生效。 |
| 15. Free Trade Agreement between the European Union and its Member States, of the one part, and the Republic of Korea, of the other part (Brussels, 6 October 2010): | 15. 《欧洲联盟及其成员国与大韩民国之间的自由贸易协定》(2010年10月6日，布鲁塞尔)： |
| Article 15.10 Entry into force | 第15.10条 生效 |
| 5. (a) | 5. (a) |
| This Agreement shall be provisionally applied from the first day of the month following the date on which the EU Party and Korea have notified each other of the completion of their respective relevant procedures. | 本协定自欧盟缔约方与韩国相互通知对方已完成各自的相关程序之日后的下个月第一日起暂时适用。 |
| (b) Multilateral treaties | (b) 多边条约 |
| 16. Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks (New York, 4 August 1995): | 16. 《执行1982年12月10日〈联合国海洋法公约〉有关养护和管理跨界鱼类种群和高度洄游鱼类种群的规定的协定》(1995年8月4日，纽约)： |
| Article 41 Provisional application | 第41条 暂时适用 |
| 1. This Agreement shall be applied provisionally by a State or entity which consents to its provisional application by so notifying the depositary in writing. | 1. 书面通知保存人同意暂时适用本协定的国家或实体暂时适用本协定。 |
| Such provisional application shall become effective from the date of receipt of the notification. | 暂时适用自接到通知之日起生效。 |
| 17. International Cocoa Agreement, 2001 (Geneva, 2 March 2001): | 17. 《2001年国际可可协定》(2001年3月2日，日内瓦)： |
| Article 57 Notification of provisional application | 第57条 暂时适用的通知 |
| 1. A signatory Government which intends to ratify, accept or approve this Agreement or a Government which intends to accede to the Agreement, but which has not yet been able to deposit its instrument, may at any time notify the depositary that, in accordance with its constitutional procedures and/or its domestic laws and regulations, it will apply this Agreement provisionally either when it enters into force in accordance with article 58 or, if it is already in force, at a specified date. | 1. 凡有意批准、接受或核准本协定的签字国政府，或有意加入本协定但还未能交存其文书的政府，可随时通知保存人它将按照本国宪法程序和/或本国法律规章，在本协定依第58条生效时，或如协定已经生效，则在特定日期，暂时适用本协定。 |
| Each Government giving such notification shall at that time state whether it will be an exporting Member or an importing Member. | 发出这种通知的政府应在发出通知时，说明它是出口成员还是进口成员。 |
| 2. A Government which has notified under paragraph 1 of this article that it will apply this Agreement either when it enters into force or at a specified date shall, from that time, be a provisional Member. It shall remain a provisional Member until the date of deposit of its instrument of ratification, acceptance, approval or accession. | 2. 凡依本条第1款递交通知，表示将在本协定生效时或在特定日期适用本协定的政府，应自那时起成为临时成员，直至交存其批准书、接受书、核准书或加入书之日。 |
| 18. Convention on Cluster Munitions (Dublin, 30 May 2008): | 18. 《集束弹药公约》(2008年5月30日，都柏林)： |
| Article 18 Provisional application | 第十八条 暂时适用 |
| Any State may, at the time of its ratification, acceptance, approval or accession, declare that it will apply provisionally Article 1 of this Convention pending its entry into force for that State. | 任何国家可以在批准、接受、核准或加入本公约时宣布，该国将在本公约生效之前暂时适用本公约第一条。 |
| 19. Arms Trade Treaty (New York, 2 April 2013): | 19. 《武器贸易条约》(2013年4月2日，纽约)： |
| Article 23 Provisional Application | 第23条 临时适用 |
| Any State may at the time of signature or the deposit of its instrument of ratification, acceptance, approval or accession, declare that it will apply provisionally Article 6 and Article 7 pending the entry into force of this Treaty for that State. | 任何国家均可在签署或交存其批准书、接受书、核准书或加入书时宣布，在本条约对该国生效之前暂时适用第6和第7条。 |
| B. Form of agreement on provisional application | B. 暂时适用协议的形式 |
| The examples concerning forms of agreement for provisional application are as follow below. | 关于暂时适用协议形式的条款实例如下： |
| (a) Bilateral treaties | (a) 双边条约 |
| 20. Agreement on the Taxation of Savings Income and the Provisional Application Thereof (Brussels, 26 May 2004, and The Hague, 9 November 2004): | 20. 《关于储蓄收入征税及其暂时适用的协定》(2004年5月26日，布鲁塞尔和2004年11月9日，海牙)： |
| Letter from Germany | 德国的信函 |
| Pending the completion of these internal procedures and the entry into force of this “Convention concerning the automatic exchange of information regarding savings income in the form of interest payments”, I have the honour to propose to you that the Federal Republic of Germany and the Kingdom of the Netherlands in respect of Aruba apply this Convention provisionally, within the framework of our respective domestic constitutional requirements, as from 1 January 2005, or the date of application of Council Directive 2003/48/EC of 3 June 2003 on taxation of savings income in the form of interest payments, whichever is later. | 在这些内部程序完成和本“关于自动交换利息形式储蓄收入的信息公约”生效之前，我谨向贵方提议，德意志联邦共和国和荷兰王国(事涉阿鲁巴)自2005年1月1日起，或自2003年6月3日关于利息形式储蓄收入征税的理事会第2003/48/EC号指令适用之日起(以较晚者为准)，在各自国内宪法要求的框架内暂时适用本公约。 |
| Letter from the Netherlands in respect of Aruba | 荷兰的信函(事涉阿鲁巴) |
| I am able to confirm that the Kingdom of the Netherlands in respect of Aruba is in agreement with the contents of your letter. | 我可以确认，荷兰王国(事涉阿鲁巴)同意贵方信函中的内容。 |
| (b) Multilateral treaties | (b) 多边条约 |
| 21. Protocol on the Provisional application of the Agreement Establishing the Caribbean Community Climate Change Centre (Belize City, 5 February 2002): | 21. 《关于暂时适用〈建立加勒比共同体气候变化中心的协定〉的议定书》(2002年2月5日，伯利兹城)： |
| Recalling that Article 37 of the Agreement Establishing the Caribbean Community Climate Change Centre (CCCCC) provided for its entry into force upon the deposit of the seventh Instrument of Ratification with the Government of the host country, | 回顾《建立加勒比共同体气候变化中心的协定》第37条规定，该协定在向东道国政府交存第七份批准书后生效， |
| Desiring to provide for the expeditious operationalisation of the Caribbean Community Climate Change Centre (CCCCC), | 期望为加勒比共同体气候变化中心的迅速运作做好准备， |
| Have agreed as follows: | 兹协议如下： |
| Article I Provisional Application of the Agreement Establishing the Caribbean Community Climate Change Centre | 第一条 《建立加勒比共同体气候变化中心的协定》的暂时适用 |
| The signatories of the Agreement Establishing the Caribbean Community Climate Change Centre have agreed, to apply the said Agreement among themselves provisionally, pending its definitive entry into force in accordance with Article 37 thereof. | 《建立加勒比共同体气候变化中心的协定》的签字国商定，在该协定根据第37条最终生效之前，在相互之间暂时适用该协定。 |
| 22. Agreement on the Provisional Application of Certain Provisions of Protocol No. 14 [to the Convention for the Protection of Human Rights and Fundamental Freedoms] Pending its Entry into Force (Madrid, 12 May 2009): | 22. 《关于〈[保护人权与基本自由公约]第14号议定书〉生效前暂时适用其某些规定的协定》(2009年5月12日，马德里)： |
| (b) any of the High Contracting Parties may at any time declare by means of a notification addressed to the Secretary General of the Council of Europe that it accepts, in its respect, the provisional application of the above-mentioned parts of Protocol No. 14. | (b) 任何缔约方均可随时以向欧洲委员会秘书长发出通知的方式，宣布其接受第14号议定书上述部分的暂时适用。 |
| Such declaration of acceptance will take effect on the first day of the month following the date of its receipt by the Secretary General of the Council of Europe; | 这种接受声明将在欧洲委员会秘书长收到声明之日后的下个月第一日生效； |
| the above-mentioned parts of Protocol No. 14 will not be applied in respect of Parties that have not made such a declaration of acceptance; | 第14号议定书的上述部分将不适用于没有作出这种接受声明的缔约方； |
| 23. Resolution 365 (XII) of the General Assembly of the United Nations World Tourism Organization entitled “Future of the Organization”: | 23. 联合国世界旅游组织大会题为“本组织的未来”的第365(XII)号决议： |
| Noting with regret that the amendment to Article 14 of the Statutes which it adopted by resolution 134(V), aimed at conferring on the host State a permanent seat on the Executive Council, together with the right to vote and not subject to the principle of geographical distribution of Council seats, has not yet received approval from the requisite number of States, | 遗憾地注意到大会第134(V)号决议通过的《章程》第14条修正案尚未得到必要数目国家的核准，该修正案旨在赋予东道国在执行委员会的常任席位和表决权，而不受委员会席位地域分配原则的约束， |
| 2. Decides that this amendment will be applied provisionally pending its ratification. | 2. 决定该修正案在批准之前暂时适用。 |
| C. Opt in/Opt out of provisional application | C. 加入/退出暂时适用 |
| The examples of provisions on opt in/opt out of provisional application are as follow below. | 关于加入/退出暂时适用的条款实例如下： |
| 24. Agreement relating to the implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982 (New York, 28 July 1994): | 24. 《关于执行1982年12月10日〈联合国海洋法公约〉第十一部分的协定》(1994年7月28日，纽约)： |
| Article 7 Provisional application | 第7条 临时适用 |
| 1. If on 16 November 1994 this Agreement has not entered into force, it shall be applied provisionally pending its entry into force by: | 1. 本协定如到1994年11月16日尚未生效，则在其生效之前，由下述国家和实体予以临时适用： |
| (a) States which have consented to its adoption in the General Assembly of the United Nations, except any such State which before 16 November 1994 notifies the depositary in writing either that it will not so apply this Agreement or that it will consent to such application only upon subsequent signature or notification in writing; | (a) 在联合国大会中同意通过本协定的国家，但在1994年11月16日之前书面通知保管者其将不临时适用本协定，或者仅在以后作了签字或书面通知之后才同意临时适用本协定的任何国家除外； |
| (b) States and entities which sign this Agreement, except any such State or entity which notifies the depositary in writing at the time of signature that it will not so apply this Agreement; | (b) 签署本协定的国家和实体，但在签字时书面通知保管者其将不临时适用本协定的任何国家或实体除外； |
| (c) States and entities which consent to its provisional application by so notifying the depositary in writing; | (c) 书面通知保管者表示同意临时适用本协定的国家和实体； |
| (d) States which accede to this Agreement. | (d) 加入本协定的国家。 |
| 25. Arms Trade Treaty (New York, 2 April 2013): | 25. 《武器贸易条约》(2013年4月2日，纽约)： |
| Article 23 Provisional application | 第23条 临时适用 |
| Any State may at the time of signature or the deposit of its instrument of ratification, acceptance, approval or accession, declare that it will apply provisionally Article 6 and Article 7 pending the entry into force of this Treaty for that State. | 任何国家均可在签署或交存其批准书、接受书、核准书或加入书时宣布，在本条约对该国生效之前暂时适用第6和第7条。 |
| D. Limitations to provisional application deriving from internal law of States or rules of international organizations | D. 源自各国国内法或国际组织规则的暂时适用限制 |
| The examples of provisions on limitations to provisional application deriving from internal law of the States or rules of international organizations are as follow below. | 源自各国国内法或国际组织规则的暂时适用限制方面的条款实例如下： |
| (a) Bilateral treaties | (a) 双边条约 |
| 26. Agreement between the Kingdom of Spain and the Republic of El Salvador on Air Transport (Madrid, 10 March 1997): | 26. 《西班牙王国和萨尔瓦多共和国关于航空运输的协定》(1997年3月10日，马德里)： |
| Article XXIV Entry into Force and Denunciation | 第24条 生效和解除 |
| 1. The Contracting Parties shall provisionally apply the provisions of this Agreement from the time of its signature to the extent that they do not conflict with the law of either of the Contracting Parties. | 1. 缔约方自签署之时起暂时适用本协定的规定，但以其不与任一缔约方的法律相冲突为限。 |
| This Agreement shall enter into force when both Contracting Parties have notified each other through an exchange of diplomatic notes of the completion of their respective constitutional formalities. | 本协定自缔约双方通过互换外交照会通知对方已完成各自的宪法程序后生效。 |
| 27. Agreement between the Government of the Kingdom of the Netherlands and the Cabinet of Ministers of Ukraine concerning Technical and Financial Cooperation (Kiev, 11 May 1998): | 27. 《荷兰王国政府和乌克兰部长内阁关于技术和财政合作的协定》(1998年5月11日，基辅)： |
| Article 7 Final Clauses | 第7条 最后条款 |
| 7.2. This Agreement shall be provisionally applied from the date of signing insofar as it does not contradict with existing legislation of both Parties. | 7.2. 只要不与双方现行法律相抵触，本协定自签署之日起暂时适用。 |
| 28. Agreement between the Government of the United States of America and the Government of the Republic of the Marshall Islands concerning cooperation to suppress the proliferation of weapons of mass destruction, their delivery systems, and related materials by sea (Honolulu, 13 August 2004): | 28. 《美利坚合众国政府和马绍尔群岛共和国政府之间关于合作制止大规模毁灭性武器、其运载系统和相关材料通过海运扩散的协定》(2004年8月13日，檀香山)： |
| Article 17 Entry into Force and Duration | 第17条 生效和期限 |
| 2. Provisional Application. | 2. 暂时适用。 |
| Beginning on the date of signature of this Agreement, the Parties shall apply it provisionally. | 双方自本协定签署之日起暂时适用本协定。 |
| Either Party may discontinue provisional application at any time. | 任何一方均可随时停止暂时适用。 |
| Each Party shall notify the other Party immediately of any constraints or limitations on provisional application, of any changes to such constraints or limitations, and upon discontinuation of provisional application. | 每一方应将对暂时适用的任何约束或限制、此种约束或限制的任何变化以及暂时适用的停止立即通知另一方。 |
| 29. Agreement between the Government of the Federal Republic of Germany and the Council of Ministers of Serbia and Montenegro regarding Technical Cooperation (Belgrade, 13 October 2004): | 29. 《德意志联邦共和国政府与塞尔维亚和黑山部长会议的技术合作协定》(2004年10月13日，贝尔格莱德)： |
| Article 7 | 第7条 |
| 3. After signature, this Agreement shall be provisionally implemented in accordance with the appropriate domestic law. | 3. 本协定在签署后按照适当的国内法暂时执行。 |
| 30. Euro-Mediterranean Aviation Agreement between the European Community and its Member States, of the one part and the Kingdom of Morocco, of the other part (Brussels, 12 December 2006): | 30. 《欧洲共同体及其成员国与摩洛哥王国之间的欧洲－地中海航空协定》(2006年12月12日，布鲁塞尔)： |
| Article 30 Entry into force | 第30条 生效 |
| 1. This Agreement shall be applied provisionally, in accordance with the national laws of the Contracting Parties, from the date of signature. | 1. 本协定自签署之日起，按照缔约方国内法暂时适用。 |
| 31. Agreement between the United States of America and the Kingdom of Spain on Cooperation in Science and Technology for Homeland Security Matters (Madrid, 30 June 2011): | 31. 《美利坚合众国和西班牙王国之间关于国土安全事项科学技术合作的协定》(2011年6月30日，马德里)： |
| Article 21 Entry into Force, Amendment, Duration and Termination | 第21条 生效、修正、期限和终止 |
| 1. This Agreement shall apply provisionally upon signature of both Parties, consistent with each Party’s domestic law. … | 1. 本协定在双方签署后，在符合各自国内法的情况下暂时适用。 |
| (b) Multilateral treaties | … (b) 多边条约 |
| 32. Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982 (New York, 28 July 1994): | 32. 《关于执行1982年12月10日〈联合国海洋法公约〉第十一部分的协定》(1994年7月28日，纽约)： |
| Article 7 Provisional application | 第7条 临时适用 |
| 2. All such States and entities shall apply this Agreement provisionally in accordance with their national or internal laws and regulations, with effect from 16 November 1994 or the date of signature, notification of consent or accession, if later. | 2. 所有上述国家和实体应依照其本国或其内部的法律和规章，从1994年11月16日或签字、通知同意或加入之日(如果较迟的话)起，暂时适用本协定。 |
| 33. Grains Trade Convention, 1995 (London, 7 December 1994): | 33. 1995年《谷物贸易公约》(1994年12月7日，伦敦)： |
| Article 26 Provisional application | 第26条 暂时适用 |
| Any signatory Government and any other Government eligible to sign this Convention, or whose application for accession is approved by the Council, may deposit with the depositary a declaration of provisional application. | 任何签字国政府和有资格签署本公约的任何其他政府，或其加入申请已得到理事会核准的政府，均可向保存人交存暂时适用的声明。 |
| Any Government depositing such a declaration shall provisionally apply this Convention in accordance with its laws and regulations and be provisionally regarded as a party thereto. | 交存这种声明的任何政府均应按照本国法律规章暂时适用本公约，并应被暂时视为本公约的缔约方。 |
| 34. ECOWAS [Economic Community of West African States] Energy Protocol (Dakar, 31 January 2003): | 34. 《西非经共体[西非国家经济共同体]能源议定书》(2003年1月31日，达喀尔)： |
| Article 40 Provisional Application | 第40条 暂时适用 |
| (1) Each signatory agrees to apply this Protocol provisionally pending its entry into force for such signatory in accordance with Article 39, to the extent that such provisional application is not inconsistent with its constitution, laws or regulations. | (1) 各签字国同意在本议定书根据第39条对其生效之前暂时适用本议定书，但以此种暂时适用不违反其宪法、法律或规章为限。 |
| E. Termination of provisional application | E. 暂时适用的终止 |
| The examples of provisions on termination of provisional application are as follow below. | 关于暂时适用终止的条款实例如下： |
| 1. Upon entry into force | 1. 在生效时 |
| (a) Bilateral treaties | (a) 双边条约 |
| 35. Free Trade Agreement between the Government of the Republic of Latvia and the Government of the Czech Republic (Riga, 15 April 1996): | 35. 《拉脱维亚政府和捷克共和国政府自由贸易协定》(1996年4月15日，里加)： |
| Article 41 Provisional Application | 第41条 暂时适用 |
| Pending the entry into force of this Agreement according to Article 40, the Czech Republic shall apply this Agreement provisionally from 1 July 1996, provided that the Republic of Latvia shall notify prior to 15 June 1996, that its internal legal requirements for entry into force of this Agreement are fulfilled and that the Republic of Latvia shall apply this Agreement from 1 July 1996. | 在本协定根据第40条生效之前，捷克共和国自1996年7月1日起暂时适用本协定，条件是拉脱维亚共和国在1996年6月15日之前发出关于本协定生效的国内法律要求已得到满足的通知，且拉脱维亚共和国自1996年7月1日起适用本协定。 |
| 36. Agreement between the Government of the Federal Republic of Germany and the Government of the Republic of Slovenia concerning the inclusion in the reserves of the Slovenian Office for Minimum Reserves of Petroleum and Petroleum Products of supplies of petroleum and petroleum products stored in Germany on its behalf (Ljubljana, 18 December 2000): | 36. 《德意志联邦共和国与斯洛文尼亚共和国政府关于将斯洛文尼亚石油和石油产品最低储备厅代存在德国的石油和石油产品计入该厅储备的协定》(2000年12月18日，卢布尔雅那)： |
| Article 8 | 第8条 |
| 2. This Agreement shall be applied provisionally from the date of signature until its entry into force. | 2. 本协定自签署之日起暂时适用，直至生效。 |
| 37. Air Transport Agreement between the Government of the Republic of Paraguay and the Government of the United States of America (Asunción, 2 May 2005): | 37. 《巴拉圭共和国政府和美利坚合众国政府航空运输协定》(2005年5月2日，亚松森)： |
| Article 17 Entry into Force | 第17条 生效 |
| This Agreement and its Annexes shall be provisionally applied from the date of signature and shall enter into force on the date of the later note in an exchange of diplomatic notes between the Parties confirming that each Party has completed the necessary internal procedures for entry into force of this Agreement. … | 本协定及其附件自签署之日起暂时适用，并在双方互换外交照会确认每一方已完成本协定生效所需的必要内部程序的后一份照会发出之日生效。 |
| 38. Agreement between the Kingdom of Spain and the International Air Transport Association (IATA) on the status of the IATA in Spain (Madrid, 5 May 2009): | … 38. 《西班牙王国和国际航空运输协会(空运协会)关于空运协会在西班牙地位的协定》(2009年5月5日，马德里)： |
| Article 12 Entry into force | 第12条 生效 |
| 1. This Agreement shall apply provisionally from the time of its signature, pending its ratification by Spain and its approval by the IATA. | 1. 本协定在西班牙批准和空运协会核准之前，自签署之时起暂时适用。 |
| 39. Agreement between the United Nations and the Government of Sudan concerning the status of the United Nations Interim Security Force for Abyei (New York, 1 October 2012): | 39. 《联合国与苏丹政府关于联合国阿卜耶伊临时安全部队地位的协定》(2012年10月1日，纽约)： |
| XI Miscellaneous Provisions | 第十一条 杂项规定 |
| 62. The present Agreement shall enter into force and shall be applied provisionally by the Government upon signature, pending the Government’s notification that it has completed internal ratification procedures under the Constitution of Sudan. | 62. 在政府通知其已经根据苏丹《宪法》完成本《协定》生效的内部批准程序之前，本《协定》经政府签署后生效且应临时适用。 |
| (b) Multilateral treaties | (b) 多边条约 |
| 40. Agreement relating to the implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982 (New York, 28 July 1994): | 40. 《关于执行1982年12月10日〈联合国海洋法公约〉第十一部分的协定》(1994年7月28日，纽约)： |
| Article 7 Provisional application | 第7条 临时适用 |
| 3. Provisional application shall terminate upon the date of entry into force of this Agreement. | 3. 临时适用应于本协定生效之日终止。 |
| In any event, provisional application shall terminate on 16 November 1998 if at that date the requirement in article 6, paragraph 1, of consent to be bound by this Agreement by at least seven of the States (of which at least five must be developed States) referred to in paragraph 1 (a) of resolution II has not been fulfilled. | 但无论如何，如到1998年11月16日，第6条第1款关于至少须有七个决议二第1 (a)段所述的国家(其中至少五个须为发达国家)同意接受本协定拘束的要求尚未得到满足，则临时适用应于该日终止。 |
| 41. Convention on the Prohibition of the Use, Stockpiling, Production and Transfer of Anti-Personnel Mines and on their Destruction (Oslo, 18 September 1997): | 41. 《关于禁止使用、储存、生产和转让杀伤人员地雷及销毁此种地雷的公约》(1997年9月18日，奥斯陆)： |
| Article 18 Provisional Application | 第18条 临时适用 |
| Any State may at the time of its ratification, acceptance, approval or accession, declare that it will apply provisionally paragraph 1 of Article 1 of this Convention pending its entry into force. | 任何国家可以在批准、接受、核准或加入本公约时宣布，在本公约生效之前，它将临时实施本公约第1条第1款。 |
| 2. Upon notification not to become a party to the treaty | 2. 在发出无意成为条约缔约方的通知后 |
| (a) Bilateral treaties | (a) 双边条约 |
| 42. Agreement between Spain and the International Oil Pollution Compensation Fund (London, 2 June 2000): | 42. 《西班牙和国际油污赔偿基金之间的协定》(2000年6月2日，伦敦)： |
| Note from Spain | 西班牙的照会 |
| The provisional application of this Agreement shall terminate if Spain, through the Ambassador of Spain in London, notifies the Fund before 11 May 2001 that all the aforementioned procedures have been completed, or if prior to that date Spain notifies the Fund, through its Ambassador in London, that those procedures will not be completed. | 若西班牙在2001年5月11日之前通过西班牙驻伦敦大使通知基金，上述所有程序已经完成，或者在该日期之前，西班牙通过其驻伦敦大使通知基金，这些程序将不会完成，则本协定的暂时适用即告终止。 |
| Note from the International Oil Pollution Compensation Fund 1992 | 国际油污赔偿基金1992年的照会 |
| With regard to the Agreement signed by Spain and the Fund and your letter of today’s date, I have the honour to inform you that the Fund is in agreement with the content of your letter, which should be considered as an instrument formulated by the two parties establishing the only possible interpretation of the Agreement. | 关于西班牙与基金签署的《协定》和贵方的今日来函，我谨通知贵方，基金同意贵方信函中的内容，该信函应视为双方制定的、确立对《协定》唯一可能解释的文书。 |
| 43. Treaty between the Federal Republic of Germany and the Kingdom of the Netherlands concerning the implementation of air traffic controls by the Federal Republic of Germany above Dutch territory and concerning the impact of the civil operations of Niederrhein Airport on the territory of the Kingdom of the Netherlands (Berlin, 29 April 2003): | 43. 《德意志联邦共和国和荷兰王国之间关于德意志联邦共和国在荷兰领土上空执行空中交通管制以及关于下莱茵机场民用业务对荷兰王国领土的影响的条约》(2003年4月29日，柏林)： |
| Article 16 Ratification, entry into force, provisional application | 第16条 批准、生效、暂时适用 |
| 3. This Treaty shall be applied provisionally with effect from 1 May 2003. | 3. 本条约自2003年5月1日起暂时适用。 |
| Its provisional application shall be terminated if one of the Contracting Parties declares its intention not to become a Contracting Party. | 如果缔约方之一声明其无意成为缔约方，则暂时适用终止。 |
| 44. Agreement between the European Community and the Hashemite Kingdom of Jordan on Scientific and Technological Cooperation (Brussels, 30 November 2009): | 44. 《欧洲共同体和约旦哈希姆王国关于科学技术合作的协定》(2009年11月30日，布鲁塞尔)： |
| Article 7 Final provisions | 第7条 最后条款 |
| 2. This Agreement shall enter into force when the Parties will have notified to each other the completion of their internal procedures for its conclusion. | 2. 本协定在缔约方相互通知已完成缔结本协定所需的内部程序时生效。 |
| Pending the completion by the Parties of said procedures, the Parties shall provisionally apply this Agreement upon its signature. | 缔约方完成上述程序之前，自签署之时起暂时适用本协定。 |
| Should a Party notify the other that it shall not conclude the Agreement, it is hereby mutually agreed that projects and activities launched under this provisional application and that are still in progress at the time of the abovementioned notification shall continue until their completion under the conditions laid down in this Agreement. | 双方在此共同商定，如果一方通知另一方其将不缔结本协定，则依据暂时适用启动且在上述通知发出时仍在进行的项目和活动应继续进行，直至按本协定规定的条件完成为止。 |
| (b) Multilateral treaties | (b) 多边条约 |
| 45. ECOWAS Energy Protocol (Dakar, 31 January 2003): | 45. 《西非经共体能源议定书》(2003年1月31日，达喀尔)： |
| Article 40 Provisional Application | 第40条 暂时适用 |
| (3) (a) | 3 (a) |
| Any signatory may terminate its provisional application of this Protocol by written notification to the Depository of its intention not to become a Contracting Party to the Protocol. | 任何签字国均可书面通知保存人其无意成为本议定书缔约方，从而终止暂时适用本议定书。 |
| Termination of provisional application for any signatory shall take effect upon the expiration of 60 days from the date on which such signatory’s written notification is received by the Depository. | 任何签字国终止暂时适用的日期为保存人收到该签字国书面通知满60天后。 |
| 3. Other grounds | 3. 其他理由 |
| (a) Bilateral treaties | (a) 双边条约 |
| 46. Agreement between the Government of the United States of America and the Government of the Republic of Liberia concerning cooperation to suppress the proliferation of weapons of mass destruction, their delivery systems, and related materials by sea (Washington, 11 February 2004): | 46. 《美利坚合众国政府和利比里亚共和国政府之间关于合作制止大规模毁灭性武器、其运载系统和相关材料通过海运扩散的协定》(2004年2月11日，华盛顿)： |
| Article 17 Entry into Force and Duration | 第17条 生效和期限 |
| 2. Provisional Application. | 2. 暂时适用。 |
| Beginning on the date of signature of this Agreement, the Parties shall, to the extent permitted by their respective national laws and regulations, apply it provisionally. | 双方自本协定签署之日起，在各自国内法律和规章允许的范围内暂时适用本协定。 |
| Either Party may discontinue provisional application at any time. | 任何一方均可随时停止暂时适用。 |
| Each Party shall notify the other Party immediately of any constraints or limitations on provisional application, of any changes to such constraints or limitations, and upon discontinuation of provisional application. | 每一方应将对暂时适用的任何约束或限制、此种约束或限制的任何变化以及暂时适用的停止立即通知另一方。 |
| 47. Free Trade Agreement between the European Union and its Member States, of the one part, and the Republic of Korea, of the other part (Brussels, 6 October 2010): | 47. 《欧洲联盟及其成员国与大韩民国之间的自由贸易协定》(2010年10月6日，布鲁塞尔)： |
| Article 15.10 Entry into force | 第15.10条 生效 |
| 5. … | 5. … |
| (c) A Party may terminate provisional application by written notice to the other Party. | (c) 一方可以书面通知另一方终止暂时适用。 |
| Such termination shall take effect on the first day of the month following notification. | 此类终止在通知后的下个月第一日开始。 |
| 48. Association Agreement between the European Union and its Member States, of the one part, and Ukraine, of the other part (Brussels, 21 March 2014): | 48. 《欧洲联盟及其成员国与乌克兰之间的自由贸易协定》(2014年3月21日，布鲁塞尔)： |
| Article 486 Entry into force and provisional application | 第486条 生效和暂时适用 |
| 7. Either Party may give written notification to the Depositary of its intention to terminate the provisional application of this Agreement. … | 7. 任何一方均可向保存人发出书面通知，声明打算终止暂时适用本协定。 |
| (b) Multilateral treaties | … (b) 多边条约 |
| 49. Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks (New York, 4 August 1995): | 49. 《执行1982年12月10日〈联合国海洋法公约〉有关养护和管理跨界鱼类种群和高度洄游鱼类种群的规定的协定》(1995年8月4日，纽约)： |
| Article 41 Provisional Application | 第41条 暂时适用 |
| 2. Provisional application by a State or entity shall terminate upon the entry into force of this Agreement for that State or entity or upon notification by that State or entity to the depositary in writing of its intention to terminate provisional application. | 2. 对一国或一实体的暂时适用应在本协定对该国或该实体生效之日终止或在该国或实体书面通知保存人其终止暂时适用的意思时终止。 |
| 50. Agreement on the Provisional Application of Certain Provisions of Protocol No. 14 [to the Convention for the Protection of Human Rights and Fundamental Freedoms] Pending its Entry into Force (Madrid, 12 May 2009): | 50. 《关于〈[保护人权与基本自由公约]第14号议定书〉生效前暂时适用其某些规定的协定》(2009年5月12日，马德里)： |
| (e) the provisional application of the above-mentioned provisions of Protocol No. 14 will terminate upon entry into force of Protocol No. 14 or if the High Contracting Parties in some other manner so agree. | (e) 第14号议定书上述规定的暂时适用将在第14号议定书生效时或缔约方以其他方式同意时终止。 |
| 2. Text of the draft guidelines of the Guide to Provisional Application of Treaties and commentaries thereto | 2. 条约的暂时适用指南的准则草案案文及其评注 |
| 52. The text of the draft guidelines of the Guide to Provisional Application of Treaties, adopted by the Commission on second reading, together with commentaries thereto, is reproduced below. | 52. 委员会二读通过的条约的暂时适用指南的准则草案案文及其评注载录如下。 |
| Guide to Provisional Application of Treaties | 条约的暂时适用指南 |
| General commentary | 总评注 |
| (1) The purpose of the Guide to Provisional Application of Treaties is to provide assistance to States, international organizations and other users concerning the law and practice on the provisional application of treaties. | (1) 条约的暂时适用指南的目的是就关于条约的暂时适用的法律和实践向各国、国际组织及其他使用方提供协助。 |
| States, international organizations and other users may encounter difficulties regarding, inter alia, the form of the agreement to apply provisionally a treaty or a part of a treaty, the commencement and termination of such provisional application, and its legal effect. | 各国、国际组织和其他使用方可能会在暂时适用条约或条约之一部分的协议的形式、此种暂时适用的开始和终止及其法律效果等方面遇到种种困难。 |
| The objective of the Guide is to direct States, international organizations and other users to answers that are consistent with existing rules or that seem most appropriate for contemporary practice. | 本指南的目标是引导各国、国际组织和其他使用方找到与现行规则相符或看来最适合当代实践的答案。 |
| As is always the case with the Commission’s output, the draft guidelines are to be read together with the commentaries. | 与委员会以往的工作成果一样，准则草案应结合评注来解读。 |
| (2) Provisional application is a mechanism available to States and international organizations to give immediate effect to all or some of the provisions of a treaty prior to the completion of all internal and international requirements for its entry into force. | (2) 暂时适用是一个可供各国和国际组织使用的机制，用来在某一条约生效所需的全部国内和国际要求完成之前使该条约的所有规定或某些规定立即具有效力。 |
| Provisional application serves a practical purpose, and thus a useful one, for example, when the subject matter entails a certain degree of urgency or when the negotiating States or international organizations want to build trust in advance of entry into force, among other objectives. | 暂时适用具有实用的目的，因此能发挥有效作用，例如在所涉事项具有某种紧急性，或者在谈判国或参与谈判的国际组织希望在生效之前建立信任 等情况下发挥作用。 |
| More generally, provisional application serves the overall purpose of preparing for or facilitating the entry into force of the treaty. | 广义而言，暂时适用的总体目的是为条约生效做准备或为条约的生效提供便利。 |
| It must, however, be stressed that provisional application constitutes a voluntary mechanism which States and international organizations are free to resort to or not, and which may be subject to limitations deriving from the internal law of States and rules of international organizations. | 但必须强调，暂时适用是一种自愿性机制，各国和国际组织可自愿加以利用或不予利用，同时也可能受国内法和国际组织规则的限制。 |
| (3) Although the Guide is not legally binding, it seeks to describe and clarify existing rules of international law in the light of contemporary practice. | (3) 本指南虽然没有法律约束力，但试图结合当代实践描述和澄清现行的国际法规则。 |
| The Guide takes as a point of departure article 25 of both the Vienna Convention on the Law of Treaties of 1969 (hereinafter, “1969 Vienna Convention”) and the Vienna Convention on the Law of Treaties between States and International Organizations or between International Organizations of 1986 (hereinafter, “1986 Vienna Convention”), which it tries to clarify and explain, and on the practice of States and international organizations on the matter. | 指南以1969年《维也纳条约法公约》(下称“1969年《维也纳公约》”) 和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》(下称“1986年《维也纳公约》”) 第二十五条为出发点，并试图对该条加以澄清和解释，此外，还参考了各国和国际组织在这个问题上的实践。 |
| The terms defined in article 2 of the 1969 and 1986 Vienna Conventions are used in the present Guide with the meaning given in those provisions. | 本指南使用了1969年和1986年《维也纳公约》第二条中定义的术语，其含义与第二条中的含义相同。 |
| While the Guide is without prejudice to the application of other rules of the law of treaties, it relies on relevant provisions in the 1969 and 1986 Vienna Conventions where appropriate, without being intended to cover every possible application of all provisions of both Vienna Conventions, particularly where practice has not yet developed. | 虽然本指南不妨碍条约法其他规则的适用，但它酌情参照了1969年和1986年《维也纳公约》的相关规定，并无意涵盖这两项《维也纳公约》所有条款的每一种可能的适用，特别是在实践尚未发展的情况下。 |
| In general, the Guide reflects the current lex lata, although some aspects of it are more recommendatory in nature. | 总的来说，指南反映了目前的现行法，尽管它的某些方面更具建议性质。 |
| The Guide is thus a vade mecum in which practitioners should find answers to questions raised by the provisional application of treaties. | 因此，指南是一个参考手册，从业者应能从中找到条约的暂时适用所产生的问题的答案。 |
| It is to be underscored, however, that it is in no way claimed that the Guide creates any kind of presumption in favour of resorting to the provisional application of treaties. | 但需要强调的是，绝不能说《指南》确立了任何支持暂时适用条约的假设。 |
| Provisional application is neither a substitute for securing entry into force of treaties, which remains the natural vocation of treaties, nor a means of bypassing domestic procedures. | 暂时适用既不能取代确保条约生效的做法(生效仍是条约的自然使命)，也不能作为绕过国内程序的手段。 |
| (4) It is of course impossible to address all the questions that may arise in practice or to cover the myriad of situations that may be faced by States and international organizations. | (4) 当然，述及实践中可能出现的所有问题并涵盖各国和国际组织可能面临的各种情况，是不可能的。 |
| Yet, a general approach is consistent with one of the main aims of the present Guide, which is to acknowledge the flexible nature of the provisional application of treaties and to avoid any temptation to be overly prescriptive. | 但笼统的行文方法与本指南的主要目的之一相符，即承认条约暂时适用的灵活性， 避免做出过于硬性的规定。 |
| In line with the essentially voluntary nature of provisional application, which always remains optional, the Guide recognizes that States and international organizations may agree on solutions not identified in the Guide that they consider more appropriate to the purposes of a given treaty. | 暂时适用始终是任选的，本质上具有自愿性质。 根据这一点，本指南承认各国和国际组织可商定采取指南中没有述及的、它们认为更适合某一特定条约宗旨的解决办法。 |
| Another essential character of provisional application is its capacity to adapt to varying circumstances. | 暂时适用的另一个基本特点是它能够适应不同的情况。 |
| (5) To provide additional assistance to States and international organizations in provisional application, the Guide also includes examples of provisions on the subject found in bilateral and multilateral treaties, which are reproduced in the draft annex hereto. | (5) 为了在暂时适用做法上向各国和国际组织提供协助，本指南还包含双边和多边条约中有关这一主题的条款实例，具体载于附件草案。 |
| Their inclusion is in no way intended to limit the flexible and voluntary nature of provisional application of treaties, and the examples do not seek to address the whole range of situations that may arise, nor are they characterized as anything more than examples. | 列入这些实例无意限制条约暂时适用的灵活性和自愿性，也不试图涵盖所有可能出现的各类情况，它们仅仅是一些实例而已。 |
| Guideline 1 Scope | 准则1 范围 |
| The present draft guidelines concern the provisional application of treaties by States or by international organizations. | 本准则草案涉及国家或国际组织对条约的暂时适用。 |
| Commentary | 评注 |
| (1) Draft guideline 1 is concerned with the scope of application of the Guide. | (1) 准则草案1涉及本指南的适用范围。 |
| The provision should be read together with draft guideline 2, which sets out the purpose of the Guide. | 应将这一规定与述及指南目的的准则草案2一并解读。 |
| (2) The Guide consistently uses the term “provisional application of treaties”. | (2) 本指南始终使用了“条约的暂时适用”一语。 |
| In practice, the extensive use of other terms, such as “provisional entry into force” as opposed to definitive entry into force, has led to confusion regarding the scope and the legal effect of the concept of the provisional application of treaties. | 在实践中，其他术语，如“暂时生效”(相对于“确定生效”)的广泛使用，造成了条约的暂时适用这一概念在范围和法律效果方面的混淆。 |
| In the same vein, quite frequently, treaties do not use the adjective “provisional”, but speak instead of “temporary” or “interim” application. | 同样，条约往往不用“暂时”这一形容词，而是提到“临时”或“过渡”适用。 |
| Consequently, the framework of article 25 of the 1969 and 1986 Vienna Conventions, while constituting the legal basis for the exercise of provisional application, lacks detail and precision and can thus benefit from further clarification. | 因此，1969年和1986年《维也纳公约》第二十五条的框架虽然是暂时适用的法律依据， 但缺乏细节和准确性，需要进一步的澄清。 |
| The intention of the Guide is accordingly to provide greater clarity to the interpretation of article 25 of both Vienna Conventions. | 因此，指南的目的是在解释两项《维也纳公约》第二十五条方面提供更大的明确性。 |
| (3) The Guide concerns the provisional application of treaties “by States or by international organizations”. | (3) 指南涉及“国家或国际组织”对条约的暂时适用。 |
| The reference to “States” and “international organizations”, which is employed in a number of the draft guidelines, should not be understood as implying that the scope of the draft guidelines is limited to treaties concluded between States, between States and international organizations or between international organizations. | 一些准则草案中提到的“国家”和“国际组织”不应理解为这意味着准则草案的范围仅限于国家之间、国家与国际组织之间或国际组织相互间缔结的条约。 |
| Guideline 2 Purpose | 准则2 目的 |
| The purpose of the present draft guidelines is to provide guidance regarding the law and practice on the provisional application of treaties, on the basis of article 25 of the Vienna Convention on the Law of Treaties and other relevant rules of international law. | 本准则草案的目的是，在《维也纳条约法公约》第二十五条和其他有关国际法规则的基础上，就关于条约的暂时适用的法律和实践提供指导。 |
| Commentary | 评注 |
| (1) Draft guideline 2 sets forth the purpose of the Guide to provide guidance to States and international organizations regarding the law and practice on the provisional application of treaties. | (1) 准则草案2指出，指南的目的是就关于条约暂时适用的法律和实践向各国和国际组织提供指导。 |
| (2) The draft guideline seeks to emphasize that the Guide is based on the 1969 Vienna Convention and other relevant rules of international law, including the 1986 Vienna Convention. | (2) 这条准则草案意在强调，指南参考了1969年《维也纳公约》和其他有关国际法规则，包括1986年《维也纳公约》。 |
| The reference to “and other relevant rules of international law” is primarily meant to extend the scope of the provision to the provisional application of treaties by international organizations. | 提到“和其他有关国际法规则”的主要目的是扩大这项规定的范围，涵盖国际组织暂时适用条约的情况。 |
| It acknowledges that the 1986 Vienna Convention has not yet entered into force, and accordingly should not be referred to in the same manner as its 1969 counterpart. | 准则草案2承认1986年《维也纳公约》尚未生效，因此对它的提及应有别于1969年《维也纳公约》。 |
| (3) Draft guideline 2 serves to confirm the basic approach taken throughout the Guide, namely that article 25 of the 1969 and the 1986 Vienna Conventions does not reflect all aspects of contemporary practice on the provisional application of treaties. | (3) 准则草案2旨在确认整个指南所持的基本态度，即1969年和1986年《维也纳公约》第二十五条并没有反映关于条约暂时适用的当代实践的所有方面。 |
| This is implicit in the reference to both “the law and practice” on the provisional application of treaties. | 提及条约暂时适用的“法律和实践”两个方面就隐含了这种态度。 |
| Such an approach is further referred to in the reference to “other relevant rules of international law”, which signifies that other rules of international law, including those of a customary nature, may also be applicable to the provisional application of treaties. | 这一态度还进一步体现在“其他有关国际法规则”的提法中，这种提法表明，其他国际法规则，包括习惯性质的规则也可适用于条约的暂时适用。 |
| (4) At the same time, notwithstanding the possibility of the existence of other rules and practice relating to the provisional application of treaties, the Guide recognizes the central importance of article 25 of the 1969 and 1986 Vienna Conventions. | (4) 然而，尽管有可能存在与条约暂时适用有关的其他规则和实践，但本指南确认了1969年和1986年《维也纳公约》第二十五条的核心重要性。 |
| The reference to “on the basis of”, in conjunction with the express reference to article 25, is intended to indicate that this article serves as the point of departure of the Guide, even if it is to be supplemented by other rules of international law in order fully to reflect the law applicable to the provisional application of treaties. | 提到“在…的基础上”，并明确提及第二十五条，是为了表明该条是本指南的出发点，即便为了充分反映适用于条约暂时适用的法律，需以其他国际法规则作为补充。 |
| Guideline 3 General rule | 准则3 一般规则 |
| A treaty or a part of a treaty is applied provisionally, pending its entry into force between the States or international organizations concerned, if the treaty itself so provides, or if in some other manner it has been so agreed. | 如条约本身如此规定，或以其他方式协议如此办理，条约或条约之一部分于条约在有关国家或国际组织之间生效前暂时适用。 |
| Commentary | 评注 |
| (1) Draft guideline 3 states the general rule on the provisional application of treaties. | (1) 准则草案3指出了条约暂时适用的一般规则。 |
| The text of the draft guideline follows the formulation of article 25 of the 1969 Vienna Convention, so as to underscore that the starting point for the Guide is article 25. | 这条准则草案的案文仿照了1969年《维也纳公约》第二十五条的规定，以强调指南的出发点是第二十五条。 |
| That premise is subject to the general understanding referred to in paragraph (3) of the commentary to draft guideline 2, namely that the 1969 and the 1986 Vienna Conventions do not reflect all aspects of contemporary practice on the provisional application of treaties. | 但这以准则草案2的评注第(3)段所述的一般理解为前提，即1969年和1986年《维也纳公约》并没有反映关于条约暂时适用的当代实践的所有方面。 |
| (2) The opening phrase confirms the general possibility that a treaty, or a part of a treaty, may be applied provisionally. | (2) 起首语确认了条约或条约之一部分暂时适用的一般可能性。 |
| The formulation follows that found in the chapeau to paragraph 1 of article 25 of the 1969 and the 1986 Vienna Conventions. | 这一行文沿用了1969年和1986年《维也纳公约》第二十五条第一款起首部分的措辞。 |
| (3) The distinction between provisional application of the entire treaty, as opposed to a “part” thereof, originates in article 25. | (3) 对暂时适用整个条约及其“一部分”的区分源于第二十五条。 |
| The Commission, in its prior work on the law of treaties, specifically envisaged the possibility of what became referred to as provisional application of only a part of a treaty. | 委员会在以往的条约法工作中特别设想了后来所称的只暂时适用条约之一部分的可能性。 |
| In draft article 22, paragraph 2, of the 1966 draft articles on the law of treaties, the Commission confirmed that the “same rule” applied to “part of a treaty”. | 在1966年条约法条款草案第22条草案第2款中，委员会确认，“同一规则”也适用于“条约一部分”。 |
| In the corresponding commentary, it was explained that: “[n]o less frequent today is the practice of bringing into force provisionally only a certain part of a treaty in order to meet the immediate needs of the situation”. | 相应的评注解释说，“如今，同样常见的做法是仅使条约中的某一部分暂时生效，以满足当时情况的即时需要”。 |
| The possibility of provisional application of only a part of a treaty also helps overcome the problems arising from certain types of provisions, such as operational clauses establishing treaty monitoring mechanisms that may exercise their functions during the stage of provisional application. | 可以只暂时适用条约的一部分，还有助于克服可能不宜暂时适用的某些类型的规定所引起的问题，如建立条约监督机制(这些机制可在暂时适用阶段行使职能)的执行条款所引起的问题。 |
| Furthermore, parts of treaties containing trade provisions are frequently subject to provisional application. | 此外，包含贸易条款的条约之部分经常被暂时适用。 |
| The provisional application of a part of a treaty is accordingly reflected in the formula “provisional application of a treaty or a part of a treaty”, which is used throughout the Guide. | 因此，条约一部分的暂时适用反映在整个指南使用的“条约或条约之一部分的暂时适用”一语中。 |
| (4) The second phrase, namely “pending its entry into force between the States or international organizations concerned”, is based on the chapeau of article 25. | (4) “在有关国家或国际组织之间生效前”一语参考了第二十五条的起首部分。 |
| The reference to “pending its entry into force” underscores the role played by provisional application in preparing for or facilitating such entry into force, even if it may pursue other objectives. | 提及“在条约生效前”强调了暂时适用对于为条约生效做准备或便利条约生效的作用，即使暂时适用可能还有其他目的。 |
| While the expression could be read as referring to the entry into force of a treaty itself, in the case of multilateral treaties provisional application normally continues for States or international organizations after the entry into force of a treaty itself, when the treaty had not yet entered into force for those States and international organizations. | 虽然这一表述可指条约本身生效， 但在多边条约情况下，在条约本身生效后但尚未对一些国家或国际组织生效之前，这些国家和国际组织通常继续暂时适用条约。 |
| The reference to “entry into force” in draft guideline 3 is therefore to be understood in accordance with article 24 of the 1969 and 1986 Vienna Conventions on the same subject. | 因此，准则草案3中提及的“生效”应根据1969年和1986年《维也纳公约》关于同一主题的第二十四条加以理解。 |
| It deals with both the entry into force of the treaty itself and the entry into force for each State or international organization concerned, i.e., those States or international organizations that had assumed rights and obligations pursuant to provisional application. | 该条涉及条约本身生效和条约对每个有关国家或国际组织，即根据暂时适用拥有权利和义务的国家或组织生效。 |
| The inclusion of the phrase “between the States or international organizations concerned” in the present draft guideline reflects the fact that provisional application may continue for those States or international organizations for which the treaty has not yet entered into force, after entry into force of the treaty itself. | 在本条准则草案中列入“在有关国家或国际组织之间”一语反映了如下事实：在条约本身生效后，条约尚未对其生效的国家或国际组织可以继续暂时适用。 |
| (5) The third and fourth phrases “if the treaty itself so provides, or if in some other manner it has been so agreed” reflect the two possible bases for provisional application recognized in paragraph 1 (a) and (b) of article 25. | (5) “如条约本身如此规定，或以其他方式协议如此办理”反映了第二十五条第一款(a)和(b)项所确认的暂时适用的两个可能依据。 |
| The possibility of provisional application on the basis of a provision in the treaty in question is well established, and hence the formulation follows that found in the 1969 and 1986 Vienna Conventions. | 根据有关条约的规定予以暂时适用的可能性已经充分确立， 因此沿用了1969年和1986年《维也纳公约》中的措辞。 |
| (6) Unlike in article 25 of the 1969 and 1986 Vienna Conventions, which refers, in paragraph 1 (b), to an agreement to apply provisionally a treaty or a part of a treaty among “negotiating States” or “negotiating States and negotiating organizations”, draft guideline 3 does not use this formulation. | (6) 1969年和1986年《维也纳公约》第二十五条第一款(b)项提到“谈判国”或“谈判国和谈判组织”暂时适用条约或条约之一部分的协议，与此不同，准则草案3没有使用这一措辞。 |
| In contemporary practice, provisional application may be undertaken by States or international organizations that are not negotiating States or negotiating organizations of the treaty in question but that have subsequently consented to provisional application of the treaty. | 在当代实践中，暂时适用的国家或国际组织可能不是有关条约的谈判国或谈判组织，但后来同意暂时适用该条约。 |
| Relevant practice may be identified by examining certain commodity agreements that had never entered into force but whose provisional application was extended beyond their termination date. | 通过研究一些从未生效但其暂时适用被延长到终止日期之后的商品协定，可以发现相关的实践。 |
| In those cases, such an extension may be understood as applying to States that had acceded to the commodity agreement, thus demonstrating the belief that those States had also been provisionally applying the agreement. | 在上述情况下，这种延长可被理解为适用于已加入该商品协定的国家，从而表明也认为这些国家在暂时适用该协定。 |
| Furthermore, the need to distinguish between different groups of States or international organizations, by reference to their participation in the negotiation of the treaty, is less apposite in the context of bilateral treaties, which constitute the vast majority of treaties that have been applied provisionally. | 此外，对于是否有必要通过提及参加条约谈判来区分不同国家集团或国际组织的问题，在双边条约的情况下不宜做此区分，而双边条约占暂时适用的条约的绝大多数。 |
| For these reasons, the draft guideline simply restates the basic rule without reference to “negotiating States” or “negotiating States and negotiating organizations”. | 鉴于这些原因，本条准则草案只重述了基本规则，而没有提到“谈判国”或“谈判国和谈判组织”。 |
| (7) Draft guideline 3 should be read together with draft guideline 4, which provides further elaboration on provisional application by means of a separate agreement, thereby explaining the meaning of the agreement “in some other manner”. | (7) 准则草案3应与准则草案4一并解读，准则草案4进一步阐述了以一项单独协定的方式暂时适用的情况，从而解释了“以其他方式”协议适用的含义。 |
| Guideline 4 Form of agreement | 准则4 协议形式 |
| In addition to the case where the treaty so provides, the provisional application of a treaty or a part of a treaty may be agreed between the States or international organizations concerned through: | 除条约规定的情况外，条约或条约之一部分的暂时适用可在有关国家或国际组织之间以下述形式协议： |
| (a) a separate treaty; | (a) 一项单独的条约； |
| or | 或 |
| (b) any other means or arrangements, including: | (b) 任何其他办法或安排，包括： |
| (i) a resolution, decision or other act adopted by an international organization or at an intergovernmental conference, in accordance with the rules of such organization or conference, reflecting the agreement of the States or international organizations concerned; H387 | (一) 国际组织或政府间会议根据该组织或会议的规则通过的、反映有关国家或国际组织协议的决议、决定或其他行为； |
| (ii) a declaration by a State or an international organization that is accepted by the other States or international organizations concerned. | (二) 由一国或一国际组织作出并被其他有关国家或国际组织所接受的声明。 |
| Commentary | 评注 |
| (1) Draft guideline 4 deals with forms of agreement, on the basis of which a treaty, or a part of a treaty, may be applied provisionally, in addition to when the treaty itself so provides. | (1) 准则草案4涉及除条约本身规定的情况外，可暂时适用条约或条约一部分的协议形式。 |
| The structure of the provision follows the sequence of article 25 of the 1969 and 1986 Vienna Conventions, which first envisages the possibility that the treaty in question might itself provide for provisional application and, second, provides for the possibility of an alternative basis for provisional application, when the States or the international organizations have “in some other manner” so agreed, which typically occurs when the treaty is silent on the point. | 这项规定的结构采用了1969年和1986年《维也纳公约》第二十五条的顺序，首先设想了有关条约本身规定暂时适用的可能性，其次规定了当国家或国际组织“以其他方式”协议如此办理时(这通常发生在条约对暂时适用未予提及的情况下)，暂时适用的其他可能依据。 |
| (2) The first possibility is where the treaty being applied provisionally itself addresses provisional application, in which case the treaty may do so in different ways. | (2) 第一种可能性是暂时适用的条约本身涉及暂时适用，在这种情况下，条约可以不同方式规定暂时适用。 |
| For example, the treaty may require that the negotiating or signatory States apply the treaty provisionally. | 例如，条约可要求谈判国或签署国暂时适用条约。 |
| Alternatively, the treaty may allow such States, for example by filing a declaration or through notification to the depositary of the treaty, to opt into or opt out of provisional application. | 条约也可允许这些国家加入或退出暂时适用，例如通过提交声明或通知条约保存人的方式。 |
| (3) The second possibility of States agreeing on provisional application in a manner other than that specified in the treaty itself is confirmed by the opening phrase “[i]n addition to the case where the treaty so provides”, which is a direct reference to the phrase “if the treaty itself so provides” in draft guideline 3. | (3) 起首语“除条约规定的情况外”确认了各国以条约本身规定以外的方式协议暂时适用的第二种可能性，并直接参照了准则草案3中的“如条约本身如此规定”。 |
| That follows the formulation of article 25. | 这也是第二十五条中的措辞。 |
| The reference to “between the States or international organizations concerned” has the same meaning as in draft guideline 3. | “在有关国家或国际组织之间”具有与准则草案3中的这一提法同样的含义。 |
| Two categories of additional methods for agreeing the provisional application are identified in the subparagraphs. | (a)、(b)两项指出了约定暂时适用的其他两类方法。 |
| (4) Subparagraph (a) envisages the possibility of provisional application by means of a separate treaty, which is distinct from the treaty that is provisionally applied. | (4) (a)项设想了通过单独的条约暂时适用的可能性，这种条约不同于暂时适用的条约。 |
| As is the case for the first possibility, and in accordance with article 2, paragraph 1 (a), of the 1969 and 1986 Vienna Conventions, the term “treaty” is to be interpreted as covering all instruments concluded under the law of treaties that constitute an agreement between States or international organizations, whatever the particular designation of that instrument may be. | 如第一种可能性的情况一样，根据1969年和1986年《维也纳公约》第二条第一款(a)项，“条约”一词应解释为涵盖根据条约法缔结的构成国家或国际组织间协议的所有文书，无论其具体名称如何。 |
| Such instruments may include exchanges of letters or notes, memorandums of understanding, declarations of intent, or protocols. | 此类文书可包括换文或、谅解备忘录、意向声明或议定书。 |
| (5) Subparagraph (b) acknowledges the possibility that, in addition to a separate treaty, provisional application may also be agreed through “any other means or arrangements”, which broadens the range of possibilities for reaching agreement on provisional application. | (5) (b)项承认了如下可能性：除单独的条约外，也可通过“任何其他办法或安排”约定暂时适用，这就扩大了就暂时适用达成协议的可能性的范围。 |
| Instruments not covered under subparagraph (a) may thus be included under subparagraph (b). | 因此，(a)项未涵盖的文书可列入(b)项。 |
| This approach is in accordance with the inherently flexible nature of provisional application. | 这种办法符合暂时适用的内在灵活性。 |
| By way of providing further guidance, reference is made to two examples of such “means or arrangements” in subparagraph (b) (i) and (ii), which are not intended to constitute an exhaustive list. | 为提供进一步的指导，(b)项的(一)、(二)分项提到了这种“办法或安排”的两个例子，但它们并不是详尽无遗的。 |
| (6) Subparagraph (b) (i) envisages the scenario of provisional application being agreed on by means of “a resolution, decision or other act adopted by an international organization or at an intergovernmental conference”. | (6) (b)项(一)分项设想了以“国际组织或政府间会议通过的决议、决定或其他行为”的方式约定暂时适用的情况。 |
| The term “intergovernmental conference” is to be understood broadly and may include the diplomatic conference of plenipotentiaries convened to negotiate, or a meeting of the States parties to, a multilateral treaty. | “政府间会议”一词应作广义理解，可包括为谈判多边条约而召开的全权代表外交会议或多边条约的缔约国会议。 |
| The phrase “reflecting the agreement of the States or international organizations concerned” refers to the “resolution, decision or other act” that was adopted by the international organization or conference providing for the possibility of provisional application of the treaty. | “反映有关国家或国际组织协议”一语是指国际组织或会议通过的规定暂时适用条约可能性的“决议、决定或其他行为”。 |
| The reference to “agreement” is intended to emphasize that the States or international organizations concerned must consent to provisional application. | “协议”的提法是为了强调有关国家或国际组织必须同意暂时适用。 |
| The mode of expressing agreement to provisional application of a treaty depends on the rules of the organization or the conference, which is made clear by the phrase “in accordance with the rules of such organization or conference”. | 表示同意暂时适用条约的方式取决于该组织或会议的规则，这从“按照该组织或会议的规则”中可以看出。 |
| The phrase is to be understood in accordance with article 2, subparagraph (b), of the 2011 articles on responsibility of organizations, which provides that the term “rules of the organization”: | 该短语应根据2011年关于组织责任的条款第2条(b)项来理解，其中规定“组织的规则”一词： |
| means, in particular, the constituent instruments, decisions, resolutions and other acts of the international organization adopted in accordance with those instruments, and established practice of the organization. | 具体是指：该组织的宪章性文件、依宪章性文件通过的决定、决议和其他文件及该组织已确立的惯例。 |
| (7) Subparagraph (b) (ii) refers to the exceptional possibility of a State or an international organization making a declaration that it will apply provisionally a treaty or a part of a treaty in cases where the treaty remains silent or when it is not otherwise agreed. | (7) (b)项(二)分项提到一国或一国际组织在条约不予提及或未以其他方式约定的情况下，作出将暂时适用条约或条约之一部分的声明的特殊可能性。 |
| However, the declaration must be expressly accepted by the other States or international organizations concerned, as opposed to mere non-objection, for the treaty to become provisionally applicable in relation to those States or international organizations. | 但条约要暂时适用于其他有关国家或国际组织，该声明必须得到这些国家或国际组织的明确接受，而不仅仅是不予反对。 |
| Such acceptance of provisional application should be in written form, but the draft guideline retains a certain degree of flexibility to allow for other modes of acceptance on the condition that such acceptance is express. | 对暂时适用的这种接受应采用书面形式，但本条准则草案保留了一定程度的灵活性，允许其他的接受形式，条件是接受必须是明确接受。 |
| The term “declaration” is not meant to refer to the legal regime concerning unilateral declarations of States, which does not deal with the provisional application of treaties. | “声明”一词不是指与国家的单方面声明有关的法律制度，这种制度不涉及条约的暂时适用。 |
| Guideline 5 Commencement | 准则5 开始 |
| The provisional application of a treaty or a part of a treaty takes effect on such date, and in accordance with such conditions and procedures, as the treaty provides or as is otherwise agreed. | 条约或条约之一部分的暂时适用按条约规定的或另经协议的日期、条件和程序开始。 |
| Commentary | 评注 |
| (1) Draft guideline 5 deals with the commencement of provisional application. | (1) 准则草案5涉及暂时适用的开始。 |
| The draft guideline is modelled on article 24, paragraph 1, of the 1969 and 1986 Vienna Conventions, on entry into force. | 本条准则草案借鉴了1969年和1986年《维也纳公约》关于生效的第二十四条第一款。 |
| (2) The first clause reflects the approach taken in the Guide of referring to the provisional application of the entire treaty or a part of a treaty. | (2) “条约或条约之一部分”反映了本指南采用的提及整个条约或条约之一部分的暂时适用的做法。 |
| The phrase “takes effect on such date, and in accordance with such conditions and procedures” specifies the commencement of provisional application. | “按条约规定的…日期、条件和程序开始”一语明确说明了暂时适用如何开始。 |
| The text is based on that adopted in article 68 of the 1969 Vienna Convention, which uses “takes effect”. | 此案文参考了1969年《维也纳公约》第六十八条，其中使用了“发生效力”。 |
| The phrase confirms that what is being referred to is the legal effect in relation to the State or international organization electing to apply the treaty provisionally. | 这一短语证实，此处所指的是对选择暂时适用条约的国家或国际组织的法律效果。 |
| (3) The reference to “on such date, and in accordance with such conditions and procedures” covers the various modes of commencement of provisional application of treaties as reflected in contemporary practice. | (3) “按…日期、条件和程序开始”的提法涵盖了当代实践中反映的条约暂时适用开始的各种方式。 |
| Such modes include commencement upon signature, on a certain date, upon notification, or, in the case of multilateral treaties, with adoption of a decision by an international organization. | 这些方式包括在签署后、在某一日期、在通知后开始，或者在多边条约情况下，在国际组织通过一项决定后开始。 |
| (4) The concluding phrase “as the treaty provides or as are otherwise agreed” confirms that the agreement to apply provisionally a treaty or a part of a treaty is based on a provision set forth in the treaty that is applied provisionally, on a separate treaty, whatever its particular designation, or some other means or arrangements that establish an agreement for provisional application, as contemplated in draft guideline 4, and is subject to the conditions and procedures established in such instruments or processes. | (4) “按条约规定的或另经协议的”一语表明，暂时适用条约或条约一部分的协议是基于暂时适用的条约中的规定、单独的条约(无论其具体名称如何)或准则草案4中设想的约定暂时适用的其他一些办法或安排，并须遵守这些文书规定的条件和程序。 |
| (5) Draft guideline 5 is without prejudice to article 24, paragraph 4, of the 1969 and 1986 Vienna Conventions, which stipulates that certain provisions regarding matters arising necessarily before the entry into force of a treaty apply from the time of the adoption of its text. | (5) 准则草案5不妨碍1969年和1986年《维也纳公约》第二十四条第四款，该款规定，对条约生效前必然发生之事项所作的某些规定，自该条约约文通过之时起适用。 |
| Such matters include the authentication of the text of the treaty, the establishment of consent to be bound by the treaty, the manner or date of its entry into force, reservations, or the functions of the depository. | 这些事项包括条约约文之认证、同意受条约拘束之确定、条约生效之方式或日期、保留、或保管机关之职能。 |
| Those provisions thus apply automatically without the need to agree specifically on their provisional application and might be relevant to the commencement of the provisional application of a treaty. | 因此，这些规定自动适用，无需具体约定其暂时适用，并且可能与条约暂时适用的开始相关。 |
| Guideline 6 Legal effect | 准则6 法律效果 |
| The provisional application of a treaty or a part of a treaty produces a legally binding obligation to apply the treaty or a part thereof between the States or international organizations concerned, except to the extent that the treaty provides otherwise or it is otherwise agreed. | 除条约另有规定或另经协议外，条约或条约之一部分的暂时适用产生在有关国家或国际组织之间适用该条约或条约之一部分的具有法律约束力的义务。 |
| Such treaty or part of a treaty that is being applied provisionally must be performed in good faith. | 此种暂时适用的条约或条约之一部分必须善意履行。 |
| Commentary | 评注 |
| (1) Draft guideline 6 deals with the legal effect of provisional application. | (1) 准则草案6涉及暂时适用的法律效果。 |
| Two types of “legal effect” might be envisaged: the legal effect of the agreement to provisionally apply the treaty or a part of it, and the legal effect of the treaty or a part of it that is being applied provisionally. | 可以设想两种“法律效果”：一是暂时适用条约或条约之一部分的协议的法律效果，二是被暂时适用的条约或条约之一部分的法律效果。 |
| (2) The first sentence of the draft guideline confirms that the legal effect of provisional application of a treaty or a part of a treaty is to produce a legally binding obligation to apply the treaty or part thereof between the States or international organizations concerned. | (2) 本条准则草案第一句确认，暂时适用条约或条约之一部分的法律效果是在有关国家或国际组织之间产生适用该条约或条约之一部分的具有法律约束力的义务。 |
| In other words, a treaty or a part of a treaty that is applied provisionally is considered as binding on the parties provisionally applying it from the time at which the provisional application commenced between them. | 换言之，暂时适用的条约或条约之一部分被视为自暂时适用在相互之间开始时，对暂时适用的各方具有约束力。 |
| Such legal effect is derived from the agreement to provisionally apply the treaty (or acceptance thereof) by the States or the international organizations concerned, which may be expressed in the forms identified in draft guideline 4. | 这种法律效果源于有关国家或国际组织暂时适用条约(或接受暂时适用)的协议，该协议可采用准则草案4所述的形式。 |
| In cases in which that agreement is silent on the legal effect of provisional application, which is common, the draft guideline clarifies that the legal effect of the provisional application is a legally binding obligation to apply the treaty or part thereof. | 在该协议没有提及暂时适用的法律效果的情况下(这种情况很常见)，本条准则草案明确指出，暂时适用的法律效果是适用该条约或条约之一部分的具有法律约束力的义务。 |
| (3) The opening phrase “[t]he provisional application of a treaty or a part of a treaty” follows draft guideline 5. | (3) “条约或条约之一部分的暂时适用”仿照了准则草案5的措辞。 |
| The phrase “a legally binding obligation to apply the treaty or part thereof”, which is central to the draft guideline, refers to the legal effect that the treaty produces for the State or the international organization concerned and to the conduct that is expected from States or international organizations that agree to resort to provisional application. | “适用该条约或条约之一部分的具有法律约束力的义务”是本条准则草案的核心内容，指的是对有关国家或国际组织产生的法律效果，以及期望那些商定暂时适用的国家或国际组织做出的行为。 |
| The reference to “between the States or international organizations concerned” specifies between whom the obligation to apply the treaty or part thereof applies. | “在有关国家或国际组织之间”具体说明了谁有义务适用条约或条约之一部分。 |
| This may include not only other States or international organizations applying the treaty provisionally, but also States or international organizations for whom the treaty has entered into force in their relations with those who are still provisionally applying the treaty. | 这不仅可包括暂时适用条约的其他国家或国际组织，还可包括条约已在其与仍然暂时适用条约的国家或国际组织的关系中生效的那些国家或国际组织。 |
| (4) The concluding phrase “except to the extent that the treaty provides otherwise or it is otherwise agreed” confirms that the basic rule is subject to the treaty or another agreement, which may provide an alternative legal outcome. | (4) “除条约另有规定或另经协议外”一语表明，基本规则受到可能产生另一种法律结果的条约或其他协议的约束。 |
| Such an understanding, namely a presumption in favour of the creation of a legally binding obligation to apply the treaty or a part of the treaty, subject to the possibility that the parties may agree otherwise, is confirmed by State practice. | 这种理解是假定暂时适用即确立适用条约或条约之一部分的具有法律约束力的义务，但当事方可能另有协议。 国家实践反映了这一理解。 |
| (5) The second sentence of draft guideline 6 confirms that the treaty being applied provisionally must be performed in good faith. | (5) 准则草案6第二句表明，暂时适用的条约必须善意履行。 |
| This sentence reflects the good faith obligation (pacta sunt servanda) stipulated in article 26 of the 1969 and 1986 Vienna Conventions. | 这句话反映了1969年和1986年《维也纳公约》第二十六条规定的善意履行义务(条约必须遵守)。 |
| Article 26 of the Vienna Conventions refers to several legal effects. | 《维也纳公约》第二十六条提到若干法律效果。 |
| The first legal effect corresponds to the first sentence of draft guideline 6, i.e., the binding obligation produced by provisional application. | 第一种法律效果对应于准则草案6的第一句，即暂时适用产生的具有约束力的义务。 |
| The second legal effect is that the treaty in force “must be performed in good faith”. | 第二种法律效果是，生效的条约“必须善意履行”。 |
| The word “[s]uch” in the draft guideline establishes the link between the first sentence (the legal effect of the binding obligation arising as a consequence of provisional application) and the second sentence (the legal effect arising from the requirement of performance in good faith), thereby confirming that both legal effects pertain to the same treaty. | 准则草案中的“此种”一词在第一句(因暂时适用而产生的具有约束力的义务这一法律效果)和第二句(因善意履行要求而产生的法律效果)之间建立了联系，从而表明这两种法律效果属于同一条约。 |
| (6) Nonetheless, an important distinction between provisional application and entry into force must be made. | (6) 然而，必须在暂时适用和生效之间作出重要的区分。 |
| Provisional application is not intended to give rise to the whole range of rights and obligations that derive from the consent by a State or an international organization to be bound by a treaty or a part of a treaty. | 暂时适用并不是为了引起一国或一国际组织同意受条约或条约之一部分约束所产生的全部权利和义务。 |
| Provisional application of treaties remains different from their entry into force, insofar as it is not subject to all rules of the law of treaties. | 条约的暂时适用与其生效仍然是不同的，因为暂时适用不受所有条约法规则的约束。 |
| Therefore, the formulation that provisional application “produces a legally binding obligation to apply the treaty or a part thereof” does not imply that provisional application has exactly the same legal effect as entry into force. | 因此，暂时适用“产生适用该条约或条约之一部分的具有法律约束力的义务”的措辞并不意味着暂时适用与生效具有完全相同的法律效果。 |
| The reference to “a legally binding obligation” is intended to add more precision to the depiction of the legal effect of provisional application and avoid any interpretation aimed at equating provisional application with entry into force. | 提及“具有法律约束力的义务”是为了更加确切地描述暂时适用的法律效果，并避免任何将暂时适用等同于生效的解释。 |
| (7) Implicit in the draft guideline is the understanding that the act of provisionally applying the treaty does not affect the rights and obligations of other States or international organizations. | (7) 本条准则草案暗含的一种理解是，暂时适用条约的行为不影响其他国家或国际组织的权利和义务。 |
| Likewise, provisional application of a treaty cannot result in the modification of the treaty’s content. | 同样，暂时适用条约不会导致对条约内容的修改。 |
| This is because provisional application is limited to the obligation to apply the treaty or part thereof. | 这是因为暂时适用仅限于适用条约或条约之一部分的义务。 |
| Furthermore, draft guideline 6 should not be understood as limiting the freedom of States or international organizations to amend or modify the treaty that is applied provisionally, in accordance with Part IV of the 1969 and the 1986 Vienna Conventions. | 此外，准则草案6不应被理解为限制国家或国际组织根据1969年和1986年《维也纳公约》第四编修正或修改暂时适用的条约的自由。 |
| Guideline 7 Reservations | 准则7 保留 |
| The present draft guidelines are without prejudice to any question concerning reservations relating to the provisional application of a treaty or a part of a treaty. | 本准则草案不妨碍与对条约或条约之一部分的暂时适用提出的保留有关的任何问题。 |
| Commentary | 评注 |
| (1) Draft guideline 7 concerns the possibility of the formulation of reservations, by a State or an international organization, purporting to exclude or modify the legal effect produced by certain provisions of a treaty that is subject to provisional application, either totally or partially. | (1) 准则草案7涉及一国或一个国际组织为摒除或更改整体或部分暂时适用的条约的某些条款产生的法律效果的目的而提出保留的可能性。 |
| (2) The reference to “any question concerning reservations relating to the provisional application of a treaty or a part of a treaty” includes, but is not limited to, questions regarding the provisions of Part II, Section 2, of the 1969 Vienna Convention. | (2) “与对条约或条约之一部分的暂时适用提出的保留有关的任何问题”这一提法包括但不限于与1969年《维也纳公约》第二编第二节的规定有关的问题。 |
| (3) The draft guideline takes the form of a “without prejudice” clause. | (3) 本条准则草案采用了“不妨碍”条款的形式。 |
| Given the lack of significant practice, and in the light of the comments and observations by States, it is not the purpose of the draft guidelines or this commentary to deal in any detail with the questions that may arise. | 鉴于缺乏大量的实践，并考虑到各国的评论和意见，准则草案或本评注的目的不是要详细处理可能出现的问题。 |
| The Commission’s Guide to Practice on Reservations to Treaties, while not expressly addressing reservations formulated in connection with provisional application, may nevertheless provide guidance. | 委员会的《对条约的保留实践指南》虽然没有明确述及与暂时适用有关的保留，但可以提供指导。 |
| (4) As a matter of principle, the formulation of reservations related to provisional application is not excluded. | (4) 原则上不排除提出与暂时适用有关的保留。 |
| Article 19 of the 1969 and 1986 Vienna Conventions allows States and international organizations to formulate a reservation when signing, ratifying, accepting, approving or acceding to a treaty. | 1969年和1986年《维也纳公约》第十九条允许各国和国际组织在签署、批准、接受、核准或加入一项条约时提出保留。 |
| The decision to apply the treaty provisionally may take place at the moment of signature (prior to the entry into force of the treaty for the State or international organization in question) or during the period up to and including the time of ratification, acceptance, approval or accession (in cases where the treaty itself is not yet in force). | 暂时适用条约的决定可在签署时(在条约对有关国家或国际组织生效之前)或在批准、接受、核准或加入之前和之时(在条约本身尚未生效的情况下)作出。 |
| (5) As indicated above, the draft guideline is formulated as a “without prejudice” clause in recognition of the lack of significant practice concerning reservations relating to provisional application. | (5) 如上文所述，考虑到在对暂时适用提出保留方面缺乏大量实践，本条准则草案被拟订为一个“不妨碍”条款。 |
| In the case of a bilateral treaty, a unilateral statement, formulated by a State or an international organization after initialling or signing but prior to entry into force, by which that State or organization purports to obtain from the other party a modification of the provisions of the treaty, does not constitute a reservation. | 在双边条约情况下，一国或一国际组织在草签或签署后但在条约生效前提出了单方面声明，意图藉此促使另一缔约方更改条约的规定，此项声明不论其措辞或名称如何，不构成保留。 |
| In the case of multilateral treaties, although States have made interpretative declarations in conjunction with agreeing to provisional application, such declarations as well as declarations to opt out of provisional application must be distinguished from reservations, in the sense of the law of treaties. | 在多边条约情况下，尽管各国在同意暂时适用时作出过解释性声明，但必须将这种声明与条约法 含义内的保留区分开。 |
| However, it remains to be ascertained in a given case to what extent such declarations or unilateral statements are comparable in their legal effect to that of reservations. | 然而，在特定情况下，这种解释性声明或单方面声明的法律效果与保留的法律效果在多大程度上具有可比性，仍有待确定。 |
| It may also be relevant to distinguish between the case where a State or an international organization formulates a reservation limited to the phase of the provisional application, or formulates one or more reservations intended to produce their consequences beyond such phase. | 在一国或一国际组织提出仅限于暂时适用阶段的保留的情况和提出一项或多项意图在此阶段之后产生后果的保留的情况之间加以区分，也可能具有相关性。 |
| Guideline 8 Responsibility for breach | 准则8 违约责任 |
| The breach of an obligation arising under a treaty or a part of a treaty that is applied provisionally entails international responsibility in accordance with the applicable rules of international law. | 根据适用的国际法规则，违反暂时适用的条约或条约之一部分产生的义务引起国际责任。 |
| Commentary | 评注 |
| (1) Draft guideline 8 deals with the question of responsibility for breach of an obligation arising under a treaty or a part of a treaty that is being applied provisionally. | (1) 准则草案8涉及违反暂时适用的条约或条约之一部分产生的义务所引起的责任问题。 |
| It follows from the legal effect of provisional application described in draft guideline 6, including with respect to pacta sunt servanda. | 它源于准则草案6中所述的暂时适用的法律效果，包括在“条约必须遵守”方面。 |
| Since the treaty or a part of a treaty being applied provisionally produces a legally binding obligation, then a breach of an obligation arising under the treaty or a part of a treaty being applied provisionally constitutes an internationally wrongful act giving rise to international responsibility. | 由于暂时适用的条约或条约之一部分会产生具有法律约束力的义务，因此，违反暂时适用的条约或条约之一部分产生的义务，构成引起国际责任的国际不法行为。 |
| The State or international organization violating its obligation towards the other States or international organizations concerned incurs international responsibility. | 违反对其他有关国家或国际组织所负义务的国家或国际组织将承担国际责任。 |
| The inclusion of the present draft guideline was deemed necessary since it deals with a key legal consequence of the provisional application of a treaty or a part of a treaty. | 列入本准则草案被认为是必要的，因为它涉及暂时适用条约或条约之一部分的一项重要法律后果。 |
| Article 73 of the 1969 Vienna Convention states that its provisions shall not prejudge any question that may arise in regard to a treaty from the international responsibility of a State and article 74 of the 1986 Vienna Convention provides similarly. | 1969年《维也纳公约》第七十三条指出，其规定不妨碍国家所负国际责任引起的关于条约的任何问题，1986年《维也纳公约》第七十四条也有类似的规定。 |
| The scope of the Guide is not limited to that of the two Vienna Conventions, as stated in draft guideline 2. | 如准则草案2所述，本指南的范围不限于两项《维也纳公约》的范围。 |
| (2) The draft guideline should be read together with the articles on responsibility of States for internationally wrongful acts of 2001 and with the articles on responsibility of international organizations for internationally wrongful acts of 2011, to the extent that they reflect customary international law. | (2) 本条准则草案应与2001年关于国家对国际不法行为的责任的条款 和2011年关于国际组织对国际不法行为的责任的条款 一并阅读，因为这些条款反映了习惯国际法。 |
| Accordingly, the reference to “an obligation arising under” and the word “entails” were consciously drawn from those articles. | 因此，有意从中借鉴了“产生的义务”和“引起”这两个表述。 |
| Likewise, the concluding phrase “in accordance with the applicable rules of international law” is intended as a reference, inter alia, to the applicable rules reflected in those articles. | 同样，之所以采用“根据适用的国际法规则”这一表述，也主要是为了引述这些条款中反映的适用规则。 |
| Guideline 9 Termination | 准则9 终止 |
| 1. The provisional application of a treaty or a part of a treaty terminates with the entry into force of that treaty in the relations between the States or international organizations concerned. | 1. 条约或条约之一部分的暂时适用，于该条约在有关国家或国际组织之间的关系中生效时终止。 |
| 2. Unless the treaty otherwise provides or it is otherwise agreed, the provisional application of a treaty or a part of a treaty with respect to a State or an international organization shall be terminated if that State or international organization notifies the other States or international organizations concerned of its intention not to become a party to the treaty. | 2. 除条约另有规定或另经协议外，暂时适用条约或条约之一部分的国家或国际组织如果通知其他有关国家或国际组织其无意成为条约缔约方，则暂时适用应对该国或该国际组织终止。 |
| 3. Unless the treaty otherwise provides or it is otherwise agreed, a State or an international organization may invoke other grounds for terminating provisional application, in which case it shall notify the other States or international organizations concerned. | 3. 除条约另有规定或另经协议外，一国或一国际组织可援引其他理由终止暂时适用，在此情况下，该国或该国际组织应通知其他有关国家或国际组织。 |
| 4. Unless the treaty otherwise provides or it is otherwise agreed, the termination of the provisional application of a treaty or a part of a treaty does not affect any right, obligation or legal situation created through the execution of such provisional application prior to its termination. | 4. 除条约另有规定或另经协议外，条约或条约之一部分暂时适用的终止不影响终止之前因此种暂时适用而产生的任何权利、义务或法律情势。 |
| Commentary | 评注 |
| (1) Draft guideline 9 concerns the termination of provisional application. | (1) 准则草案9涉及暂时适用的终止问题。 |
| The provisional application of a treaty or a part of a treaty by a State or an international organization typically ceases in one of two instances: first, to the extent that the treaty enters into force between the States or international organizations concerned or, second, when the intention not to become a party to the treaty is communicated by the State or international organization provisionally applying the treaty or a part of a treaty to the other States or international organizations between which the treaty or a part of a treaty is being applied provisionally. | 一国或一国际组织对条约或条约之一部分的暂时适用通常在以下两种情形下停止：一是在条约在有关国家或国际组织之间生效的情况下，二是当暂时适用条约或条约之一部分的国家或国际组织将其不欲成为缔约方的意图通知也正暂时适用条约或条约之一部分的其他国家或国际组织时。 |
| This does not exclude the possibility that the termination of provisional application may be invoked, by a State or an international organization, on other grounds. | 这不排除一国或一国际组织以其他理由提出终止暂时适用的可能性。 |
| (2) Paragraph 1 addresses termination of provisional application upon entry into force. | (2) 第1段规定暂时适用在条约生效之时终止。 |
| Entry into force is the most frequent way in which provisional application is terminated. | 条约生效是暂时适用终止的最常见的方式。 |
| That the provisional application of a treaty or a part of a treaty can be terminated by means of the entry into force of the treaty between the States and international organizations concerned is implicit in the reference in draft guideline 3 to “pending its entry into force”, which is based on article 25 of the 1969 and 1986 Vienna Conventions. | 条约或条约之一部分的暂时适用可通过条约本身生效而终止，这点隐含在准则草案3中的“在条约生效前”这一表述中，该表述参考了1969年和1986年《维也纳条约》第二十五条。 |
| In accordance with draft guideline 5, provisional application continues in respect of two or more States or international organizations applying the treaty or a part of a treaty provisionally until the treaty enters into force between them. | 根据准则草案5, 暂时适用条约或条约之一部分的两个或两个以上国家或国际组织，其暂时适用持续到条约在它们之间生效时为止。 |
| (3) The phrase “in the relations between the States or international organizations concerned” seeks to distinguish the entry into force of the treaty from the provisional application by one or more parties to the treaty. | (3) 之所以使用“在有关国家或国际组织之间的关系中”一语，是为了将条约生效的情况与一个或多个条约方暂时适用条约的情况区分开。 |
| This is particularly relevant in the relations between parties to a multilateral treaty, where the treaty might enter into force for a number of the parties but continues to be applied only provisionally in respect of others. | 对多边条约当事方的关系而言，这一点尤为重要，因为有关条约可能只对其中一些当事方生效，而对其他当事方仅继续暂时适用。 |
| This phrase is thus intended to capture all the possible legal situations that may exist in that regard. | 因此，该短语意在涵盖这方面可能存在的所有法律情况。 |
| (4) Paragraph 2 reflects the second instance mentioned in paragraph (1) of the commentary to the present draft guideline, namely the case in which the State or international organization gives notice of its intention not to become a party to a treaty. | (4) 第2段反映本条准则草案评注第(1)段述及的第二种情形，即国家或国际组织通知其无意成为条约缔约方的情形。 |
| It follows closely the formulation of paragraph 2 of article 25 of the 1969 and 1986 Vienna Conventions. | 这贴近1969年和1986年《维也纳公约》第二十五条第二款的措辞。 |
| (5) The opening phrase of paragraph 2 “[u]nless the treaty otherwise provides or it is otherwise agreed” avoids the reference to such an alternative agreement only being concluded between the “negotiating” States and international organizations, found in the 1969 and 1986 Vienna Conventions. | (5) 第2段起首语“除条约另有规定或另经协议外”并未像1969年和1986年《维也纳公约》那样提到这种另外的协议只能在各“谈判”国和国际组织之间缔结。 |
| The formulation “or it is otherwise agreed” also refers to the States or international organizations that had negotiated the treaty, but may also include States and international organizations that were not involved in the negotiation of the treaty but that are nevertheless participating in its provisional application. | “或另经协议”一语的指代对象仍然是谈判条约的国家或国际组织，但也可包括未参加条约谈判却在参加条约暂时适用的国家和国际组织。 |
| Given the complexity of concluding modern multilateral treaties, contemporary practice supports a broad reading of the language of both Vienna Conventions, in terms of treating all States or international organizations concerned as being on the same legal footing in relation to provisional application, out of recognition of the existence of other groups of States or international organizations whose agreement on matters related to the termination of provisional application might also be sought. | 鉴于缔结现代多边条约的复杂性，当代实践支持更广义地解读两项《维也纳公约》的措辞，即在暂时适用方面将所有有关国家或国际组织视为具有同等法律地位，并承认还存在其他的国家集团或国际组织，与终止暂时适用有关的事务可能要征得这些国家集团或国际组织的同意。 |
| (6) The final phrase in paragraph 2, “notifies the other States or international organizations concerned”, is a reference to the States and international organizations between which a treaty or part of a treaty is being, or can be, provisionally applied, as well as all States that have expressed their consent to be bound to the treaty. | (6) 第2段中的“通知其他有关国家或国际组织” 指的是相互间正在或可以暂时适用条约或条约之一部分的国家或国际组织，以及所有表示同意受该条约约束的国家。 |
| (7) The agreement on provisional application may provide for advance notice to facilitate termination of provisional application in an orderly manner. | (7) 关于暂时适用的协议可以规定提前发出通知，以便利暂时适用的有序终止。 |
| The Commission decided, however, not to introduce mutatis mutandis the rule found in paragraph 2 of article 56 of the 1969 and 1986 Vienna Conventions, which establishes a notice period, or alternatively a “reasonable period”, for denunciation of or withdrawal from a treaty containing no provision regarding termination, denunciation or withdrawal. | 但委员会决定不比照采用1969年和1986年《维也纳公约》第五十六条第二款所述规则，规定在条约未载有关于终止、解除或退出的规定的情况下解除或退出条约的通知期限，或“合理期限”。 |
| The Commission declined to do so out of concern for the flexibility inherent in article 25 and in view of insufficient practice in that regard. | 委员会之所以没有这样做，是因为顾及第二十五条固有的灵活性，并考虑到这方面的实践不足。 |
| (8) Paragraph 3 recognizes the possibility that grounds other than that anticipated in paragraph 2 may also be invoked by a State or an international organization for the termination of provisional application. | (8) 第3段承认，一国或一国际组织也可以援引第2段预期以外的理由来终止暂时适用。 |
| Such additional possibility is implicit in the flexible nature of the termination of provisional application provided for in article 25, paragraph 2. | 这种额外的可能性隐含在第二十五条第二款规定的终止暂时适用的灵活性中。 |
| For example, a State or international organization may seek to terminate provisional application of a multilateral treaty while still maintaining its intention to become a party to the treaty. | 例如，一国或一国际组织可能想终止多边条约的暂时适用，但仍然有意成为条约缔约方。 |
| Another scenario is that in situations of material breach, a State or international organization may only seek to terminate or suspend provisional application vis-à-vis the State or international organization that has committed the material breach, while still continuing to provisionally apply the treaty in relation to other parties. | 另一种情形是，一国或一国际组织在发生严重违约时可能仅仅想对严重违约的国家或国际组织终止或中止暂时适用条约，但仍继续对其他当事方暂时适用条约。 |
| The State or international organization affected by the material breach may also wish to resume the suspended provisional application of the treaty after the material breach has been adequately remedied. | 受严重违约影响的国家或国际组织也可能希望在严重违约情况得到充分纠正后再恢复原已中止的暂时适用。 |
| (9) The same considerations with the regard to the opening phrase “[u]nless the treaty otherwise provides or it is otherwise agreed” apply with regard to paragraph 3 as those described above in relation to paragraph 2. | (9) 上文针对第2段提出的关于起首语“除条约另有规定或另经协议外”的考虑同样适用于第3段。 |
| The phrase “may invoke” serves to confirm the optional nature of the invocation of other grounds as a basis for terminating provisional application, while conveying the need to specify the grounds on which termination of provisional application is said to be taking place. | “可以援引”一语是为了确认，援引其他理由作为终止暂时适用的依据具有任选性质，同时表示需要具体说明终止暂时适用的理由。 |
| In addition, the State or international organization invoking such grounds would be required (“shall”) to notify the other States or international organizations concerned, as they are understood under the present Guide. | 此外，援引这些理由的国家或国际组织将需要(“应”)通知按本指南理解的其他有关国家或国际组织。 |
| Given the variety of circumstances under which the termination of provisional application may occur, no general requirement on the timeframe for notification would be feasible. | 鉴于可能终止暂时适用情况的多样性，对通知时限作任何一般性要求都是不可行的。 |
| Nonetheless, the termination of the provisional application of some treaties, for example, those establishing institutional arrangements, warrants sufficient advance notice. | 尽管如此，终止某些条约，例如确立体制安排的条约的暂时适用，需要充分提前通知。 |
| In other situations, termination of provisional application may take place immediately upon receipt of notification, as indicated in paragraph (7) of the present commentary. | 在其他情况下，如本评注第(7)段所述，可在收到通知后立即终止暂时适用。 |
| (10) The procedural requirements stipulated in the 1969 Vienna Convention for the termination of treaties already in force do not apply generally to the termination of provisional application. | (10) 1969年《维也纳公约》规定的终止已生效条约的程序要求一般不适用于暂时适用的终止。 |
| However, to ensure legal certainty, paragraph 4 of the draft guideline contains a saving clause that seeks to confirm that, in principle, the termination of the provisional application of a treaty does not affect any right, obligation or legal situation created through the execution of provisional application prior to its termination. | 但为确保法律确定性，本条准则草案第4段载有一项保留条款，旨在确认，终止条约的暂时适用原则上不影响在条约终止前因暂时适用条约而产生的任何权利、义务或法律情况。 |
| The provision was modelled on article 70, paragraph 1 (b), of the 1969 Vienna Convention. | 这项规定是仿照1969年《维也纳公约》第七十条第一款(b)项拟订的。 |
| Guideline 10 Internal law of States, rules of international organizations and observance of provisionally applied treaties | 准则10 各国国内法、国际组织规则与暂时适用的条约的遵守 |
| 1. A State that has agreed to the provisional application of a treaty or a part of a treaty may not invoke the provisions of its internal law as justification for its failure to perform an obligation arising under such provisional application. | 1. 同意暂时适用条约或条约之一部分的国家不得援引其国内法规定作为不履行此种暂时适用所产生的义务的理由。 |
| 2. An international organization that has agreed to the provisional application of a treaty or a part of a treaty may not invoke the rules of the organization as justification for its failure to perform an obligation arising under such provisional application. | 2. 同意暂时适用条约或条约之一部分的国际组织不得援引该组织的规则作为不履行此种暂时适用所产生的义务的理由。 |
| Commentary | 评注 |
| (1) Draft guideline 10 deals with the observance of provisionally applied treaties and their relation to the internal law of States and the rules of international organizations. | (1) 准则草案10涉及遵守暂时适用的条约及其与各国国内法和国际组织规则的关系。 |
| Specifically, it deals with the question of the invocation of internal law of States, or in the case of international organizations the rules of the organization, as justification for failure to perform an obligation arising under the provisional application of a treaty or a part of a treaty. | 具体而言，本条准则草案涉及各国援引国内法或国际组织援引其组织规则作为不履行暂时适用一项条约或条约之一部分所产生义务的理由。 |
| The first paragraph concerns the rule applicable to States and the second the rule applicable to international organizations. | 第一段涉及适用于各国的规则，第二段涉及适用于国际组织的规则。 |
| (2) The provision follows closely the formulation contained in article 27 of both the 1969 and 1986 Vienna Conventions. Therefore, it should be considered together with those articles and other applicable rules of international law. | (2) 这项规定十分贴近1969年 和1986年《维也纳公约》第二十七条的措辞，因此应与这些条款的内容和其他适用的国际法规则一并考虑。 |
| (3) The provisional application of a treaty or a part of a treaty is governed by international law. | (3) 暂时适用一项条约或条约之一部分时须遵守国际法。 |
| Like article 27, draft guideline 10 states, as a general rule, that a State or an international organization may not invoke the provisions of its internal law or rules as a justification for its failure to perform an obligation arising under such provisional application. | 与第二十七条一样， 准则草案10指出，作为一般规则，一国或一国际组织不得援引自身的国内法规定或内部规则为理由，不履行此种暂时适用所产生的义务。 |
| Likewise, such provisions or rules cannot be invoked so as to avoid the responsibility that may be incurred for the breach of such obligations. | 同样，也不得援引这种规定或规则来逃避违反这种义务可能产生的责任。 |
| However, as indicated in draft guideline 12, the States and international organizations concerned may agree to limitations deriving from such internal law or rules as a part of their agreement on provisional application. | 不过，如准则草案12所述，有关国家和国际组织可作为其暂时适用协议的一部分，同意源自该国国内法或该组织内部规则的限制。 |
| (4) While each State or international organization may decide, under its internal law or rules, whether to agree to the provisional application of a treaty or a part of a treaty, once a treaty or a part of a treaty is applied provisionally, an inconsistency with the internal law of a State or with the rules of an international organization cannot justify a failure to apply provisionally such a treaty or a part thereof. | (4) 诚然，每个国家或国际组织可按照其国内法或内部规则决定是否同意暂时适用一项条约或条约之一部分， 而一旦暂时适用条约或条约之一部分，就不得以不符合国内法或国际组织规则为由而不暂时适用该条约或条约之一部分。 |
| Consequently, the invocation of those internal provisions in an attempt to justify a failure to apply provisionally a treaty or a part thereof would not be in accordance with international law. | 因此，援引此类内部规定，据此为不暂时适用条约或条约之一部分的行为辩护，不符合国际法。 |
| (5) A failure to comply with the obligations arising from the provisional application of a treaty or a part of a treaty with a justification based on the internal law of a State or rules of an international organization will engage the international responsibility of that State or international organization, in accordance with draft guideline 8. | (5) 以一国国内法或一国际组织的内部规则为由不履行条约或条约之一部分的暂时适用所产生的义务，将导致有关国家或国际组织根据准则草案8背负国际责任。 |
| Any other view would be contrary to the law on international responsibility, according to which the characterization of an act of a State or an international organization as internationally wrongful is governed by international law and such characterization is not affected by its characterization as lawful by internal law of a State or rules of an international organization. | 任何其他观点将违背关于国际责任的法律，根据该法，将一国或一国际组织的行为定性为国际不法行为的问题由国际法管辖，这种定性不受国内法或国际组织规则将其定性为合法之影响。 |
| (6) The reference to the “internal law of States and rules of international organizations” includes any provision of such nature, and not only to the internal law or rules specifically concerning the provisional application of treaties. | (6) “各国国内法和国际组织规则”的表述包括此种性质的任何规定，而不仅仅是专门涉及暂时适用条约问题的国内法或规则。 |
| (7) The phrase “obligation arising under such provisional application”, in both paragraphs of the draft guideline, is broad enough to encompass situations where the obligation flows from the treaty itself or from a separate agreement to apply provisionally the treaty or a part of a treaty. | (7) 本条准则草案两段中的“此种暂时适用所产生的义务”一语足以涵盖这一义务从条约本身产生，或从暂时适用该条约或条约之一部分的单独协定产生的情况。 |
| This is in accordance with the general rule of draft guideline 6, which states that the provisional application of a treaty or a part of a treaty produces a legally binding obligation to apply the treaty or a part thereof between the States or international organizations concerned, except to the extent that the treaty otherwise provides or it is otherwise agreed. | 这符合准则草案6中的一般规则，该条准则草案指出，除条约另有规定或另经协议外，条约或条约之一部分的暂时适用产生在有关国家或国际组织之间适用该条约或条约之一部分的具有法律约束力的义务。 |
| Such treaty or part of a treaty that is being applied provisionally must be performed in good faith. | 此种暂时适用的条约或条约之一部分必须善意履行。 |
| Guideline 11 Provisions of internal law of States and rules of international organizations regarding competence to agree on the provisional application of treaties | 准则11 关于同意暂时适用条约的权限的各国国内法规定和国际组织规则 |
| 1. A State may not invoke the fact that its consent to the provisional application of a treaty or a part of a treaty has been expressed in violation of a provision of its internal law regarding competence to agree to the provisional application of treaties as invalidating its consent unless that violation was manifest and concerned a rule of its internal law of fundamental importance. | 1. 一国不得援引其同意暂时适用条约或条约之一部分的表示违反了该国国内法关于同意暂时适用条约的权限的规定为理由主张其同意无效，但违反情事明显且涉及其具有根本重要性的国内法规则时不在此限。 |
| 2. An international organization may not invoke the fact that its consent to the provisional application of a treaty or a part of a treaty has been expressed in violation of the rules of the organization regarding competence to agree to the provisional application of treaties as invalidating its consent unless that violation was manifest and concerned a rule of fundamental importance. | 2. 一国际组织不得援引其同意暂时适用条约或条约之一部分的表示违反了该组织关于同意暂时适用条约的权限的规则为理由主张其同意无效，但违反情事明显且涉及其具有根本重要性的规则时不在此限。 |
| Commentary | 评注 |
| (1) Draft guideline 11 deals with the effects of the provisions of the internal law of States and the rules of international organizations on their competence to agree to the provisional application of treaties. | (1) 准则草案11涉及关于同意暂时适用条约的权限的各国国内法规定或国际组织规则的影响。 |
| The first paragraph concerns the internal law of States and the second the rules of international organizations. | 第一段涉及各国的国内法，第二段涉及国际组织的规则。 |
| (2) Draft guideline 11 follows closely the formulation of article 46 of both the 1969 and 1986 Vienna Conventions. | (2) 准则草案11十分贴近1969年和1986年《维也纳公约》第四十六条的措辞。 |
| Specifically, the first paragraph of the draft guideline follows paragraph 1 of article 46 of the 1969 Vienna Convention, and the second, paragraph 2 of article 46 of the 1986 Vienna Convention. | 具体而言，准则草案第一段沿用了1969年《维也纳公约》第四十六条第一款； 第二段沿用了1986年《维也纳公约》第四十六条第二款。 |
| Therefore, the draft guideline should be considered together with those articles and other applicable rules of international law. | 因此，本条准则草案应与这些条款和其他适用的国际法规则一并考虑。 |
| (3) Draft guideline 11 provides that any claim that the consent to provisional application is invalid must be based on a manifest violation of the internal law of the State or the rules of the organization regarding their competence to agree to such provisional application and, additionally, must concern a rule of fundamental importance. | (3) 准则草案11规定，任何声称同意暂时适用是无效的主张必须基于明显违反该国或该组织关于同意此种暂时适用的权限的国内法或规则，此外，必须涉及一项具有根本重要性的规则。 |
| (4) A violation is “manifest” if it would be objectively evident to any State or any international organization conducting itself in the matter in accordance with the normal practice of States or, as the case may be, of international organizations and in good faith. | (4) 违反情事如对按照国家和视情况按照国际组织的通常惯例善意地对待此事的任何国家或任何国际组织客观明显时，即为“明显”。 |
| Guideline 12 Agreement to provisional application with limitations deriving from internal law of States or rules of international organizations | 准则12 关于在源自各国国内法或国际组织规则的限制之下暂时适用的协议 |
| The present draft guidelines are without prejudice to the right of States or international organizations to agree in the treaty itself or otherwise to the provisional application of the treaty or a part of the treaty with limitations deriving from the internal law of States or from the rules of international organizations. | 本准则草案不妨碍各国或国际组织在条约中或以其他方式同意在源自各国国内法或国际组织规则的限制之下暂时适用条约或条约之一部分的权利。 |
| Commentary | 评注 |
| (1) Draft guideline 12 relates to the limitations of States and international organizations that could derive from their internal law and rules when agreeing to the provisional application of a treaty or a part of a treaty. | (1) 准则草案12涉及各国和国际组织在同意暂时适用条约或条约之一部分时可能受到的源自其国内法和内部规则的限制。 |
| Such limitations may be substantive or procedural, such as those for the expression of consent to be bound by a treaty, or a combination of both. | 这类限制可能是实质性的或程序性的，如表示同意受条约约束方面的限制，或者同时具有这两种性质。 |
| States and international organizations may agree to provisional application subject to limitations that derive from internal law or rules of the organizations, which may be reflected in their consent to apply provisionally a treaty or a part of a treaty. | 各国和国际组织可同意在遵守源自国内法或组织规则的限制的情况下暂时适用，并可在同意暂时适用条约或条约之一部分时反映这些限制。 |
| (2) The present draft guideline recognizes the right of States or international organizations to agree to the provisional application of a treaty or a part of a treaty in such a manner as to guarantee that such an agreement conforms with the limitations deriving from their respective internal provisions. | (2) 本条准则草案承认一国或一国际组织有权在同意暂时适用一项条约或条约之一部分时，确保此种同意符合源自其内部规定的限制。 |
| For example, the present draft guideline provides for the possibility that the treaty may expressly refer to the internal law of the State or the rules of the international organization and make such provisional application conditional on the non-violation of the internal law of the State or the rules of the organization. | 例如，本条准则草案规定了以下可能性：条约可明确提及国家的国内法或国际组织的规则，并规定此种暂时适用以不违反国家国内法或国际组织的规则为条件。 |
| (3) The title of the draft guideline reflects the consensual basis of the provisional application of treaties, as well as the fact that provisional application might not be possible at all under the internal law of States or the rules of international organizations. | (3) 本条准则草案的标题反映了暂时适用条约以相互同意为基础，并反映出也有可能暂时适用根据国内法或国际组织规则完全不可行。 |
| (4) The draft guideline should not be interpreted as implying the need for a separate agreement on the applicability of limitations deriving from the internal law of the States or the rules of the international organizations concerned. | (4) 本条准则草案不应被解释为意味着需要有一项单独的协定，涉及从有关国家的国内法或国际组织的规则中产生的限制的适用性。 |
| The existence of any such limitations deriving from internal law needs only to be sufficiently clear in the treaty itself, the separate treaty or in any other form of agreement to apply provisionally a treaty or a part of a treaty. | 任何此种从国内法产生的限制的存在，只要在条约本身、单独的条约或在关于暂时适用条约或条约之一部分的任何其他形式协议中足够明显即可。 |
| Annex to chapter V | 第五章附件 |
| Selected bibliography concerning provisional application of treaties | 条约的暂时适用方面的部分参考文献 |
| A. Books | A. 书籍 |
| B. Articles and book chapters | B. 文章和书籍章节 |
| E. Other documents | E. 其他文献 |
| 1. International organizations | 1. 国际组织 |
| 2. States | 2. 国家 |
| 3. International Law Commission | 3. 国际法委员会 |
| 4. Treaties | 4. 条约 |
| 5. Other | 5. 其他 |
| Chapter VI Immunity of State officials from foreign criminal jurisdiction | 第六章 国家官员的外国刑事管辖豁免 |
| A. Introduction | A. 导言 |
| 53. The Commission, at its fifty-ninth session (2007), decided to include the topic “Immunity of State officials from foreign criminal jurisdiction” in its programme of work and appointed Mr. Roman A. Kolodkin as Special Rapporteur. | 53. 委员会在第五十九届会议(2007年)上决定将“国家官员的外国刑事管辖豁免”专题列入工作方案，并任命罗曼·阿·科洛德金先生为特别报告员。 |
| At the same session, the Commission requested the Secretariat to prepare a background study on the topic, which was made available to the Commission at its sixtieth session (2008). | 同届会议上，委员会请秘书处编写一份关于本专题的背景研究报告，该研究报告提交给了委员会第六十届会议(2008年)。 |
| 54. The Special Rapporteur submitted three reports. | 54. 特别报告员提交了三次报告。 |
| The Commission received and considered the preliminary report at its sixtieth session (2008) and the second and third reports at its sixty-third session (2011). | 委员会第六十届会议(2008年)收到并审议了初步报告，第六十三届会议(2011年)收到并审议了第二次和第三次报告。 |
| The Commission was unable to consider the topic at its sixty-first (2009) and sixty-second (2010) sessions. | 委员会第六十一届会议(2009年)和第六十二届会议(2010年)未能审议本专题。 |
| 55. The Commission, at its sixty-fourth session (2012), appointed Ms. Concepción Escobar Hernández as Special Rapporteur to replace Mr. Kolodkin, who was no longer a member of the Commission. | 55. 委员会第六十四届会议(2012年)任命康塞普西翁·埃斯科瓦尔·埃尔南德斯女士代替不再是委员会委员的科洛德金先生担任特别报告员。 |
| The Commission received and considered the preliminary report of the Special Rapporteur at the same session (2012), her second report during the sixty-fifth session (2013), her third report during the sixty-sixth session (2014), her fourth report during the sixty-seventh session (2015), her fifth report during the sixty-eighth (2016) and sixty-ninth sessions (2017), her sixth report during the seventieth (2018) and seventy-first (2019) sessions, and her seventh report during the seventy-first session (2019). | 委员会同届会议(2012年)收到并审议了该特别报告员提交的初步报告，第六十五届会议(2013年)收到并审议了她的第二次报告，第六十六届会议(2014年)收到并审议了她的第三次报告，第六十七届会议(2015年)收到并审议了她的第四次报告，第六十八届会议(2016年)和第六十九届会议(2017年)收到并审议了她的第五次报告，第七十届会议(2018年)和第七十一届会议(2019年)收到并审议了她的第六次报告，第七十一届会议(2019年)收到并审议了她的第七次报告。 |
| On the basis of the draft articles proposed by the Special Rapporteur in the second, third, fourth and fifth reports, the Commission has provisionally adopted seven draft articles and commentaries thereto. | 委员会在特别报告员 第二、第三、第四和第五次报告提出的条款草案基础上，暂时通过了七条条款草案及其评注。 |
| Draft article 2 on definitions is still being developed. | 关于定义的第2条草案案文仍在拟订中。 |
| B. Consideration of the topic at the present session | B. 本届会议审议此专题的情况 |
| 56. The Commission had before it the eighth report (A/CN.4/739) of the Special Rapporteur. | 56. 委员会收到了特别报告员的第八次报告(A/CN.4/739)。 |
| The report examined the relationship between the immunity of State officials from foreign criminal jurisdiction and international criminal tribunals; | 该报告审查了国家官员的外国刑事管辖豁免与国际刑事法庭之间的关系； |
| considered a mechanism for the settlement of disputes between the forum State and the State of the official; | 审议了建立法院地国和官员所属国之间争端解决机制的问题； |
| and considered the issue of good practices that could help to solve the problems that arise in practice in the process of determining and applying immunity. | 并审议了可有助于解决在确定和适用豁免过程中出现的实际问题的良好做法的问题。 |
| In the light of the treatment of the issues in the report, proposals for draft articles 17 and 18 were also presented. | 根据报告中对这些问题的处理，还提出了关于第17条和第18条草案的建议。 |
| 57. The Commission considered the eighth report at its 3520th, 3521st and 3523rd to 3528th meetings, from 12 to 21 May 2021. | 57. 委员会在2021年5月12日至21日举行的第3520次、第3521次和第3523至第3528次会议上审议了第八次报告。 |
| 58. Following its debate on the report, the Commission, at its 3528th meeting, on 21 May 2021, decided to refer draft articles 17 and 18, as contained in the Special Rapporteur’s eighth report, to the Drafting Committee, taking into account the debate, as well as proposals made, in the Commission. | 58. 对该报告进行辩论后，委员会在2021年5月21日举行的第3528次会议上，决定根据委员会的辩论情况和所提建议，将特别报告员第八次报告所载的第17和第18条草案转交起草委员会。 |
| 59. At its 3530th and 3549th meetings, on 3 June and 26 July 2021, the Commission received and considered the reports of the Drafting Committee (A/CN.4/L.940, A/CN.4/L.953 and Add.1), and provisionally adopted draft articles 8 ante, 8, 9, 10, 11 and 12 (see sect. C.1 below). | 59. 在2021年6月3日和7月26日举行的第3530次和第3549次会议上，委员会收到并审议了起草委员会的报告(A/CN.4/L.940、A/CN.4/L.953和Add.1)，并暂时通过了第8(前)、第8、第9、第10、第11和第12条草案(见下文C.1节)。 |
| 60. At its 3557th to 3561st meetings, from 3 to 5 August 2021, the Commission adopted the commentaries to draft articles 8 ante, 8, 9, 10, 11 and 12 (see sect. C.2 below). | 60. 在2021年8月3日至5日举行的第3557次至第3561次会议上，委员会通过了第8(前)、第8、第9、第10、第11和第12条草案的评注(见下文C.2节)。 |
| 1. Introduction by the Special Rapporteur of the eighth report | 1. 特别报告员介绍第八次报告 |
| 61. The Special Rapporteur recalled that, in the seventh report, which had been submitted for the consideration of the Commission at its seventy-first session, she had completed her consideration of the questions set forth in the workplan submitted to the Commission in 2012. | 61. 特别报告员回顾说，在提交委员会第七十一届会议审议的第七次报告中，她完成了对2012年提交委员会的工作计划中所提问题的审议。 |
| However, in chapter V of the seventh report, particular attention had been drawn to three general issues that warranted examination by the Commission before the conclusion of the first reading, namely the relationship between the immunity of State officials from foreign criminal jurisdiction and international criminal tribunals, the possibility of establishing a mechanism for the settlement of disputes and the possible inclusion of recommendations of good practices in the draft articles. | 但在第七次报告第五章，她特别提请注意三个值得委员会在一读结束前加以审查的一般性问题，即国家官员的外国刑事管辖豁免与国际刑事法庭之间的关系、建立争端解决机制的可能性以及将良好做法建议列入条款草案的可能性。 |
| Those questions were the subject of consideration in the eighth report. | 第八次报告审议了这些问题。 |
| 62. The Special Rapporteur explained that the eighth report was divided into an introduction and four chapters. | 62. 特别报告员解释说，第八次报告分为导言和四个章节。 |
| The purpose of the introduction was to describe the treatment of the topic by the Commission. | 导言的目的是说明委员会对此专题的处理情况。 |
| Chapter I examined the relationship between immunity of State officials from foreign criminal jurisdiction and international criminal tribunals. | 第一章审查了国家官员的外国刑事管辖豁免与国际刑事法庭之间的关系。 |
| Chapter II considered the problems related to the settlement of disputes and proposed the establishment of a specific mechanism for that purpose. | 第二章审议了与争端解决有关的问题，并提议为此建立一个具体机制。 |
| Chapter III addressed the issue of recommended good practices. | 第三章讨论了推荐的良好做法问题。 |
| Chapter IV concerned the future workplan. | 第四章涉及未来的工作计划。 |
| 63. Regarding the draft articles that the Drafting Committee had yet to examine, the Special Rapporteur stated that she had held two rounds of informal consultations before the start of the present session to review the current status of the Commission’s work and to formulate proposals that would allow the Drafting Committee to make progress in the light of the difficult circumstances of the COVID-19 pandemic and the methods of work adopted for the current session. | 63. 关于起草委员会尚未审查的条款草案，特别报告员说，她在本届会议开始前举行了两轮非正式磋商，以审查委员会工作的现状，并提出建议，便利起草委员会在COVID-19大流行病造成的困难情况和本届会议采取的工作方法下取得进展。 |
| She thanked the members who had participated in the consultations. | 她对参加磋商的委员表示感谢。 |
| 64. Concerning the relationship between the immunity of State officials from foreign criminal jurisdiction and international criminal tribunals, the Special Rapporteur recalled that, in the sixth report, she had referred to the need to address in a subsequent report the possible effect that the obligation to cooperate with international criminal tribunals might have on the immunity of State officials from foreign criminal jurisdiction. | 64. 关于国家官员的外国刑事管辖豁免与国际刑事法庭之间的关系，特别报告员回顾说，在第六次报告中，她提到需要在随后的报告中讨论与国际刑事法庭合作的义务可能对国家官员的外国刑事管辖豁免产生的影响。 |
| Two events had led her not to address the issue in the seventh report. | 有两个事件使她未在第七次报告中讨论这个问题。 |
| The first was the fact that the question of the relationship between immunity and the obligation to cooperate had been raised before the International Criminal Court in the Jordan Referral re Al-Bashir case, which was sub judice at the time. | 一是豁免与合作义务之间的关系问题已经在约旦移交巴希尔案中向国际刑事法院提出，当时该案尚未审结。 |
| The second was that, when the report had been completed, an item had been on the agenda of the General Assembly concerning a potential request for an advisory opinion of the International Court of Justice on the issue of immunity of heads of State and the relationship thereof to the duty to cooperate with the International Criminal Court. | 二是报告完成时联大议程上有一个项目，涉及可能请求国际法院就国家元首豁免问题及其与同国际刑事法院合作的义务之间的关系提供咨询意见。 |
| The Special Rapporteur noted that the demand for an advisory opinion appeared to have waned and that the International Criminal Court had issued its judgment in the aforementioned case on 6 May 2019. | 特别报告员指出，对咨询意见的需要似乎已经减弱，而且国际刑事法院在2019年5月6日就上述案件作出了判决。 |
| The current state of affairs therefore allowed the Commission to address the relationship of immunity of State officials from foreign criminal jurisdiction and international criminal tribunals from a general perspective. | 因此，当前的情况使委员会能够从总体上处理国家官员的外国刑事管辖豁免与国际刑事法庭之间的关系。 |
| 65. The question of the relationship between immunity of State officials from foreign criminal jurisdiction and international criminal tribunals had been analysed by both the Special Rapporteurs who had dealt with the present topic. | 65. 处理本专题的两位特别报告员都分析了国家官员的外国刑事管辖豁免与国际刑事法庭之间的关系问题。 |
| It was closely linked to the scope of the draft articles, which had been defined in draft article 1 as adopted by the Commission. | 它与委员会通过的第1条草案中界定的条款草案范围密切相关。 |
| It was clear that the topic did not deal with immunities before international criminal tribunals. | 本专题显然不涉及国际刑事法庭的豁免。 |
| Nor it could be denied, however, that the discussion of immunity of State officials from foreign criminal jurisdiction could not proceed in the abstract and without regard to the existence of international criminal tribunals created to consider crimes of concern to the international community. | 但也不可否认，不能抽象地讨论国家官员的外国刑事管辖豁免问题，也不能无视为审议国际社会关注的罪行而设立的国际刑事法庭的存在。 |
| Given that international crimes could be committed by State officials, who might then be subject to prosecution before both national and international criminal courts, it seemed impossible to deny that a relationship existed between the present topic and international criminal jurisdiction. | 鉴于国家官员可能犯下国际罪行，之后可能会在国家和国际刑事法院受到起诉，因此，似乎无法否认本专题与国际刑事管辖权之间存在关系。 |
| The relationship was also closely linked to the principle of accountability and the efforts against impunity for crimes under international law, which had been recurrent themes in the Commission’s debates. | 这种关系还与问责制原则和打击国际法规定的罪行的有罪不罚现象这两个委员会辩论中反复出现的主题密切相关。 |
| 66. Specific questions relating to the relationship between international criminal tribunals and the present topic had arisen in two areas. | 66. 与国际刑事法庭和本专题之间的关系有关的具体问题出现在两个方面。 |
| The first was the possible definition of an exception to immunity derived from the obligation to cooperate with an international criminal tribunal. | 一是对源自与国际刑事法庭合作义务的豁免例外可能作出的界定。 |
| The second was the standing of foreign criminal jurisdiction in the light of the same obligation to cooperate. | 二是在这一合作义务下外国刑事管辖权的地位。 |
| The Commission had addressed the first question in 2016 and 2017, deciding not to retain such an exception in draft article 7. | 委员会在2016年和2017年讨论了第一个问题，决定不在第7条草案中保留这一例外。 |
| The second question was addressed by the judgment of the Appeals Chamber of the International Criminal Court in the Jordan Referral re Al-Bashir case, in which the Court affirmed that, when a State party to the Rome Statute acts pursuant to a request for assistance by the Court, the State assists the Court in exercising its jurisdiction, rather than exercising national criminal jurisdiction. | 第二个问题在国际刑事法院上诉分庭对约旦移交巴希尔案的判决中得到解决，法院在该判决中确认，当《罗马规约》 缔约国根据法院的协助请求行事时，系该国协助法院行使其管辖权，而不是在行使国家刑事管辖权。 |
| 67. The Special Rapporteur reiterated her view, expressed orally at the seventy-first session and in her eighth report, that it would neither be useful nor necessary for the Commission to examine the judgment of the International Criminal Court for the purposes of its work. | 67. 特别报告员重申了她在第七十一届会议上口头表达的以及在第八次报告中表达的观点，即委员会审查国际刑事法院的判决对其工作目的而言既无益处，也无必要。 |
| The judgment had to be understood in the context of the specific legal regime established by the Rome Statute, and it did not seem possible to extrapolate it to the topic before the Commission, which had a general scope and should be applicable to any State with respect to whose criminal jurisdiction a question of immunity might arise. | 必须在《罗马规约》确立的具体法律制度背景下理解该判决，而且似乎不可能将其推及委员会审议的本专题，本专题具有一般范围，应适用于其刑事管辖权可能出现豁免问题的任何国家。 |
| 68. Nevertheless, the Special Rapporteur considered that it did not seem reasonable for the Commission to ignore the existence of international criminal tribunals when considering an issue that bore a certain relationship to those tribunals. | 68. 然而，特别报告员认为，委员会在审议与国际刑事法庭有一定关系的问题时，忽视这些法庭的存在似乎是不合理的。 |
| While the topic was limited in scope to immunity from foreign criminal jurisdiction, a number of both members of the Commission and States had stated that the ongoing work of the Commission should not ignore the achievements of the international community in the field of international criminal law and that its work should neither alter nor damage the substantive and institutional norms of international criminal law. | 虽然本专题的范围仅限于外国刑事管辖豁免，但一些委员会委员和国家都表示，委员会正在开展的工作不应忽视国际社会在国际刑法领域取得的成就，其工作不应改变或损害国际刑法的实质性和体制性规范。 |
| 69. Draft article 18, proposed for the consideration of the Commission, responded thereto. | 69. 提交委员会审议的第18条草案 对此作出了回答。 |
| It was formulated as a without prejudice clause that would safeguard both the separation and the independence of the regimes applicable to immunity before national criminal courts and international criminal tribunals and preserve the special norms that govern the functioning of international criminal tribunals. | 它是一项不妨碍条款，将保障适用于国家刑事法院和国际刑事法庭的豁免制度的分离和独立性，并维护国际刑事法庭运作的特殊规范。 |
| The Special Rapporteur also noted similarity between draft article 18 and draft article 1, paragraph 2, as without prejudice clauses and proposed that the former might be incorporated as paragraph 3 of draft article 1. | 特别报告员还注意到第18条草案和第1条草案第2款作为不妨碍条款的相似之处，并建议将前者作为第1条草案第3款纳入。 |
| 70. Turning to the question of the settlement of disputes, the Special Rapporteur noted, as indicated in the eighth report, that the procedural provisions proposed in the sixth and seventh reports were intended to help build trust between the State of the official and the forum State, thereby facilitating the settlement of disputes that could arise in the process of determining and applying immunity. | 70. 关于争端解决问题，特别报告员指出，如第八次报告所述，第六次和第七次报告提出的程序性规定旨在帮助官员所属国和法院地国之间建立信任，从而促进解决在确定和适用豁免过程中可能出现的争端。 |
| Nevertheless, it remained possible that a divergence of legal positions between the States involved could give rise to a dispute that could only be resolved through the peaceful means applicable in contemporary international law. | 尽管如此，所涉国家之间法律立场的不同仍有可能导致只能通过当代国际法中适用的和平手段来解决的争端。 |
| In the opinion of the Special Rapporteur, it was therefore necessary to include a specific provision on the settlement of disputes in the present draft articles. | 因此，特别报告员认为，有必要在本条款草案中列入一项关于解决争端的具体规定。 |
| 71. It was clear that any dispute that might arise between the forum State and the State of the official could be submitted to a dispute settlement mechanism accepted by States, as had indeed happened in practice. | 71. 显然，法院地国和官员所属国之间可能产生的任何争端均可提交各国接受的争端解决机制，这在实践中也确实发生过。 |
| However, those traditional dispute resolution mechanisms had often functioned in an ex post facto manner, operating as a last resort for the restoration of international lawfulness. | 但这些传统的争端解决机制往往以事后方式运作，作为恢复国际合法性的最后手段。 |
| They had not offered States the opportunity to resolve the controversy at an early stage, avoiding a fait accompli that would be difficult to reverse later. | 它们没有为各国在早期解决争议、避免造成今后难以扭转的既成事实提供机会。 |
| 72. The consultation mechanism proposed in draft article 15 and the information exchange system provided for in draft article 13 (renumbered as draft article 12) were both intended to facilitate the early resolution of disputes. | 72. 第15条草案中提出的协商机制和第13条草案(重新编号为第12条草案)规定的信息交流系统都是为了促进争端早日解决。 |
| However, in case neither worked, it could also be appropriate to establish a mechanism to submit the dispute to a neutral and impartial third party. | 但如果两者均不起作用，也可以建立一个机制，将争端提交给中立和公正的第三方。 |
| The Special Rapporteur explained that, to be useful, the mechanism should be structured around two basic elements: linking the submission to third-party dispute settlement to the suspension of the exercise of criminal jurisdiction by the forum State; | 特别报告员解释说，该机制要发挥作用，应围绕两个基本要素构建：一是将提交第三方解决争端与法院地国暂停行使刑事管辖权联系起来； |
| and the binding effect of the decision taken by the third party. | 二是第三方所作决定具有约束力。 |
| 73. The proposal submitted to the Commission opted for arbitration or the International Court of Justice to avoid the long negotiation process necessary to establish an ad hoc body. | 73. 提交委员会的建议选择了仲裁或国际法院，以避免设立特设机构所需的漫长谈判过程。 |
| It was considered that both the mechanisms and their procedural rules were well known to States. | 据认为，这两种机制及其程序规则为各国所熟知。 |
| The status of the International Court of Justice as a common court of international law would also make the Court particularly suitable to rule on the complex questions that might arise in cases relating to immunity from foreign criminal jurisdiction. | 国际法院作为国际法普通法院的地位也将使该法院特别适合就外国刑事管辖豁免案件中可能出现的复杂问题作出裁决。 |
| 74. Based on those considerations, the proposed draft article 17 submitted to the Commission for its consideration established a system for the settlement of disputes divided into three consecutive phases: consultations, negotiations (both understood as mandatory mechanisms), and recourse to arbitration or the International Court of Justice (as alternative mechanisms of a voluntary nature). | 74. 基于这些考虑，提交委员会审议的拟议第17条草案 建立了一个分为三个连续阶段的争端解决制度：协商、谈判(均作强制性机制理解)和诉诸仲裁或国际法院(作为自愿性质的替代机制)。 |
| That model, which would be subject to the general rules on dispute settlement in force in contemporary international law, would give States a useful instrument for the defence of their respective rights and interests, avoiding situations of fait accompli. | 这一模式受当代国际法中现行的争端解决一般规则的约束，将为各国提供一个维护各自权益的有用工具，避免造成既成事实。 |
| 75. The Special Rapporteur noted that the Commission had included provisions on the settlement of disputes in much of its recent work, including in projects that did not follow the traditional model of draft articles, for example the work on peremptory norms of general international law (jus cogens). | 75. 特别报告员指出，委员会在最近的很多工作中都纳入了关于争端解决的规定，包括在不遵循条款草案传统模式的项目，例如关于一般国际法强制性规范(强行法)的工作中。 |
| However, she acknowledged that dispute settlement mechanisms were especially linked to instruments of a normative nature and that the Commission had not yet decided whether it would recommend to the General Assembly that the draft articles become a treaty. | 但她承认，争端解决机制与规范性文书特别相关，委员会尚未决定是否向联大建议使本条款草案成为一项条约。 |
| Even if not, draft article 17 would be fully justified in the context of Part Four of the draft articles, which was dedicated to procedural provisions and safeguards. | 即使不成为一项条约，第17条草案从专门讨论程序性规定和保障的条款草案第四部分来看也是完全合理的。 |
| 76. Concerning good practices, the Special Rapporteur recalled that, in the seventh report, she had raised the possibility of incorporating into the draft articles some references to good practices, the adoption of which could be recommended to States. | 76. 关于良好做法，特别报告员回顾说，在第七次报告中，她提出了在条款草案中提到一些可推荐各国采纳的良好做法的可能性。 |
| The practices included, in particular, a high-level national authority taking the decisions regarding the determination and application of immunity and States drafting manuals or guides for the use of State bodies involved in the process of determining and applying immunity. | 这些做法特别包括由一个高级别国家当局就豁免的确定和适用作出决定，以及各国起草手册或指南，供参与确定和适用豁免过程的国家机构使用。 |
| The Special Rapporteur explained that that approach was due to the finding that, in a number of cases, the competent State authorities were not familiar with the special problems raised by immunity in international law, its relationship with the fundamental principles of international law, or the influence that decisions on the immunity of a foreign State official might have on the international relations of the forum State. | 特别报告员解释说，提出这种办法是因为据发现，在一些情况下，国家主管当局不熟悉国际法中的豁免引起的特殊问题、豁免与国际法基本原则的关系以及有关外国官员豁免的决定可能对法院地国的国际关系产生的影响。 |
| 77. In the debate in the Commission at its seventy-first session, several members had addressed the issue of good practices, and the Special Rapporteur recalled that the opinions expressed differed widely. | 77. 在委员会第七十一届会议的辩论中，一些委员谈到了良好做法问题，特别报告员回顾说，所表达的意见差别很大。 |
| One proposal had been to transform Part Four of the draft articles into an annex that could be recommended to States as good practices. | 一种提议是将条款草案第四部分改为一个附件，作为良好做法向各国推荐。 |
| The Special Rapporteur did not consider that form appropriate. | 特别报告员认为这种形式不合适。 |
| Other members had expressed the view that the inclusion of good practices in the draft articles would not be useful. | 另一些委员认为，将良好做法纳入条款草案无益。 |
| A third group had considered that, while the inclusion of good practices could be useful, it would take a long time to be drafted and would delay the completion of the work of the Commission on the topic. | 第三组委员认为，虽然纳入良好做法可能有用，但起草需要很长时间，会使委员会推迟完成此专题的工作。 |
| 78. The Special Rapporteur also noted that only one State had replied to the request in the report of the Commission on the work of its seventy-first session for information “on the existence of manuals, guidelines, protocols or operational instructions addressed to State officials and bodies that are competent to take any decision that may affect foreign officials and their immunity from criminal jurisdiction in the territory of the forum State. | 78. 特别报告员还指出，委员会第七十一届会议工作报告请各国提供资料，说明“是否面向有权做出可能会影响外国官员及其在法院地国领土内刑事管辖豁免的任何决定的国家官员和机构，发过有关手册、指南、规程或业务指示。 |
| ” The reply of that State had been that it had no such guide. | ” 只有一个国家对此作了答复，说没有这种指南。 |
| 79. In view of the considerations expressed, the Special Rapporteur explained that the eighth report contained no specific proposal on recommended good practices. | 79. 鉴于所表达的各种考虑，特别报告员解释说，第八次报告没有就推荐的良好做法提出具体建议。 |
| This did not, however, prevent the practices she had identified from being included in the draft articles, either in Part Four, or in the general commentary. | 但这并不妨碍将她指出的那些做法纳入条款草案，无论是在第四部分，还是在一般性评注中。 |
| 2. Summary of the debate | 2. 辩论摘要 |
| (a) General comments | (a) 一般性评论 |
| 80. Members commended the Special Rapporteur for her extensive work on the eighth report, which they considered provided a clear, well-researched, succinct and comprehensive treatment of the questions of the relationship between the topic and international criminal jurisdiction, the possibility of adding a dispute settlement clause and recommended good practices. | 80. 委员们赞扬特别报告员就第八次报告所做的广泛工作，认为该报告在充分研究的基础上对本专题与国际刑事管辖权之间的关系、增加一项争端解决条款的可能性和推荐的良好做法等问题进行了清晰、简洁和全面的处理。 |
| Members expressed appreciation for her organization of several rounds of informal consultations, both before and during the session. | 委员们对她在会议之前和会议期间组织的几轮非正式磋商表示赞赏。 |
| It was noted that the informal consultations had enabled the Drafting Committee to progress in its work at the current session. | 据指出，这使起草委员会得以在本届会议上取得工作进展。 |
| 81. It was recalled that the Special Rapporteur had now completed her plan of work on the topic, including the additional questions dealt with in the eighth report. | 81. 有人回顾说，特别报告员现已完成其关于此专题的工作计划，包括第八次报告中涉及的其他问题。 |
| A number of members expressed the hope that the Commission would complete its first reading either at the present session or during the quinquennium. | 一些委员表示希望委员会在本届会议上或本五年期内完成一读。 |
| The importance of giving States an opportunity to comment on a full set of draft articles at the conclusion of the first reading was emphasized. | 强调了在一读结束时让各国有机会对整套条款草案发表评论的重要性。 |
| It was also noted that the topic had been on the current programme of work of the Commission since 2007, making it one of the longest-running topics before the Commission. | 还有人指出，本专题自2007年以来一直被列入委员会当前的工作方案，使之成为委员会审议时间最长的专题之一。 |
| It was considered that the time that the Commission had taken to work on the topic reflected its complexities and the controversial nature of some of its fundamental aspects. | 有人认为，委员会就本专题开展工作所花的时间反映了其复杂性及其一些基本方面的争议性。 |
| In that respect, it was noted that States had called upon the Commission to come together on a way forward on the topic. | 在这方面，有人指出，各国曾呼吁委员会就本专题的前进方向达成一致。 |
| In that connection, a number of members suggested that the Commission would need to overcome the divergent views of its members on draft article 7 before completing its first reading on the topic. | 对此，一些委员建议，委员会在完成关于本专题的一读之前，需要克服委员们对第7条草案的不同意见。 |
| The need to consider the question of inviolability and the outstanding definitions in draft article 2 (formerly draft article 3) was also recalled. | 还回顾了审议不可侵犯性问题和第2条草案(原第3条草案)中未确定的定义的必要性。 |
| (b) Specific comments | (b) 具体评论 |
| Draft article 18 | 第18条草案 |
| 82. Members agreed that any question of immunity before international criminal tribunals was outside the scope of the present topic. | 82. 委员们一致认为，国际刑事法庭的任何豁免问题都不属于本专题的范围。 |
| Several members noted that immunity before a particular international criminal tribunal was governed by the instrument establishing its respective legal regime. | 若干委员指出，特定国际刑事法庭的豁免受确立其自身法律制度的文书管辖。 |
| Nevertheless, a number of members considered it important for the Commission to address the relationship specifically in the draft articles. | 但一些委员认为，委员会应在条款草案中具体述及这种关系。 |
| It was noted that the two fields of law shared the important goals of promoting accountability and preventing impunity for the most serious crimes under international law. | 有人指出，这两个法律领域都有促进问责和防止国际法规定的最严重罪行有罪不罚的重要目标。 |
| The point was made that international criminal courts must often rely on States to exercise their jurisdiction. | 有人指出，国际性刑事法院行使管辖权往往必须依赖国家。 |
| Several members expressed the importance of avoiding casting a shadow on the interpretation and application of the substantive and institutional norms of international criminal law. | 一些委员表示，应避免给国际刑法的实质性和体制性规范的解释和适用蒙上阴影。 |
| In particular, the importance of the obligation of States parties to the Rome Statute to cooperate with the International Criminal Court and the cooperation obligations of States under Security Council resolutions 955 (1994) and 827 (1993) was recalled. | 特别回顾了《罗马规约》缔约国与国际刑事法院合作的义务以及各国根据安全理事会第955(1994)号和第827(1993)号决议承担的合作义务的重要性。 |
| It was also noted by some members that, in its past practice, the Security Council, acting under Chapter VII of the Charter of the United Nations, had created horizontal obligations for States to assist in criminal investigations by other States. | 还有一些委员指出，在过去的实践中，安全理事会根据《联合国宪章》第七章采取行动，为各国规定了协助他国进行刑事调查的横向义务。 |
| However, a number of members also emphasized the importance that the draft article be written in a way that would apply equally to States parties and non-parties to the Rome Statute of the International Criminal Court. | 但一些委员也强调，条款草案的编写方式必须使之平等适用于《国际刑事法院罗马规约》的缔约国和非缔约国。 |
| 83. Several members supported the inclusion of draft article 18, sharing the view of the Special Rapporteur that a without prejudice clause would be useful to address the relationship of the draft articles with the rules governing the functioning of international criminal tribunals. | 83. 一些委员支持列入第18条草案，并赞同特别报告员的观点，即不妨碍条款将有助于处理条款草案与国际刑事法庭运作规则之间的关系。 |
| It was considered that the draft articles made clear that they neither applied to nor addressed the autonomous regimes of international criminal tribunals. | 有人认为，本套条款草案表明其既不适用于、也不涉及国际刑事法庭的自主制度。 |
| It was suggested that draft article 18 would clarify to States that the draft articles did not impact any other obligations that States could have previously accepted or undertaken. | 有人建议第18条草案向各国明确，本套条款草案不影响各国以前可能接受或承担的任何其他义务。 |
| It was also noted that the Commission had frequently used without prejudice clauses in its previous work, and that they had served to delimit the scope of a topic rather than create hierarchical relationships. | 还有人指出，委员会在以前的工作中经常使用不妨碍条款，这些条款是为了界定专题的范围，而不是建立等级关系。 |
| 84. A number of other members opposed the adoption of draft article 18. | 84. 其他一些委员反对通过第18条草案。 |
| The view was expressed that the potential overlap between national and international jurisdictions was not sufficient to create a relationship between them. | 有人认为，国家管辖权和国际管辖权之间可能的重叠不足以在二者之间建立关系。 |
| Some members considered that the relationship between the topic and international criminal tribunals had been made clear in draft article 1, paragraph 1, and in the commentary. | 一些委员认为，此专题与国际刑事法庭之间的关系已在第1条草案第1款和评注中阐明。 |
| A number of members also doubted that the draft articles, if adopted without draft article 18, could undermine developments in international criminal law. | 一些委员还怀疑，本套条款草案如在没有第18条草案的情况下获得通过，会破坏国际刑法的发展。 |
| Concern was expressed that a without prejudice clause could be interpreted as creating a hierarchical relationship between the norms governing international criminal tribunals and the law of immunity of State officials from national courts. | 有人表示关切说，不妨碍条款可能被解释为在国际刑事法庭规范和关于国家官员在国内法院豁免的法律之间建立等级关系。 |
| It was also noted that to give precedence to the jurisdiction of the International Criminal Court over the jurisdictions of national courts would be contrary to the principle of complementarity. | 还有人指出，使国际刑事法院的管辖权优先于国内法院的管辖权，将有违补充性原则。 |
| It was emphasized that a provision on the relationship between the topic and international criminal tribunals should not create an exception to immunity that did not exist under customary international law. | 有人强调，关于此专题与国际刑事法庭之间关系的规定不应确立习惯国际法中不存在的豁免例外。 |
| A number of members emphasized that, while States could agree in their relations with each other not to recognize immunities, those States could not extend those rules to other States. | 一些委员强调，虽然各国可以在其相互关系中商定不承认豁免，但不能将这些规则扩大到其他国家。 |
| With respect to authorizations by the Security Council, the need for close attention to the text of such authorizations to determine their content was recalled. | 关于安全理事会的授权，有人回顾需要密切注意这种授权的案文，以确定其内容。 |
| It was noted that previous instruments relating to national jurisdiction over international crimes, including the draft articles on prevention and punishment of crimes against humanity and the International Convention for the Protection of All Persons from Enforced Disappearance, did not contain similar without prejudice clauses. | 有人指出，以前涉及国家对国际罪行管辖权的文书，包括防止及惩治危害人类罪条款草案和《保护所有人免遭强迫失踪国际公约》，并不包含类似的不妨碍条款。 |
| Additionally, a number of members suggested that the complexities of the consideration of draft article 18 could cause unnecessary delays to the completion of the first reading on the topic. | 此外，一些委员认为，审议第18条草案的复杂性可能会对完成本专题的一读造成不必要的延误。 |
| 85. Several members addressed the judgment of the Appeals Chamber of the International Criminal Court in the Jordan Referral re Al-Bashir case. | 85. 有几位委员提到国际刑事法院上诉分庭对约旦移交巴希尔案的判决。 |
| Some members noted that the judgment had been badly reasoned and controversial. | 一些委员指出，该判决不合理，并存在争议。 |
| Accordingly, it was suggested by these members that it was important that a without prejudice clause should not be drafted in such a way as to endorse the judgment, adding that no link should be made between the judgment and draft article 18 in the commentary. | 因此，这些委员认为不妨碍条款的措辞不应对该判决表示认可，并指出，不应在评注中将该判决与第18条草案联系起来。 |
| On the contrary, some members did not agree with this characterization. | 但一些委员不同意上述说法。 |
| A view was expressed that it was not for the Commission to sit in judgement over the Appeals Chamber of the International Criminal Court in the Jordan Referral re Al-Bashir case ruling in relation to a legal matter that the Chamber solely had the statutory competence to address. | 有一种观点认为，委员会不应对国际刑事法院上诉分庭在约旦移交巴希尔案中的判决作出评价，该判决涉及上诉分庭完全有法定权限处理的法律事项。 |
| In any event, members generally agreed that the Commission does not need to and should not discuss the judgment in its work on the present topic. | 无论如何，委员们普遍认为，委员会不需要也不应该在关于本专题的工作中讨论这一判决。 |
| 86. With respect to the text of draft article 18, several specific proposals were made. | 86. 关于第18条草案的案文，提出了一些具体建议。 |
| To accommodate the existence of hybrid tribunals, which were neither entirely national nor entirely international in character, several members supported a proposal to refer to “internationalized criminal tribunals” instead of “international criminal tribunals”. | 为顾及既非完全国内性质也非完全国际性质的混合法庭的存在，一些委员支持关于提及“国际化刑事法庭”而不是“国际刑事法庭”的建议。 |
| It was also proposed the reference to “the rules governing … international criminal tribunals” be supplemented with “and practices”, drawing on the texts of savings clauses in the Vienna Convention on Diplomatic Relations and the Vienna Convention on Consular Relations. | 还有人建议借鉴《维也纳外交关系公约》和《维也纳领事关系公约》 中的保留条款案文，在“国际刑事法庭…所遵循的规则”中加上“和惯例”等字。 |
| Support was also voiced for an explicit reference to obligations resulting from decisions of the Security Council. | 还有人表示支持明确提及安全理事会决定所产生的义务。 |
| Some members expressed concerns that the scope of the rules covered by draft article 18 was too broad or otherwise unclear. | 一些委员对第18条草案所涵盖的规则的范围过于宽泛或不明确表示关切。 |
| It was noted that the without prejudice clause proposed in draft article 18 had a larger scope than the relevant commentary to draft article 1, as the former referred to the “functioning” of international criminal tribunals and the latter referred to immunities before them. | 有人指出，第18条草案中提出的不妨碍条款比第1条草案相关评注的范围更大，因为前者提及的是国际刑事法庭的“运作”，后者提及的则是这些法庭的豁免。 |
| A proposal was made to refine the text to read: “[t]he present draft articles are without prejudice to the applicability of immunity before international criminal tribunals under the relevant constituent instruments establishing such international criminal tribunals. | 有一项建议是完善案文，将其改为：“本条款草案不妨碍根据设立国际刑事法庭的相关组成文书，在此类国际刑事法庭适用豁免。 |
| ” Another proposal was to make reference to States’ pre-existing obligations under international law. | ”另一项建议是提及国际法规定的国家既有义务。 |
| Other members proposed that “jurisdiction” would be the appropriate term, considering that immunities did not exist before international criminal tribunals. | 其他委员提出，“管辖权”是适当的用语，因为国际刑事法庭不存在豁免。 |
| In that regard, it was highlighted that the existence of multiple such jurisdictions should be accommodated in the text. | 在这方面，有人强调，案文中应考虑到多个此类管辖权的存在。 |
| It was also suggested that a clause providing that the draft articles “do not deal with” the question of international criminal tribunals would be preferable. | 还有人建议，最好有一项条款，规定本套条款草案“不涉及”国际刑事法庭的问题。 |
| 87. Regarding the placement of the proposed text, several members expressed their preference that the provision be included as a new paragraph 3 of draft article 1. | 87. 关于拟议案文的位置，若干委员表示，他们倾向于将该项规定作为第1条草案新的第3款列入。 |
| That would, in the view of some members, highlight the relationship between the without prejudice clause already contained in draft article 1, paragraph 2, and draft article 18. | 一些委员认为，这将突出第1条草案第2款已经包含的不妨碍条款与第18条草案之间的关系。 |
| Other members considered that either placement for the provision would be acceptable. | 其他委员认为两种位置均可接受。 |
| It was emphasized that, in any event, the two provisions would have to be read together. | 有人强调，无论如何，这两项规定须一并阅读。 |
| 88. As the Special Rapporteur had not proposed a title for draft article 18, it was suggested that “Relationship with internationalized tribunals” could be adopted if the provision was retained as a standalone draft article. | 88. 由于特别报告员没有提出第18条草案的标题，有人建议，如果该项规定作为一个单独的条款草案保留，可以采用“与国际化法庭的关系”这一标题。 |
| Other suggested titles included “Without prejudice”, “Relationship to specialized treaty regimes”, “Cases outside the scope of the present draft articles” and “Relationship between the present draft articles and instruments establishing international criminal tribunals.” | 其他建议的标题包括“不妨碍”、“与专门条约制度的关系”、“本条款草案范围以外的情况”和“本条款草案与设立国际刑事法庭的文书之间的关系”等。 |
| Draft article 17 (Settlement of disputes) | 第17条草案(争端的解决) |
| 89. Several members agreed with the inclusion of a draft article relating to the settlement of disputes. | 89. 一些委员同意列入一项关于争端解决的条款草案。 |
| It was noted that a dispute resolution clause could be seen as a final procedural safeguard, building on draft articles 8 to 16. | 有人指出，争端解决条款可视为最后的程序性保障，并以第8至16条草案为基础。 |
| The procedural mechanisms proposed in the draft articles could be seen as a whole, intended to finely balance the interests of the forum State and the State of the official. | 条款草案中提出的程序机制可以看作是一个整体，旨在很好地平衡法院地国和官员所属国的利益。 |
| It was noted that the inclusion of such a clause might be welcomed by States, some of which had been contemplating the establishment of an international mechanism to resolve disputes relating to immunity of State officials. | 有人指出，列入这一条款可能会受到各国的欢迎，有些国家一直在考虑建立一个国际机制来解决与国家官员豁免有关的争端。 |
| Furthermore, on a practical level, several members noted that the inclusion of a dispute settlement clause on first reading would invite potentially useful comments from States. | 此外，在实际层面上，一些委员指出，在一读时列入一项争端解决条款会引发各国提出可能有益的评论。 |
| However, the view was also expressed that a dispute resolution clause would be an inappropriate addition to the draft articles in general. | 但也有人认为，不适合在整套条款草案中添加争端解决条款。 |
| In particular, it was suggested that States might be hesitant to commit to a mechanism that could be seen as a restriction of their respective exercise of national criminal jurisdiction. | 特别是，有人表示，各国可能不愿建立一个可被视为限制其行使国家刑事管辖权的机制。 |
| 90. A number of members expressed the view that a dispute settlement clause would only be relevant if the draft articles were intended to become a treaty. | 90. 一些委员认为，只有当条款草案意在成为一项条约时，争端解决条款才具有相关性。 |
| Some members considered that the inclusion of a dispute resolution clause did not depend on the nature of the final outcome of the work of the Commission. | 有些委员认为，列入争端解决条款并不取决于委员会最终工作结果的性质。 |
| It was pointed out that it could not yet be ruled out that the draft articles might become a treaty, and it was therefore suggested that a dispute resolution clause would be appropriate. | 有人指出，尚不能排除条款草案成为条约的可能性，因此认为争端解决条款是适当的。 |
| Several members saw a need for more clarity on the intended purpose of the provision, so as to determine its appropriate formulation. | 若干委员认为需要进一步明确该条款的预期目的，以确定其适当的措辞。 |
| In the view of some members, a typical compromissory clause would be more appropriate were the draft articles to become a treaty. | 一些委员认为，如果条款草案意在成为一项条约，一个典型的仲裁条款会更合适。 |
| If the draft articles were not intended to become a treaty, however, a more general clause regarding procedural recommendations would be appropriate. | 但如果条款草案无意成为一项条约，则关于程序性建议的更笼统的条款比较合适。 |
| 91. A number of members considered that provisions relating to dispute settlement adopted by the Commission in its recent work on other topics could serve as models for that provision. In particular, draft conclusion 21 of the draft conclusions on peremptory norms of general international law (jus cogens) and draft article 15 of the draft articles on prevention and punishment of crimes against humanity were cited: the former was noted as a potential model for procedural recommendations to States; | 91. 一些委员认为，委员会在最近的其他专题工作中通过的与争端解决有关的规定可以作为这项规定的范本，并特别提到关于一般国际法强制性规范(强行法)的结论草案 的结论21和防止及惩治危害人类罪条款草案 第15条：前者被认为是向各国提出程序性建议的一个可能的模式； |
| the latter as a good model of an effective compromissory clause. | 后者是有效的仲裁条款的良好范例。 |
| However, a number of members recommended the omission under the present draft articles of paragraphs 3 and 4 of draft article 15 of the draft articles on prevention and punishment of crimes against humanity, concerning reservations to dispute settlement. | 但一些委员建议在本套条款草案中忽略防止及惩治危害人类罪条款草案第15条草案第3款和第4款中涉及对争端解决的保留的内容。 |
| The view was also expressed that draft conclusion 21 would not be an appropriate model as the work of the Commission on peremptory norms of general international law (jus cogens) had not yet been finalized. | 还有人认为，结论草案21不是一个适当的模式，因为委员会关于一般国际法强制性规范(强行法)的工作尚未完成。 |
| It was also recalled that draft conclusion 21 had been motivated by the particular negotiating history of article 53 of the Vienna Convention on the Law of Treaties, which did not apply to the present topic. | 还有人回顾，拟订结论草案21的动机在于《维也纳条约法公约》 第53条的特殊谈判历史，这不适用于本专题。 |
| 92. Several members expressed views concerning the means of dispute settlement contained in draft article 17. | 92. 一些委员对第17条草案所载的争端解决手段表示了看法。 |
| It was noted that the draft article focuses on negotiation, arbitration and judicial settlement, without reference to the other means of peaceful settlement of disputes set forth in Article 33 of the Charter of the United Nations. | 有人指出，该条草案侧重于谈判、仲裁和司法解决，而没有提及《联合国宪章》第三十三条规定的和平解决争端的其他手段。 |
| A number of members supported adding additional means to the draft article. | 一些委员支持在该条草案中增加更多的手段。 |
| It was suggested that expanding the choice of means would enable closer alignment of the provision with State practice. | 有人认为，扩大手段选择范围将使这项规定与国家实践更加一致。 |
| Part XV of the United Nations Convention on the Law of the Sea was cited as a potential model. | 《联合国海洋法公约》 第十五部分被认为是一个可能的模式。 |
| 93. The importance was also emphasized of highlighting the obligation of all States under Articles 2, paragraph 3, and 33 of the Charter to settle any differences between them by peaceful means. | 93. 还有人强调，应着重指出所有国家根据《宪章》第二条第三款和第三十三条有义务通过和平手段解决它们之间的任何分歧。 |
| A number of members highlighted the importance of the freedom of States to choose the means of dispute resolution. | 一些委员强调了各国自由选择争端解决手段的重要性。 |
| It was suggested that either an additional paragraph making express reference to the principle could be incorporated in the draft article or that the point could be explained in the commentary. | 有人建议，要么在条款草案中增加一个明确提及该原则的款项，要么在评注中解释这一点。 |
| It was also noted that, rather than being contrary to the principle of free choice of means, draft article 17 could be seen as an exercise of such freedom. | 还有人指出，第17条草案并不违背自由选择手段的原则，而是可以视为对这种自由的行使。 |
| 94. With respect to paragraph 1, some members requested further clarification about the distinction between consultations and negotiations. | 94. 关于第1款，一些委员要求进一步澄清协商和谈判之间的区别。 |
| It was proposed that paragraph 1 could be amended to add “through any other means of their own choosing” to “negotiations”. | 有人提议，可以修改该款，在“谈判”之前加上“通过它们自己选择的任何其他手段所进行的”。 |
| It was suggested to change “as soon as possible” to “as soon as practicable”, to allow States an appropriate degree of flexibility. | 有人建议将“尽快”改为“在可行的情况下尽快”，以便各国有适当的灵活性。 |
| Alternatively, the addition of time limits for consultations and negotiations was proposed, in order to facilitate the resolution of disputes. | 另外，有人提议添加协商和谈判的时限，以便利争端的解决。 |
| 95. Regarding paragraph 2, the view was expressed that it was not clear whether recourse to judicial or arbitral dispute resolution was intended to be compulsory. | 95. 关于第2款，有人认为，将争端提交司法或仲裁解决是否是强制性的这一点不清楚。 |
| Some members supported using compulsory language, making draft article 17 a compromissory clause. | 一些委员支持使用强制性措辞，使第17条草案成为一项仲裁条款。 |
| However, others preferred the current language. | 但其他委员更喜欢当前的措辞。 |
| It was suggested that, if the provision were to serve as a reminder to States, it should be of a general nature. | 有人建议，如果这项规定是为了提醒各国，则应当是一般性的。 |
| Thus, some members expressed the view that including a time limit of either 6 or 12 months would only make sense if the provision were made compulsory. | 因此，一些委员认为，只有在该项规定是强制性的情况下，列入6个月或12个月的时限才有意义。 |
| It was also stated that, in view of the sensitivities involved in disputes regarding immunity, even 6 months might be too long a delay. | 还有人指出，鉴于豁免争端的敏感性，即使是6个月也可能拖延太久。 |
| Clarification was requested as to whether a dispute could be referred to judicial or arbitral settlement before the expiration of the 6- or 12-month period, for example if negotiations had no reasonable prospect of success. | 有人要求澄清，在例如谈判没有合理的成功前景等情况下，可否在6个月或12个月的期限届满之前将争端提交司法或仲裁解决。 |
| A number of members suggested reference to additional judicial forums, including, where appropriate, the International Tribunal for the Law of the Sea and an eventual African Court of Justice and Human Rights. | 一些委员建议提及更多司法机构，酌情包括国际海洋法法庭和最终的非洲司法和人权法院。 |
| It was also proposed to add conciliation, mediation and the use of good offices to the list of available means. | 还有人提议在所列的可用手段中增加调解、调停和斡旋。 |
| A number of members proposed that draft article 17 should clarify the consequences if a State did not accept another State’s invitation to dispute settlement. | 一些委员提议，第17条草案应澄清一国不接受另一国发出的争端解决邀请的后果。 |
| Several members also expressed the view that the creation of a new standing body to deal with disputes regarding immunity would not be advisable. | 一些委员还认为，设立一个新的常设机构来处理豁免争端是不可取的。 |
| 96. A number of members supported paragraph 3 of draft article 17. | 96. 一些委员支持第17条草案第3款。 |
| However, some members expressed doubts regarding the provision. | 但有些委员对这项规定表示怀疑。 |
| It was noted that existing treaties relating to immunities did not provide for the suspension of domestic proceedings pending inter-State dispute resolution. | 有人指出，与豁免有关的现有条约没有规定在国家间争端解决之前暂停国内程序。 |
| A view was expressed that the suspension of national proceedings pending international dispute settlement would be particularly deferential to the State of the official. | 有一种观点是，在国际争端解决之前暂停国内程序将是对官员所属国的极大尊重。 |
| Some members considered that the draft article failed to address the situation of the State official whose immunity was being examined. | 一些委员认为，该条款草案没有述及豁免所涉国家官员的情况。 |
| It was proposed that the draft article could instead proscribe the further development of the criminal procedure, leaving open the question of continued detention. | 有人提议，该条草案可以禁止刑事程序的进一步进行，对继续拘留的问题不作定论。 |
| Several members suggested that the question of suspension should be treated on a case-by-case basis by the court or arbitral tribunal in the context of provisional measures. | 一些委员建议，法院或仲裁庭应在临时措施范围内逐案处理暂停问题。 |
| It was noted that, in past cases where claims relating to the immunity of State officials had been raised before the International Court of Justice, the Court had not indicated provisional measures ordering the suspension of domestic proceedings. | 有人指出，在过去向国际法院提出国家官员豁免相关申诉的案件中，该法院没有指示采取临时措施，下令暂停国内程序。 |
| It was also noted that it would be necessary to ensure that domestic legal systems had provisions to give effect to any suspension. | 另外还指出，有必要确保国内法律制度中有使任何暂停生效的规定。 |
| Additionally, a number of members suggested that the draft article should specify the effect for the domestic proceedings of an eventual decision of the International Court of Justice or arbitral tribunal. | 此外，一些委员建议，该条草案应具体说明国际法院或仲裁法庭的最终裁决对国内程序的影响。 |
| It was also suggested that the dispute resolution clause might establish a form of preliminary reference procedure, to allow national courts to seek guidance from a third-party dispute settlement mechanism. | 还有人建议，争端解决条款可以确立一种初步移交程序，允许国内法院寻求第三方争端解决机制的指导。 |
| 97. It was noted that there was a risk that draft article 17 as proposed could interfere with existing compromissory clauses. | 97. 有人指出，拟议的第17条草案有可能妨碍现有的仲裁条款。 |
| The addition of a without prejudice clause to address that was proposed. | 建议增加一个不妨碍条款来解决这一问题。 |
| 98. With respect to the title of the draft article, it was suggested that “procedural requirements” might be a more appropriate title for the provision, because “settlement of disputes” suggested the creation of a binding obligation on States. | 98. 关于该条草案的标题，有人提出，以“程序性要求”作为该条款的标题可能更合适，因为“争端的解决”意味着对各国规定有约束力的义务。 |
| Recommended good practices | 推荐的良好做法 |
| 99. The members generally agreed with the Special Rapporteur that there was no need to formulate new proposals with respect to recommended good practices. | 99. 委员们普遍同意特别报告员的意见，即没有必要就推荐的良好做法提出新的建议。 |
| While a number of members supported the idea to reflect good practices in principle, some considered that such inclusion would not be consonant with the form of the draft articles. | 虽然一些委员原则上支持反映良好做法的想法，但一些委员认为，列入这些建议与本套条款草案的形式不符。 |
| Other members also considered that to work extensively on recommended good practices would unnecessarily delay the conclusion of the Commission’s first reading on the topic. | 其他委员还认为，就推荐的良好做法开展广泛工作，会不必要地导致委员会推迟完成对本专题的一读。 |
| The potential difficulty of developing a set of good practices that would apply easily to diverse national legal systems was also noted. | 还指出了制定一套易于适用于不同国家法律制度的良好做法所面临的潜在困难。 |
| Several members expressed their support for the proposal of the Special Rapporteur to address the good practices that could already be identified in the context of either those draft articles already before the Commission or, more likely, in the commentaries. | 若干委员表示支持特别报告员的提议，即述及在提交委员会的条款草案中，或者更有可能的是，在评注中已经指出的良好做法。 |
| It was also suggested that States’ recommended good practices could be inferred from their comments, so no direct mention of the practices would be necessary in the work of the Commission. | 还有人建议，可以从各国的评论中推断出它们所推荐的良好做法，因此没有必要在委员会的工作中直接提及这些做法。 |
| 3. Concluding remarks of the Special Rapporteur | 3. 特别报告员的总结 |
| 100. The Special Rapporteur expressed her appreciation to the members for their comments on the eighth report. | 100. 特别报告员感谢委员们对第八次报告的评论。 |
| In her view, the comments, observations, criticisms and suggestions of members would contribute to the advancement of the work of the Commission. | 她认为，委员们的评论、意见、批评和建议将有助于推进委员会的工作。 |
| 101. Responding first to the concerns expressed about the development of the work on the topic, the Special Rapporteur noted that several substantive issues were pending before the Commission that would require an additional effort to successfully address before adopting the draft articles on first reading. | 101. 特别报告员首先回应了对本专题工作进展情况的关切，指出委员会尚有几个实质性问题没有解决，需要进一步努力才能在一读通过条款草案之前成功解决。 |
| She noted that some members had mentioned draft article 7 on exceptions to immunity ratione materiae in that context. | 她注意到一些委员在这方面提到了关于属事豁免例外的第7条草案。 |
| She emphasized, however, that the Commission was making efficient progress in addressing a matter that gave rise to legal difficulties and political sensitivities. | 但她强调，委员会正在处理一个造成法律困难和政治敏感性的问题方面取得高效进展。 |
| That progress was due to a large degree to a workplan and a methodology that had received broad support in the Commission during the current and previous quinquennia. | 这一进展很大程度上归功于在现五年期和上一个五年期得到委员会广泛支持的工作计划和方法。 |
| She expressed her confidence that the Commission would be able to resolve the problems, which inevitably arise in the process of progressive development and codification of international law, in line with its characteristic spirit of collegiality. | 她相信委员会将能本着其特有的合议精神，解决国际法的逐渐发展和编纂过程中不可避免出现的问题。 |
| 102. With respect to the future outcome of the Commission’s work on the topic, the Special Rapporteur was of the view that the topic had been developed in the form of draft articles, whose purpose was to offer States a proposal on the general regulation of the topic, in accordance with the mandate of the Commission to promote the progressive development and codification of international law. | 102. 关于委员会本专题工作的未来成果，特别报告员认为，本专题一直是以条款草案的形式拟定的，其目的是根据委员会促进国际法逐渐发展和编纂的任务，就本专题的一般规则向各国提出建议。 |
| She saw no reason to change the format of the work of the Commission at the current stage, especially in the light of the normative dimension of the work, and expressed her belief that the Commission shared that opinion. | 她认为没有理由在现阶段改变委员会的工作形式，特别是考虑到工作的规范层面，并相信委员会同意这一观点。 |
| For that reason, the work of the Commission on the topic would take the form of draft articles, regardless of whether the Commission recommended on second reading that the General Assembly use them as the basis for a possible treaty. | 因此，委员会本专题的工作将采取条款草案的形式，无论委员会是否在二读时建议联大将其作为可能的条约的基础。 |
| In her view, the nature of the instrument being prepared and the potential recommendation to be made to the General Assembly on further treatment of the draft articles were two issues that should remain separate. | 她认为，正在编写的文书的性质和可能就条款草案的进一步处理向联大提出的建议是两个应当分开的问题。 |
| 103. With respect to draft article 18, the Special Rapporteur remarked that the statements of members, while revealing diverse opinions, reflected the importance of the issue. | 103. 关于第18条草案，特别报告员指出，委员们的发言虽然表达了不同的意见，但反映了这个问题的重要性。 |
| 104. Regarding the scope of the draft articles, the Special Rapporteur recalled that a number of members considered it unnecessary for the Commission to examine the relationship between the topic and international criminal tribunals, as the issue was outside the scope of the topic. | 104. 关于条款草案的范围，特别报告员回顾说，一些委员认为委员会没有必要审查本专题与国际刑事法庭之间的关系，因为这个问题超出了本专题的范围。 |
| However, she also noted that the majority of members had spoken in favour of examining the issue and retaining draft article 18. | 但她也注意到，大多数委员发言支持审查这一问题并保留第18条草案。 |
| The Special Rapporteur agreed with the latter approach and considered that it would be difficult to justify the purposeful exclusion of a reference to the autonomy of the regimes applicable to international criminal tribunals in the light of the evolution of international law. | 特别报告员同意后一种做法，并认为，鉴于国际法的演变，很难证明有意避免提及适用于国际刑事法庭的制度的自主性是合理的。 |
| That was especially so considering the number of cases in practice in which the issue of immunity from foreign criminal jurisdiction had been raised in connection with the same crimes that fell within the jurisdiction of international criminal tribunals. | 考虑到在实践中就国际刑事法庭管辖范围内的相同罪行提出外国刑事管辖豁免问题的案例数量之多，情况尤其如此。 |
| To acknowledge that connection and to formally declare the autonomy of the legal regimes applicable to such courts would not prejudice the scope of the topic and would allow the Commission to avoid entering into the debate on immunity before national criminal courts and international criminal tribunals. | 承认这种联系并正式宣布适用于此类法院的法律制度的自主性，不会影响本专题的范围，并将使委员会能够避免关于国内刑事法院和国际刑事法庭豁免的辩论。 |
| 105. Concerning the judgment of the International Criminal Court in the Jordan Referral re Al-Bashir case, the Special Rapporteur recalled that some members expressed opposition to draft article 18 because of concerns that it had a direct connection to the Court’s judgment and could be read as validation or support for it. | 105. 关于国际刑事法院在约旦移交巴希尔案中的判决，特别报告员回顾说，一些委员反对第18条草案，是因为担心该条草案与法院的判决直接相关，可能被解读为认可或支持该判决。 |
| The Special Rapporteur did not think such concerns were justified. | 特别报告员认为这种担心没有道理。 |
| While she had waited for the International Criminal Court to issue its judgment before addressing the question, she had always reserved the right to return to the question of the relationship between the topic and international criminal tribunals. | 虽然她在讨论这个问题前一直在等待国际刑事法院的判决，但她始终保留重新审视本专题与国际刑事法庭之间关系的权利。 |
| As she had already indicated in 2019, it was not necessary for the Commission to consider the judgment, as it was not relevant to the topic. | 正如她在2019年已经指出的那样，委员会没有必要审议该判决，因为它与本专题无关。 |
| For that reason, her reference to the judgment in the eighth report was limited to recalling the main conclusions of the judgment and explaining why it was irrelevant to the work of the Commission. | 因此，她在第八次报告中提到该判决，仅限于回顾其主要结论，并解释为什么它与委员会的工作无关。 |
| She reiterated her view that draft article 18 could not be viewed as validating, endorsing or supporting the judgment of the International Criminal Court and was confident that the Drafting Committee would take the concerns of members in mind when considering the draft article. | 她重申不能将第18条草案视为确认、认可或支持国际刑事法院的判决，并相信起草委员会在审议该条款草案时会考虑到委员们的关切。 |
| 106. Additionally, the Special Rapporteur noted that, while several members had seized upon the phrasing in the English translation of the eighth report the reception of the judgment “has not been kind”, in her view a preferable translation would have been “has been contentious”. | 106. 此外，特别报告员指出，虽然一些委员采用了第八次报告英文译文中的措辞，即对该判决的接受情况“并不友好”， 但她认为更好的翻译是“存在争议”。 |
| 107. On the question of the effect of the proposed without prejudice clause, the Special Rapporteur noted the view expressed that the text proposed for draft article 18 would amount to a recognition that the rules governing the functioning of international criminal tribunals were hierarchically superior to those governing the immunity of State officials from foreign criminal jurisdiction. | 107. 关于拟议的不妨碍条款的效力问题，特别报告员注意到有人认为，第18条草案的拟议案文相当于承认，关于国际刑事法庭运作的规则在等级上高于关于国家官员外国刑事管辖豁免的规则。 |
| The Special Rapporteur shared the view that the conventional norms governing an international criminal tribunal were generally only applicable to the States parties to the relevant convention, but disagreed that draft article 18 would in any way affect that principle. | 特别报告员同意关于国际刑事法庭的公约规范一般只适用于相关公约的缔约国这一观点，但不同意第18条草案会对该原则有任何影响。 |
| She recalled that the Commission had frequently used without prejudice clauses in its work and that the Commission had not understood such clauses to give rise to hierarchical relationships. | 她回顾说，委员会在工作中经常使用不妨碍条款，委员会认为这种条款不会产生等级关系。 |
| Rather, she agreed with the members who considered that draft article 18 merely separated different legal regimes whose validity and separate fields of application were intended to be preserved. | 相反，她同意一些委员的如下看法，即第18条草案只是将打算保持其有效性和不同适用领域的不同法律制度分开而已。 |
| 108. Concerning the placement of draft article 18, the Special Rapporteur noted that practically all of the members who supported the inclusion of draft article 18 were of the view that the provision would be best included as draft article 3, paragraph 1. | 108. 关于第18条草案的位置，特别报告员指出，几乎所有支持列入第18条草案的委员都认为，该条款最好作为第3条草案第1款列入。 |
| That placement was more appropriate because draft article 18 was closely related to the scope of the draft articles and could complement the without prejudice clause contained in draft article 1, paragraph 2. | 这种安排比较合适，因为第18条草案与本套条款草案的范围密切相关，可以补充第1条草案第2款所载的不妨碍条款。 |
| The Special Rapporteur expressed her intention to make appropriate proposals to the Drafting Committee in that regard. | 特别报告员表示，她打算就此向起草委员会提出适当的建议。 |
| 109. In response to specific drafting proposals made by members, the Special Rapporteur underscored in particular the suggestion to refer to “internationalized” rather than “international” criminal tribunals, but considered that the study of all such proposals would be more appropriately left to the Drafting Committee. | 109. 关于委员们提出的具体起草建议，特别报告员特别强调了提及“国际化”刑事法庭而不是“国际”刑事法庭的建议，但认为更合适的做法是将所有这些建议留给起草委员会研究。 |
| 110. With respect to draft article 17, the Special Rapporteur emphasized that the proposal to include a draft article dedicated to dispute settlement had received support from a majority of Commission members. | 110. 关于第17条草案，特别报告员强调，列入一项专门涉及争端解决的条款草案的提议得到了委员会大多数委员的支持。 |
| She also noted that some members had linked the inclusion of a draft article on dispute settlement to the idea that the final outcome of the work of the Commission would be a treaty. | 她还注意到，一些委员将列入争端解决条款草案与委员会工作的最终结果将是一项条约的想法联系起来。 |
| Others, however, had considered that a dispute settlement provision could also be understood as an extension of the procedural guarantees included in Part Four of the draft articles and that it would therefore be appropriate to include such a clause regardless of the final outcome of the work. | 但另一些委员认为，争端解决条款也可以理解为条款草案第四部分所包含的程序性保障的延伸，因此，无论工作的最终结果如何，列入这样一个条款都是适当的。 |
| Draft article 17 corresponded to the latter perspective, which also explained the placement of the provision directly after the other provisions proposed in Part Four. | 第17条草案与后一种观点相对应，这也解释了该条款直接放在第四部分其他拟议条款之后的原因。 |
| Nevertheless, the Special Rapporteur agreed that the final outcome of the work of the Commission could be relevant to the content of draft article 17. | 不过，特别报告员同意，委员会工作的最终结果可能与第17条草案的内容相关。 |
| A traditional compromissory clause could be more appropriate for a draft treaty, and a provision offering guidance to States on how to resolve a dispute would be more appropriate if the Commission did not intend to propose a treaty. | 传统的仲裁条款对条约草案而言可能更合适，如果委员会不打算提出条约，则指导各国如何解决争端的条款更合适。 |
| The Special Rapporteur had not intended for the draft article to become a compromissory clause but was open to discussing the observations and suggestions of members in the Drafting Committee. | 特别报告员不打算让该条草案成为一项仲裁条款，但愿意讨论起草委员会委员的意见和建议。 |
| She also recalled that, regardless of the final decision of the Commission on the nature of its work on the topic, it would be useful to include a dispute resolution clause at first reading to allow for feedback thereon from States. | 她还回顾说，无论委员会对本专题工作性质的最终决定如何，在一读时列入一项争端解决条款以便各国就此提出反馈意见都是有益的。 |
| 111. With respect to the means of dispute resolution included in draft article 17, the Special Rapporteur took note of proposals to include other means of dispute settlement or other judicial forums in the draft article. | 111. 关于第17条草案所载的争端解决手段，特别报告员注意到在该条草案中纳入其他争端解决手段或其他司法机构的提议。 |
| However, she considered that the provision was intended to provide a simple and useful model for dispute settlement. | 但她认为该条款旨在为解决争端提供一个简单有用的模式。 |
| While it was obvious that States could use any other means of dispute settlement, it would not add value to reiterate that list of choice of means in the provision. | 虽然各国显然可以使用任何其他争端解决手段，但在该条中重复这些可选择的手段没有什么意义。 |
| The Special Rapporteur was nevertheless open to the possibility of including other specific means that would be particularly useful for the purpose pursued in draft article 17. | 不过，特别报告员对于纳入对第17条草案的目的而言特别有用的其他具体手段的可能性持开放态度。 |
| She also considered it appropriate to limit the reference to judicial means to the International Court of Justice, in view of the general approach of the draft articles. | 鉴于本套条款草案的总体做法，她还认为宜将对司法手段的提及限于国际法院。 |
| With respect to the reference to arbitration, the Special Rapporteur explained that a general reference was appropriate to respect the principle of free choice of means, while it was obvious from the context that the reference pertained to inter-State arbitration. | 关于对仲裁的提及，特别报告员解释说，笼统地提到尊重自由选择手段的原则是适当的，而从上下文来看，所提的显然与国家间仲裁有关。 |
| The Special Rapporteur also took note of the view shared by members that it would not be useful to create a specialized body. | 特别报告员还注意到委员们认为，设立一个专门机构是没有用的。 |
| 112. Concerning the characteristics of the proposed dispute settlement mechanism and in response to a question raised in the debate, the Special Rapporteur explained that her proposal was structured in three phases: consultation, negotiation and judicial or arbitral settlement. | 112. 关于拟议争端解决机制的特点，特别报告员针对辩论中提出的一个问题解释说，她的提议分为三个阶段：协商、谈判和司法或仲裁解决。 |
| Noting that consultations and negotiations might overlap, she clarified that the two were distinguished by the level of formality and by the particular aim of negotiation to find a solution bilaterally. | 她注意到协商和谈判可能会重叠，澄清说二者的区别在于正式程度，而且谈判的特定目的是为了找到双边解决办法。 |
| The Special Rapporteur also noted the points raised by members relating to the suspension of the exercise of national jurisdiction should the States concerned decide to submit a dispute to arbitration or to the International Court of Justice. | 特别报告员还注意到委员们提出，如果有关国家决定将争端提交仲裁或国际法院，则应暂停行使国家管辖权。 |
| However, she explained that the provision was intended to serve as a safeguard for the State of the official against abusive or politically motivated prosecutions. | 但她解释说，该条款旨在为官员所属国提供保障，防止滥用权力的或出于政治动机的起诉。 |
| She noted that it would be necessary to take into account the need to guarantee an adequate balance between the protection of the interests of the forum State and those of the State of the official, in order to avoid a fait accompli that could deprive the forum State of the right to exercise criminal jurisdiction or the State of the official of immunity. | 她指出，需要考虑到确保在保护法院地国利益和官员所属国利益之间取得适当平衡的必要性，以免造成既成事实，剥夺法院地国的刑事管辖权或官员所属国的豁免权。 |
| With respect to the issues raised concerning the legal effect of the outcome of a dispute settlement mechanism in the legal order of the forum State, the Special Rapporteur expressed her view that the issue was important and should be considered by the Drafting Committee, along with the practical consequences that might arise from the optional nature of recourse to the International Court of Justice or to arbitration. | 关于所提出的争端解决机制的结果在法院地国法律秩序中的法律效力问题，特别报告员表示她认为这个问题很重要，应由起草委员会审议，同时也应审议诉诸国际法院或仲裁的任择性质可能产生的实际后果。 |
| 113. Regarding the question of good practices, the Special Rapporteur noted that the members had been practically unanimous in their support of her proposal not to include a provision on the question in the draft articles. | 113. 关于良好做法问题，特别报告员指出，委员们几乎一致支持她的提议，即不在本套条款草案中列入有关这个问题的条款。 |
| She indicated her intention, in line with the suggestion of some members, to include reference to the examples of good practices in the commentary that she would submit to the Commission. | 她表示，根据一些委员的建议，她打算在提交委员会的评注中提及良好做法的例子。 |
| C. Text of the draft articles on immunity of State officials from foreign criminal jurisdiction provisionally adopted so far by the Commission | C. 委员会迄今为止暂时通过的国家官员的外国刑事管辖豁免条款草案案文 |
| 1. Text of the draft articles | 1. 条款草案案文 |
| 114. The text of the draft articles provisionally adopted so far by the Commission is reproduced below. | 114. 委员会迄今为止暂时通过的条款草案案文载录如下。 |
| Immunity of State officials from foreign criminal jurisdiction | 国家官员的外国刑事管辖豁免 |
| Part One Introduction | 第一部分 导言 |
| Article 1 Scope of the present draft articles | 第1条 本条款草案的范围 |
| 1. The present draft articles apply to the immunity of State officials from the criminal jurisdiction of another State. | 1. 本条款草案适用于国家官员对另一国刑事管辖享有的豁免。 |
| 2. The present draft articles are without prejudice to the immunity from criminal jurisdiction enjoyed under special rules of international law, in particular by persons connected with diplomatic missions, consular posts, special missions, international organizations and military forces of a State. | 2. 本条款草案不妨碍依照国际法特别规则享有的刑事管辖豁免，特别是与外交使团、领馆、特别使团、国际组织和一国军事力量相关的人员所享有的刑事管辖豁免。 |
| Article 2 Definitions | 第2条 定义 |
| For the purposes of the present draft articles: | 为本条款草案的目的： |
| (e) “State official” means any individual who represents the State or who exercises State functions; | (e) “国家官员”是指代表国家或行使国家职能的任何个人； |
| (f) an “act performed in an official capacity” means any act performed by a State official in the exercise of State authority; | (f) “以官方身份实施的行为”指国家官员在行使国家权力时实施的任何行为； |
| Part Two Immunity ratione personae | 第二部分 属人豁免 |
| Article 3 Persons enjoying immunity ratione personae | 第3条 享有属人豁免的人员 |
| Heads of State, Heads of Government and Ministers for Foreign Affairs enjoy immunity ratione personae from the exercise of foreign criminal jurisdiction. | 国家元首、政府首脑和外交部长对外国行使的刑事管辖享有属人豁免。 |
| Article 4 Scope of immunity ratione personae | 第4条 属人豁免的范围 |
| 1. Heads of State, Heads of Government and Ministers for Foreign Affairs enjoy immunity ratione personae only during their term of office. | 1. 国家元首、政府首脑和外交部长仅在其任职期间享有属人豁免。 |
| 2. Such immunity ratione personae covers all acts performed, whether in a private or official capacity, by Heads of State, Heads of Government and Ministers for Foreign Affairs during or prior to their term of office. | 2. 国家元首、政府首脑和外交部长享有的此种属人豁免涵盖他们在任职期间或任职之前的所有行为，无论是私人行为还是公务行为。 |
| 3. The cessation of immunity ratione personae is without prejudice to the application of the rules of international law concerning immunity ratione materiae. | 3. 属人豁免的停止不妨碍关于属事豁免的国际法规则的适用。 |
| Part Three Immunity ratione materiae* | 第三部分 属事豁免 |
| Article 5 Persons enjoying immunity ratione materiae | 第5条 享有属事豁免的人员 |
| State officials acting as such enjoy immunity ratione materiae from the exercise of foreign criminal jurisdiction. | 国家官员在以此种身份行事时，对外国行使的刑事管辖享有属事豁免。 |
| Article 6 Scope of immunity ratione materiae | 第6条 属事豁免的范围 |
| 1. State officials enjoy immunity ratione materiae only with respect to acts performed in an official capacity. | 1. 国家官员只有在以官方身份实施的行为方面享有属事豁免。 |
| 2. Immunity ratione materiae with respect to acts performed in an official capacity continues to subsist after the individuals concerned have ceased to be State officials. | 2. 对以官方身份实施的行为的属事豁免在所涉个人不再担任国家官员后继续存在。 |
| 3. Individuals who enjoyed immunity ratione personae in accordance with draft article 4, whose term of office has come to an end, continue to enjoy immunity with respect to acts performed in an official capacity during such term of office. | 3. 根据第4条草案享有属人豁免的个人在任期届满后继续就任期之内以官方身份实施的行为享有豁免。 |
| Article 7 Crimes under international law in respect of which immunity ratione materiae shall not apply | 第7条 不适用属事豁免的国际法下的罪行 |
| 1. Immunity ratione materiae from the exercise of foreign criminal jurisdiction shall not apply in respect of the following crimes under international law: | 1. 外国刑事管辖的属事豁免不适用于国际法规定的如下罪行： |
| (a) crime of genocide; | (a) 灭绝种族罪； |
| (b) crimes against humanity; | (b) 危害人类罪； |
| (c) war crimes; | (c) 战争罪； |
| (d) crime of apartheid; | (d) 种族隔离罪； |
| (e) torture; | (e) 酷刑； |
| (f) enforced disappearance. | (f) 强迫失踪。 |
| 2. For the purposes of the present draft article, the crimes under international law mentioned above are to be understood according to their definition in the treaties enumerated in the annex to the present draft articles. | 2. 为了本条款草案的目的，国际法规定的上述罪行应根据本条款草案附件所列条约中这些罪行的定义来理解。 |
| Part Four | 第四部分 |
| Article 8 ante Application of Part Four | 第8(前)条 第四部分的适用范围 |
| The procedural provisions and safeguards in this Part shall be applicable in relation to any criminal proceeding against a foreign State official, current or former, that concerns any of the draft articles contained in Part Two and Part Three of the present draft articles, including to the determination of whether immunity applies or does not apply under any of the draft articles. | 本部分的程序性规定和保障措施适用于针对现任或前任外国官员的、涉及本条款草案第二部分和第三部分所载的任何条款草案的任何刑事诉讼，包括适用于依本条款草案任何部分确定豁免适用还是不适用。 |
| Article 8 Examination of immunity by the forum State | 第8条 法院地国审查豁免问题 |
| 1. When the competent authorities of the forum State become aware that an official of another State may be affected by the exercise of its criminal jurisdiction, they shall examine the question of immunity without delay. | 1. 法院地国主管当局一旦意识到另一国官员可能因其行使刑事管辖权而受到影响，即应立即审查豁免问题。 |
| 2. Without prejudice to paragraph 1, the competent authorities of the forum State shall always examine the question of immunity: | 2. 在不妨碍第1款的情况下，法院地国主管当局审查豁免问题应总是： |
| (a) before initiating criminal proceedings; | (a) 在启动刑事诉讼前进行； |
| (b) before taking coercive measures that may affect an official of another State, including those that may affect any inviolability that the official may enjoy under international law. | (b) 在采取可能影响另一国官员的强制措施，包括可能影响该官员根据国际法可能享有的任何不可侵犯性的强制措施前进行。 |
| Article 9 Notification of the State of the official | 第9条 通知官员所属国 |
| 1. Before the competent authorities of the forum State initiate criminal proceedings or take coercive measures that may affect an official of another State, the forum State shall notify the State of the official of that circumstance. | 1. 在法院地国主管当局启动刑事诉讼或采取可能影响另一国官员的强制措施前，法院地国应将此情况通知官员所属国。 |
| States shall consider establishing appropriate procedures to facilitate such notification. | 各国应考虑建立适当程序，以便利此种通知。 |
| 2. The notification shall include, inter alia, the identity of the official, the grounds for the exercise of criminal jurisdiction and the competent authority to exercise jurisdiction. | 2. 除其他内容外，通知应包括该官员的身份、行使刑事管辖权的理由以及拟行使管辖权的主管当局。 |
| 3. The notification shall be provided through diplomatic channels or through any other means of communication accepted for that purpose by the States concerned, which may include those provided for in applicable international cooperation and mutual legal assistance treaties. | 3. 通知应通过外交途径发出，或通过相关国家就此目的都接受的任何其他通信方式发出，其中可包括适用的国际合作和司法协助条约所规定的方式。 |
| Article 10 Invocation of immunity | 第10条 援引豁免 |
| 1. A State may invoke the immunity of its official when it becomes aware that the criminal jurisdiction of another State could be or is being exercised over the official. | 1. 一国在意识到另一国可能或正在对其官员行使刑事管辖权后，可为其官员援引豁免。 |
| Immunity should be invoked as soon as possible. | 应尽快援引豁免。 |
| 2. Immunity shall be invoked in writing, indicating the identity of and the position held by the official, and the grounds on which immunity is invoked. | 2. 援引豁免应以书面形式进行，表明该官员的身份和所任职务以及援引豁免的理由。 |
| 3. Immunity may be invoked through diplomatic channels or through any other means of communication accepted for that purpose by the States concerned, which may include those provided for in applicable international cooperation and mutual legal assistance treaties. | 3. 援引豁免可通过外交途径进行，或通过相关国家就此目的都接受的任何其他通信方式进行，其中可包括适用的国际合作和司法协助条约所规定的方式。 |
| 4. The authorities before which immunity has been invoked shall immediately inform any other authorities concerned of that fact. | 4. 收到援引豁免有关通信的当局应立即将此情况通知任何其他相关当局。 |
| Article 11 Waiver of immunity | 第11条 放弃豁免 |
| 1. The immunity from foreign criminal jurisdiction of the State official may be waived by the State of the official. | 1. 官员所属国可放弃官员的外国刑事管辖豁免。 |
| 2. Waiver must always be express and in writing. | 2. 放弃豁免必须总是以书面形式明确地表达。 |
| 3. Waiver of immunity may be communicated through diplomatic channels or through any other means of communication accepted for that purpose by the States concerned, which may include those provided for in applicable international cooperation and mutual legal assistance treaties. | 3. 放弃豁免可通过外交途径表达，或通过相关国家就此目的都接受的任何其他通信方式表达，其中可包括适用的国际合作和司法协助条约所规定的方式。 |
| 4. The authorities to which the waiver has been communicated shall immediately inform any other authorities concerned that immunity has been waived. | 4. 收到放弃豁免有关通信的当局应立即将豁免已经放弃的情况通知任何其他相关当局。 |
| 5. Waiver of immunity is irrevocable. | 5. 放弃豁免不可撤销。 |
| Article 12 [13] Requests for information | 第12[13]条 请求提供信息 |
| 1. The forum State may request from the State of the official any information that it considers relevant in order to decide whether immunity applies or not. | 1. 法院地国可请官员所属国提供其认为相关的任何信息，以便决定豁免是否适用。 |
| 2. The State of the official may request from the forum State any information that it considers relevant in order to decide on the invocation or the waiver of immunity. | 2. 官员所属国可请法院地国提供其认为相关的任何信息，以便决定援引或放弃豁免。 |
| 3. Information may be requested through diplomatic channels or through any other means of communication accepted for that purpose by the States concerned, which may include those provided for in applicable international cooperation and mutual legal assistance treaties. | 3. 可通过外交途径请求提供信息，或通过相关国家就此目的都接受的任何其他通信方式进行，其中可包括适用的国际合作和司法协助条约所规定的方式。 |
| 4. The requested State shall consider any request for information in good faith. | 4. 被请求国应善意地考虑任何关于提供信息的请求。 |
| Annex | 附件 |
| List of treaties referred to in draft article 7, paragraph 2 | 第7条草案第2款提到的条约清单 |
| Crime of genocide | 灭绝种族罪 |
| • Rome Statute of the International Criminal Court, 17 July 1998, article 6; | * 《国际刑事法院罗马规约》，1998年7月17日，第六条； |
| • Convention on the Prevention and Punishment of the Crime of Genocide, 9 December 1948, article II. | * 《防止及惩治灭绝种族罪公约》，1948年12月9日，第二条。 |
| Crimes against humanity | 危害人类罪 |
| • Rome Statute of the International Criminal Court, 17 July 1998, article 7. | * 《国际刑事法院罗马规约》，1998年7月17日，第七条。 |
| War crimes | 战争罪 |
| • Rome Statute of the International Criminal Court, 17 July 1998, article 8, paragraph 2. | * 《国际刑事法院罗马规约》，1998年7月17日，第八条第二款。 |
| Crime of apartheid | 种族隔离罪 |
| • International Convention on the Suppression and Punishment of the Crime of Apartheid, 30 November 1973, article II. | * 《制止并惩处种族隔离罪行国际公约》，1973年11月30日，第二条。 |
| Torture | 酷刑 |
| • Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, 10 December 1984: article 1, paragraph 1. | * 《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》，1984年12月10日，第1条第1款。 |
| Enforced disappearance | 强迫失踪 |
| • International Convention for the Protection of All Persons from Enforced Disappearance, 20 December 2006, article 2. | * 《保护所有人免遭强迫失踪国际公约》，2006年12月20日，第二条。 |
| 2. Text of the draft articles and commentaries thereto provisionally adopted by the Commission at its seventy-second session | 2. 委员会第七十二届会议暂时通过的条款草案案文及其评注 |
| 115. The text of the draft articles and commentaries thereto provisionally adopted by the Commission at its seventy-second session is reproduced below. | 115. 委员会第七十二届会议暂时通过的条款草案案文及其评注载录如下。 |
| Article 8 ante Application of Part Four | 第8(前)条 第四部分的适用范围 |
| The procedural provisions and safeguards in this Part shall be applicable in relation to any criminal proceeding against a foreign State official, current or former, that concerns any of the draft articles contained in Part Two and Part Three of the present draft articles, including to the determination of whether immunity applies or does not apply under any of the draft articles. | 本部分的程序性规定和保障措施适用于针对现任或前任外国官员的、涉及本条款草案第二部分和第三部分所载的任何条款草案的任何刑事诉讼，包括适用于依本条款草案任何部分确定豁免适用还是不适用。 |
| Commentary | 评注 |
| (1) Draft article 8 ante is the first of the draft articles in Part Four. Its purpose is to define the scope of application of Part Four in connection with Part Two and Part Three, which deal respectively with immunity ratione personae and immunity ratione materiae of State officials, current or former, from foreign criminal jurisdiction. | (1) 第8(前)条草案是条款草案第四部分第一条，目的是界定第四部分的适用范围，并与分别关于前任或现任国家官员的外国刑事管辖属人豁免和属事豁免的第二部分和第三部分有关。 |
| By referring to the links between Part Four, on one hand, and Part Two and Part Three, on the other, draft article 8 ante takes into account the notion of balance reflected in the previous work of the Commission, which included a footnote to the titles of Part Two and Part Three indicating that “[a]t its seventieth session, the Commission will consider the procedural provisions and safeguards applicable to the present draft articles”. | 通过提到第四部分与第二和第三部分之间的联系，第8(前)条草案考虑到委员会以往工作中反映的平衡概念，其中包括第二部分和第三部分标题的脚注，该脚注指出，“委员会将在第七十届会议上审议适用于本条款草案的程序性规定和保障”。 |
| (2) As Part Four is an integral part of the draft articles, its provisions are intended to be generally applicable to the other provisions of the draft articles. | (2) 由于第四部分是条款草案的一个组成部分，其中所载的条款拟一般性地适用于条款草案中的其他条款。 |
| There was nonetheless a divergence of views among the members of the Commission with regard to the scope of Part Four, in particular its relationship to draft article 7, which was provisionally adopted by the Commission at its sixty-ninth session (2017). | 然而，委员会委员对第四部分的适用范围存在意见分歧，尤其是在其与委员会第六十九届会议(2017年)暂时通过的第7条草案的关系方面。 |
| (3) In the view of some members, the procedural guarantees and safeguards contained in Part Four applied only when immunity might exist, which seemingly was not the case with respect to the crimes listed in draft article 7, as it was couched in absolute terms, stating that immunity ratione materiae “shall not apply in respect of the following crimes under international law”. | (3) 一些委员认为，第四部分所载的程序性保证和保障只适用于可能存在豁免的情况，而第7条草案所列的罪行似乎不属于这种情况，因为它采用了绝对的措辞，规定属事豁免“不适用于国际法规定的如下罪行”。 |
| On the contrary, several members supported a broader interpretation of the draft articles proposed by the Special Rapporteur and envisioned a role for procedural safeguards and guarantees even with respect to situations where draft article 7 was engaged. | 相反，一些委员支持对特别报告员提出的条款草案作更广泛的解释，并设想即使在第7条草案所述的情况下，程序性保障和保证也能发挥作用。 |
| (4) In light of this divergence of views, the Commission provisionally adopted draft article 8 ante, which expressly states that all the procedural provisions and safeguards in Part Four of the draft articles “shall be applicable in relation to any criminal proceeding against a foreign State official, current or former, that concerns any of the draft articles contained in Part Two and Part Three of the present draft articles, including to the determination of whether immunity applies or does not apply under any of the draft articles”. | (4) 鉴于这一意见分歧，委员会暂时通过了第8(前)条草案，其中明确指出，条款草案第四部分所载的所有程序性规定和保障“适用于针对现任或前任外国官员的、涉及本条款草案第二部分和第三部分所载的任何条款草案的任何刑事诉讼，包括适用于依本条款草案任何部分确定豁免适用还是不适用”。 |
| Draft article 8 ante does not prejudge and is without prejudice to the adoption of any additional procedural guarantees and safeguards, including whether specific safeguards apply to draft article 7. | 第8(前)条草案不预断也不妨碍通过任何额外的程序性保证和保障，包括具体保障是否适用于第7条草案。 |
| (5) With the phrase “including to the determination of whether immunity applies or does not apply under any of the draft articles”, the Commission has confirmed that Part Four, in its entirety, also applies to draft article 7. | (5) 通过“包括适用于依本条款草案任何部分确定豁免适用还是不适用”一语，委员会确认，整个第四部分也适用于第7条草案。 |
| This is made especially clear by the reference to the determination of immunity, understood as the process for deciding whether immunity applies or does not apply, which is the subject of draft article 13, currently under consideration by the Drafting Committee. | 这一点特别体现在提及对豁免的确定上，这种确定被理解为决定豁免是否适用的过程，是第13条草案的主题，目前正在起草委员会审议当中。 |
| In determining the applicability of immunity ratione materiae, account should be taken both of the normative elements listed in draft articles 4, 5 and 6, as provisionally adopted by the Commission, and of the exceptions set out in draft article 7. | 在确定属事豁免是否适用时，应考虑到委员会暂时通过的第4、5和6条草案中所列的规范性要素以及第7条草案中所述的例外情况。 |
| In addition, under draft article 8 ante, all the procedural provisions and safeguards set out in Part Four must be respected in the process of determining whether exceptions are applicable. | 此外，根据第8(前)条草案，在确定例外是否适用时，应遵守第四部分所载的所有程序性规定和保障。 |
| (6) Although the Commission discussed a proposal to include an express reference to draft article 7 in draft article 8 ante, in order to ensure that the provisions and safeguards in Part Four would be understood to apply to it, the proposal was rejected in favour of a more general and neutral formulation referring to “the determination of whether immunity applies or does not apply under any of the draft articles”. | (6) 有人建议第8(前)条草案应明确提及第7条草案，以确保第四部分的规定和保障适用于该条，委员会虽然讨论了这一个建议，但没有予以保留，而决定使用更笼统更中立的措辞，提到“依本条款草案任何部分确定豁免适用还是不适用”。 |
| (7) Part Four is applicable “in relation to any criminal proceeding against a foreign State official”. | (7) 第四部分适用于“针对外国官员的任何刑事诉讼”。 |
| The term “criminal proceeding” is used in draft article 8 ante to refer broadly to different steps that may be taken by the forum State in furtherance of the exercise of its criminal jurisdiction. | 在第8(前)条草案中，“刑事诉讼”一词泛指法院地国为进一步行使刑事管辖权而可采取的不同步骤。 |
| In view of the differences in practice between States’ various legal systems and traditions, it was not considered necessary to refer specifically to the nature of these steps, which may include both acts of the executive and acts performed by judges and prosecutors. | 鉴于各国法律制度和传统在实践中的差异，大家认为没有必要明确提及这些步骤的性质，这可能包括行政部门的行为以及法官和检察官实施的行为。 |
| In any event, the use of the term “criminal proceeding” should be reviewed in the final revision of the draft articles before their adoption on first reading, in particular to ensure that the use of both this term and the term “exercise of criminal jurisdiction”, and their respective meanings, are consistent and systematic throughout the draft articles. | 无论如何，应当牢记，“刑事诉讼”一词的使用在条款草案一读通过之前最后修订时应予以审视，特别是为了确保该词和“行使刑事管辖权”一词的使用及其各自的含义在整个条款草案中是一致的、系统的。 |
| Such a review should be carried out once the Commission has decided on the definition of the concept of “criminal jurisdiction”, which is currently pending in the Drafting Committee. | 对此的审视应在委员会就“刑事管辖权”概念的定义作出决定后进行，此定义尚待起草委员会审议。 |
| (8) Draft article 8 ante uses the phrase “against a foreign State official, current or former”. | (8) 第8(前)条草案使用了“针对现任或前任外国官员”一语。 |
| This reflects the need for there to be a connection between the foreign State official and the criminal proceeding that the forum State seeks to carry out and in respect of which immunity might be applicable. | 这反映出需要将外国官员与在法院地国打算启动的刑事程序以及可能适用的豁免联系起来。 |
| The express mention of the temporal situation in which the official may be in his or her relationship with the foreign State (current or former) is not intended to alter the temporal scope of immunity from criminal jurisdiction, since, as the Commission points out in the commentary to draft article 2 (e), this element is irrelevant to the definition of “official” and “[t]he temporal scope of immunity ratione personae and of immunity ratione materiae is the subject of other draft articles”. | 明确提到官员在与外国关系中可能的临时状况(前任或现任)，并不是要改变刑事管辖豁免的时间范围，因为如委员会在第2条草案(e)项的评注中指出的那样，这一要素与“官员”的定义无关，“属人豁免和属事豁免的时间范围是其他条款草案讨论的问题”。 |
| The words “current or former” should therefore be understood in the light of the provisions of draft article 4, for immunity ratione personae, and of draft article 6, for immunity ratione materiae. | 因此，应参照关于属人豁免的第4条草案和关于属事豁免的第6条草案的规定来理解“前任或现任”一词。 |
| The term “foreign State official” should also be reviewed before the draft articles are adopted on first reading, in order to decide whether the term to be used consistently and systematically should be this one or the term “official of another State”, which is used in other draft articles. | 在一读通过条款草案之前，“外国官员”一词也应予以审视，以便决定应一致系统地使用该词语，还是其他条款草案中使用的“另一国官员”一词。 |
| Article 8 Examination of immunity by the forum State | 第8条 法院地国审查豁免问题 |
| 1. When the competent authorities of the forum State become aware that an official of another State may be affected by the exercise of its criminal jurisdiction, they shall examine the question of immunity without delay. | 1. 法院地国主管当局一旦意识到另一国官员可能因其行使刑事管辖权而受到影响，即应立即审查豁免问题。 |
| 2. Without prejudice to paragraph 1, the competent authorities of the forum State shall always examine the question of immunity: | 2. 在不妨碍第1款的情况下，法院地国主管当局审查豁免问题应总是： |
| (a) before initiating criminal proceedings; | (a) 在启动刑事诉讼前进行； |
| (b) before taking coercive measures that may affect an official of another State, including those that may affect any inviolability that the official may enjoy under international law. | (b) 在采取可能影响另一国官员的强制措施，包括可能影响该官员根据国际法可能享有的任何不可侵犯性的强制措施前进行。 |
| Commentary | 评注 |
| (1) Draft article 8 concerns the obligation to examine the question of immunity from criminal jurisdiction when the authorities of the forum State seek to exercise or do exercise criminal jurisdiction over an official of another State. | (1) 第8条草案涉及法院地国主管当局拟对或确实对另一国官员行使刑事管辖权时，应当审查刑事管辖豁免问题的义务。 |
| “Examination of immunity” refers to the measures necessary to assess whether or not an act of the authorities of the forum State involving the exercise of its criminal jurisdiction may affect the immunity from criminal jurisdiction of officials of another State. | “审查豁免问题”是指为评估法院地国当局涉及其刑事管辖的行为是否会影响另一国官员的刑事管辖豁免而采取的必要措施。 |
| Thus, “examination” of immunity is a preparatory act that marks the beginning of a process that will end with a determination of whether or not immunity applies. | 因此，对豁免权的“审查”是一种准备行动，标志着一个程序的开始，该程序将以确定豁免权是否适用而结束。 |
| Although closely related, “examination” and “determination” of immunity are distinct categories. | 然而，豁免问题的“审查”和“确定”虽然密切相关，但却是不同的范畴。 |
| The “determination of immunity” will be dealt with in a separate draft article that has not yet been considered by the Drafting Committee. | “豁免的确定”将在另一条款草案中处理，该条款尚待起草委员会审议。 |
| (2) Draft article 8 contains two paragraphs that define, respectively, a general rule (para. 1) and a special rule that would be applicable to specific situations (para. 2). | (2) 第8条草案包含两款，分别用于界定一般规则(第1款)和适用于特定情况的特定规则(第2款)。 |
| In both cases the obligation to examine the question of immunity is attributed to the “competent authorities” of the forum State. | 在这两种情况下，审查豁免问题的义务都由法院地国“主管当局”承担。 |
| The Commission decided not to specify which State organs fall into this category, since the identification of such organs will depend on the time when the question of immunity arises and on the legal system of the forum State. | 委员会决定不明确提及属于这一类别的国家机关，因为确定这些机关将取决于豁免问题出现的时间以及法院地国的法律制度。 |
| Since such organs may differ from one domestic legal system to another, it was considered preferable to use a term that encompasses organs of different types, including executive organs, police, prosecutors and courts. | 由于这些机关在每个国家内部法律制度中可能不同，据认为最好还是使用能够涵盖不同性质的机关的术语，包括行政机关、警察、检察机关和法院。 |
| Determining which State organs fall within the category of “competent authorities” for the purposes of the present draft article is a matter to be considered on a case-by-case basis. | 就本条草案而言，确定哪些国家机关属于“主管当局”类别是一个应逐案考虑的问题。 |
| (3) The general rule contained in paragraph 1 defines the obligation of the competent authorities of the forum State to “examine the question of immunity without delay” when they “become aware that an official of another State may be affected by the exercise of its criminal jurisdiction”. | (3) 第1款所载的一般规则界定了法院地国主管当局“一旦意识到另一国官员可能因其行使刑事管辖权而受到影响，即应立即审查豁免问题”的义务。 |
| (4) The Commission deemed it more appropriate to use the term “official of another State” rather than “foreign official”. | (4) 委员会认为，使用“另一国官员”一词比使用“外国官员”更为恰当。 |
| This term is used as an equivalent of “foreign State official”, which is used in draft article 8 ante, and “State official”, which is used in the title of the topic (in the plural) and whose definition is contained in draft article 2 (e) provisionally adopted by the Commission. | 该用语相当于第8(前)条草案中使用的“外国官员”和作为专题标题使用的“国家官员”(复数)，其定义载于委员会暂时通过的第2条草案(e)项。 |
| This term thus covers any State official, regardless of rank, of whether he or she is covered by immunity ratione personae or immunity ratione materiae, and of whether he or she is still an official at the time when the question of immunity is to be examined. | 因此，此术语涵盖任何国家官员，无论级别如何，无论是受属人豁免还是属事豁免的保护，也无论在审议豁免问题时他们是否为在职官员。 |
| The term “official of another State” therefore includes any official who could benefit from immunity from foreign criminal jurisdiction in accordance with the provisions of Part Two and Part Three of the draft articles. | 故按照条款草案第二部分和第三部分的规定，“另一国官员”一语应涵盖可受益于外国刑事管辖豁免的所有官员。 |
| (5) The obligation to examine the question of immunity will arise only when an official of another State may be affected by the exercise of the criminal jurisdiction of the forum State. | (5) 只有当另一国官员可能受到法院地国行使刑事管辖权的影响时，才会出现审查豁免问题的义务。 |
| For the general rule, the Commission has used the expression “exercise of … criminal jurisdiction”, which it considered preferable to “criminal proceeding”, an expression proposed by the Special Rapporteur that was considered too narrow. | 在一般规则适用的情况下，委员会使用“行使刑事管辖权”一语，委员会认为这比“刑事诉讼”更可取，“刑事诉讼”是特别报告员提议的，被认为范围太窄。 |
| The term “exercise of criminal jurisdiction” is also used in draft articles 3, 5 and 7, although its scope is not defined in the commentaries thereto. | 第3、5和7条草案中也使用了“行使刑事管辖权”一语，尽管相应评注中没有界定其范围。 |
| It should be noted that the very concept of “criminal jurisdiction”, which was included in the Special Rapporteur’s second report, has not yet been considered by the Drafting Committee. | 值得一提的是，“刑事管辖权”这一概念载于特别报告员第二次报告， 起草委员会尚未审议这一概念。 |
| In any event, and subject to the definition of “criminal jurisdiction” to be adopted in due course by the Commission, for the purposes of draft article 8, “exercise of criminal jurisdiction” should be understood to mean such acts carried out by the competent authorities of the forum State as may be necessary to establish the criminal responsibility, if any, of one or several individuals. | 在任何情况下，就第8条草案而言，“行使刑事管辖权”都应被理解为法院地国主管当局为确定一人或数人的刑事责任而可能采取的必要行为，但最终需依照委员会在适当时候通过的“刑事管辖权”的定义。 |
| These acts may be of different types and are not limited to judicial acts, and may include governmental, police, investigative and prosecutorial acts. | 这类行为可能具有不同的性质，并不限于司法行为，可包括政府行为、警察行为、调查或起诉。 |
| (6) However, not all acts that may fall within the generic category “exercise of criminal jurisdiction” will give rise to an obligation to examine the question of immunity. | (6) 然而，“行使刑事管辖权”这一一般类别所涵盖的所有行为并非都会产生审查豁免问题的义务。 |
| Rather, such an obligation arises only when the official of another State may be “affected” by any of the acts in this category. | 相反，只有当另一国官员可能受到这一类别涵盖的某一行为“影响”时，才会产生这种义务。 |
| As follows from the judgments of the International Court of Justice in the case concerning the Arrest Warrant of 11 April 2000 and in Certain Questions of Mutual Assistance in Criminal Matters, a particular criminal procedure measure may affect immunity of a foreign official only if it hampers or prevents the exercise of the functions of that person by imposing obligations upon them. | 根据国际法院对2000年4月11日逮捕令案和刑事事项互助的若干问题案 的判决，一项特定的刑事诉讼措施只有在对外国官员施加义务从而妨碍或阻止其行使职能的情况下，才可能影响到该官员的豁免权。 |
| For example, the commencement of a preliminary investigation or institution of criminal proceedings, not only in respect of the alleged fact of a crime but also actually against the person in question, cannot be seen as a violation of immunity if it does not impose any obligation upon that person under the national law being applied. | 例如，不仅针对所称的犯罪事实，而且实际针对所涉人员启动初步调查或提起刑事诉讼，如果没有根据适用的国内法律对该人施加任何义务，就不能视为侵犯豁免权。 |
| The forum State is also able to carry out at least the initial collection of evidence for this case (to collect witness testimonies, documents, material evidence, etc.), using measures which are not binding or constraining on the foreign official. | 法院地国还至少能采用不对该外国官员造成约束或制约的措施，收集案件的初步证据(收集证人证词、文件、物证等)。 |
| (7) The general rule set out in paragraph 1 attaches particular importance to the time at which the competent authorities of the forum State should examine the question of immunity, emphasizing that it should be done at an early stage, since otherwise the effectiveness of the institution of immunity could be undermined. | (7) 第1款规定的一般规则特别重视法院地国主管当局审查豁免问题的时间，强调应及早审查，否则豁免制度的效力可能会受到损害。 |
| Although treaties addressing various forms of immunity of State officials from foreign criminal jurisdiction have not included specific rules in this regard, the International Court of Justice has expressly stated that the question of immunity should be examined at an early stage and considered in limine litis. | 虽然对国家官员各种形式的外国刑事管辖豁免作出规定的条约都没有载列关于此问题的具体规则，但国际法院已明确表示，豁免问题应当及早，即在诉讼程序启动前加以审查。 |
| With this in mind, the Commission decided to indicate explicitly the point at which examination of the question of immunity should begin, defining it as follows: “[w]hen the competent authorities of the forum State become aware that an official of another State may be affected by the exercise of its criminal jurisdiction”. | 考虑到这一点，委员会认为有必要清楚说明开始审查豁免问题的时间，具体表述如下：“一旦意识到另一国官员可能因其行使刑事管辖权而受到影响”。 |
| The phrase “[w]hen [they] become aware” follows, to some extent, the wording used by the Institute of International Law in its 2001 resolution on immunities from jurisdiction and execution of Heads of State and of Government in international law, and is intended to emphasize that the question of immunity should be examined as soon as possible, without the need to wait until formal judicial proceedings have begun. | “一旦意识到”这一表达方式在某种程度上沿用了国际法学会在其2001年关于国家元首和政府首脑根据国际法享有管辖和执行豁免的决议中使用的措辞， 使用这一表达方式是为了强调，对豁免问题的审查应尽快进行，而不需要等到正式司法程序开始之后。 |
| To reinforce this idea, the phrase “without delay” has been used, contained in articles 36 and 37 of the Vienna Convention on Consular Relations. | 为强化这一点，使用了《维也纳领事关系公约》第三十六条和第三十七条中的“立即”一词。 |
| (8) Paragraph 2 of draft article 8 sets out a special rule covering two particular cases in which the competent authorities of the forum State should examine the question of immunity. | (8) 第8条草案第2款载有一项特别规则，确定了法院地国主管当局应审查豁免问题的两种特殊情况。 |
| The special regime set out in this paragraph is framed as a “without prejudice” clause, in order to preserve the applicability of the general rule contained in paragraph 1. | 该款规定的特别制度作为“不妨碍”条款，维护第1款所载一般规则的适用性。 |
| In this context, the words “without prejudice” are used to emphasize that the general rule applies in all circumstances and cannot be affected or prejudiced by the special rule contained in paragraph 2. | 在这方面，使用“不妨碍”一词是为了强调，一般规则适用于所有情况，不能受到第2款所载特别规则的影响或损害。 |
| The special rule in paragraph 2 is intended to draw the attention of the competent authorities of the forum State to their obligation to examine the question of immunity before taking any of the special measures set forth in this paragraph, if they have not done so earlier under the general rule. | 第2款所载的特别规则的目的是提请法院地国主管当局注意其在采取该款所述的一项特别措施之前有义务审查豁免问题，如果它们尚未根据一般规则已经这样做的话。 |
| The use of the adverb “always” is intended to reinforce this idea. | 副词“总是”的使用意在强化这一点。 |
| (9) Under the special rule contained in paragraph 2, the competent authorities must always examine the question of immunity “before initiating criminal proceedings” (subparagraph (a)) and “before taking coercive measures that may affect an official of another State” (subparagraph (b)). | (9) 根据第2款所载的特别规则，豁免问题的审查应总是“在启动刑事诉讼前进行”((a)项)、“在采取可能影响另一国官员的强制措施…前进行”((b)项)。 |
| The Commission selected these two cases as examples of acts that would always affect the official of another State and that, if they were to occur, could violate any immunity from foreign criminal jurisdiction that the official might enjoy. | 委员会选择这两种情况的理由是，这两种情况都涉及总是影响另一国官员的行为，如果发生这种行为，可能会侵犯该官员可能享有的任何外国刑事管辖豁免权。 |
| The use of the adverb “before” is intended to reinforce the principle that immunity must always be examined as a preliminary issue in limine litis. | 使用“前”一词的用意是要强化豁免问题的审查始终应在诉讼前进行这一原则。 |
| (10) The term “criminal proceedings” refers to the commencement of judicial proceedings brought for the purpose of determining the possible criminal responsibility of an individual, in this case an official of another State. | (10) “刑事诉讼”一词是指启动司法程序，其目的是确定某人(在此是指另一国官员)可能承担的刑事责任。 |
| This term is to be distinguished from the term “exercise of criminal jurisdiction”, which, as noted above, has a broader meaning. | 这一术语有别于“行使刑事管辖权”一词，如上文所述，后者具有更广泛的含义。 |
| The Commission preferred to use the expression “initiati[on] [of] criminal proceedings” rather than the terms “prosecution”, “indictment” or “accusation”, or the expressions “commencement of the trial phase” or “commencement of the oral proceedings”, as these terms may have different meanings in different domestic legal systems. | 委员会倾向于使用“启动刑事诉讼”，而不是“起诉”、“控告”或“指控”，或“启动审判”或“启动口头程序”，因为这些术语在每个国家国内法律制度中的含义都可能不同。 |
| For this reason, it decided to use more general terminology encompassing any of the specific acts representing the initiation of criminal proceedings under the domestic law of the forum State. | 因此，现决定使用更一般的术语，以便将根据法院地国国内法确定启动刑事司法程序的任何特定行为包括在内。 |
| The identification of the time of “initiati[on] [of] criminal proceedings” as the moment at which, in any event, the question of immunity must be examined is consistent with international practice and jurisprudence. | 如果要“启动刑事诉讼”，那就无论如何都应先审查豁免问题，这一要求符合国际惯例和判例。 |
| This does not mean, however, that the question of immunity cannot also be examined at a later stage if necessary, including at the appeal stage. | 不过，这并不排除在稍后阶段，包括上诉阶段，在需要时审查豁免问题。 |
| (11) The phrase “coercive measures that may affect an official of another State” refers to acts of the competent authorities of the forum State that are directed at the official and that may be carried out at any time as part of the exercise of criminal jurisdiction, regardless of whether or not criminal proceedings have been initiated. | (11) “可能影响另一国官员的强制措施”是指法院地国主管当局针对该官员的、可在行使刑事管辖权的情况下随时采取的行为，无论是否已启动刑事诉讼程序。 |
| These are essentially in personam measures that may affect, inter alia, the official’s freedom of movement, his or her appearance in court as a witness or his or her extradition to a third State. | 这些基本上是针对个人的措施，可能影响官员的行动自由、让其出庭作证或被引渡到第三国等等。 |
| These measures do not necessarily imply that “criminal proceedings against the official” are taking place, but they may fall under the category “exercise of criminal jurisdiction”. | 这些措施并不一定意味正在进行“针对该官员的刑事诉讼”，但可能属于“行使刑事司法管辖权”的范畴。 |
| Since such measures may differ from one domestic legal system to another, it was considered preferable to use the general wording “coercive measures” to refer to “act of authority”, which was used by the International Court of Justice in the case concerning the Arrest Warrant of 11 April 2000, and is inspired by the reasoning of the Court in Certain Questions of Mutual Assistance in Criminal Matters. | 由于这类措施在每个国家国内法律制度中可能不同，据认为最好还是使用“强制措施”这一笼统术语来指“权力行为”。 “强制措施”一词是国际法院在2000年4月11日逮捕令案中使用的术语，并受到国际法院在刑事事项互助的若干问题案中推理的启发。 |
| (12) In practice, one of the most common coercive measures is the detention of the official. | (12) 在实践中可以采取的最常见的强制措施之一是拘留官员。 |
| The need to examine the question of immunity before detention is ordered was asserted by the Special Court for Sierra Leone in the Charles Taylor case. | 塞拉利昂问题特别法庭在查尔斯·泰勒一案中宣布，在下令拘留之前必须审查豁免问题。 |
| In its decision of 31 May 2004, the Appeals Chamber stated: “[t]o insist that an incumbent Head of State must first submit himself to incarceration before he can raise the question of his immunity not only runs counter, in a substantial manner, to the whole purpose of the concept of sovereign immunity, but would also assume, without considering the merits, issues of exceptions to the concept that properly fall to be determined after delving into the merits of the claim to immunity”. | 上诉分庭在2004年5月31日的决定中指出：“如果坚持认为在任国家元首在提出豁免问题之前必须先被监禁，那就不仅实质上与主权豁免概念的全部目的背道而驰，而且还在不考虑案情实质的情况下假定存在与这一概念的例外有关的问题，而这些问题应在审查豁免问题之后再确定。 |
| The Commission therefore considered it necessary to address this issue in connection with the examination of immunity. | 因此，委员会认为有必要在审议豁免时处理关于拘留的问题。 |
| (13) With regard to this question, it should be noted that the scope of the draft articles is limited to immunity from foreign criminal jurisdiction and thus does not include the question of inviolability. | (13) 关于这一问题，应当指出，条款草案的适用范围仅限于外国刑事管辖豁免，因此不涵盖不可侵犯性问题。 |
| However, while immunity from jurisdiction and inviolability are two distinct categories that are not interchangeable, it is nevertheless true that both are dealt with at the same time in various international treaties, such as the Vienna Convention on Diplomatic Relations, which provides that “[t]he person of a diplomatic agent shall be inviolable [and] shall not be liable to any form of arrest or detention” (art. 29) and that “[n]o measures of execution may be taken in respect of a diplomatic agent” (art. 31, para. 3). | 然而，尽管管辖豁免和不可侵犯性是两个不同且不可互换的类别，但同样肯定的是，各项国际条约同时述及这两个问题，如《维也纳外交关系公约》 规定，“外交代表人身不得侵犯。 外交代表不受任何方式之逮捕或拘禁”(第二十九条)，“对外交代表不得为执行之处分”(第三十一条第三款)。 |
| In a similar vein, reference may be made to the resolution of the Institute of International Law on immunities from jurisdiction and execution of Heads of State and of Government in international law (arts. 1 and 4). | 同样，还应提及国际法学会关于国家元首和政府首脑根据国际法享有的管辖豁免和执行豁免的决议(第1和4条)。 |
| (14) The Commission also took account of the fact that the detention of an official of another State may, in certain circumstances, affect immunity from jurisdiction. | (14) 另一方面，委员会考虑到，在某些情况下，拘留另一国官员可能会影响管辖豁免。 |
| This is the reason for the last phrase of paragraph 2 (b) of the draft article, which “includes” among coercive measures “those that may affect any inviolability that the official may enjoy under international law”. | 因此，该条草案第2款(b)项最后说明，强制措施“包括”那些“可能影响该官员根据国际法可能享有的任何不可侵犯性”的措施。 |
| The phrase “that the official may enjoy under international law” is intended to draw attention to the fact that not every official of another State, by the mere fact of being an official, enjoys inviolability. | “该官员根据国际法可能享有”一语旨在提请大家注意，并非每一位另一国官员仅仅因为其为官员就享有不可侵犯性。 |
| Article 9 Notification of the State of the official | 第9条 通知官员所属国 |
| 1. Before the competent authorities of the forum State initiate criminal proceedings or take coercive measures that may affect an official of another State, the forum State shall notify the State of the official of that circumstance. | 1. 在法院地国主管当局启动刑事诉讼或采取可能影响另一国官员的强制措施前，法院地国应将此情况通知官员所属国。 |
| States shall consider establishing appropriate procedures to facilitate such notification. | 各国应考虑建立适当程序，以便利此种通知。 |
| 2. The notification shall include, inter alia, the identity of the official, the grounds for the exercise of criminal jurisdiction and the competent authority to exercise jurisdiction. | 2. 除其他内容外，通知应包括该官员的身份、行使刑事管辖权的理由以及拟行使管辖权的主管当局。 |
| 3. The notification shall be provided through diplomatic channels or through any other means of communication accepted for that purpose by the States concerned, which may include those provided for in applicable international cooperation and mutual legal assistance treaties. | 3. 通知应通过外交途径发出，或通过相关国家就此目的都接受的任何其他通信方式发出，其中可包括适用的国际合作和司法协助条约所规定的方式。 |
| Commentary | 评注 |
| (1) Draft article 9 concerns the notification that the forum State must provide to another State to inform it that the forum State intends to exercise criminal jurisdiction over one of that State’s officials. | (1) 第9条草案涉及通知事项，法院地国应就其打算对另一国官员行使刑事管辖权一事通知另一国。 |
| (2) Since it is generally accepted that immunity from foreign criminal jurisdiction is granted to State officials for the benefit of the State, it is for the State, not the official, to decide on the invocation and waiver of immunity, and it is also for the State of the official to decide on the means by which to claim immunity for its official. | (2) 大家普遍认为，给予国家官员外国刑事管辖豁免是出于国家利益，因此应由国家而不是官员决定是援引还是放弃豁免。 有鉴于此，官员所属国还必须决定以何种方式要求尊重其官员的豁免。 |
| However, in order for it to be able to exercise those powers, it must be aware that the authorities of another State intend to exercise their own criminal jurisdiction over one of its officials. | 然而，为了行使这些权力，官员所属国必须意识到另一国当局打算对其一名官员行使刑事管辖权。 |
| (3) The Commission has found that treaty instruments providing for some form of immunity of State officials from foreign criminal jurisdiction do not contain any rule imposing on the forum State an obligation to notify the State of the official of its intention to exercise criminal jurisdiction over the official, with the sole exception of article 42 of the Vienna Convention on Consular Relations. | (3) 委员会注意到，规定国家官员享有某种形式的外国刑事管辖豁免权的条约文书，没有任何条款规定法院地国有义务将其打算对另一国官员行使刑事管辖权一事通知官员所属国，只有《维也纳领事关系公约》第四十二条有此规定。 |
| The Commission also took account of the fact that the United Nations Convention on Jurisdictional Immunities of States and Their Property assumes that the forum State must give notice of its intention to exercise jurisdiction over another State. To this end, article 22 of the Convention specifies the means by which “service of process by writ or other document instituting a proceeding against a State” must be effected. | 委员会还考虑到，《联合国国家及其财产管辖豁免公约》假定，法院地国必须将其对另一国行使管辖权的意向通知另一国，为此在《公约》第22条中规定了“送达传票或对一国提起诉讼的其他文书”的方式。 |
| Although this provision corresponds to a model that differs from that of immunity from foreign criminal jurisdiction, service of process is undeniably indispensable for enabling the State to invoke its immunity. The provision can thus be taken into consideration, mutatis mutandis, for the purposes of the present draft article. | 虽然这一规定采用的模式不同于外国刑事管辖豁免模式，但不可否认的是，关于诉讼的通知是相关国家援引豁免的基本要求，因此，为本条草案的目的，可比照考虑这一规定。 |
| With this in mind, the Commission decided to include notification among the procedural safeguards set out in Part Four of the draft articles. | 考虑到这一点，委员会决定将通知作为程序性保障之一列入条款草案第四部分。 |
| (4) Notification is an essential requirement for ensuring that the State of the official receives reliable information on the forum State’s intention to exercise criminal jurisdiction over one of its officials and, consequently, for enabling it to decide whether to invoke or waive immunity. | (4) 通知是一项基本要求，能确保官员所属国可靠地了解法院地国对其一名官员行使刑事管辖权的意图，从而能够决定援引或放弃豁免。 |
| At the same time, notification facilitates the opening of a dialogue between the forum State and the State of the official and thus becomes an equally basic requirement for ensuring the proper determination and application of the immunity of State officials from foreign criminal jurisdiction. | 同时，通知有助于法院地国和官员所属国之间启动对话，从而成为确保适当确定和适用国家官员的外国刑事管辖豁免的一项同样基本的要求。 |
| The Commission therefore regards notification as one of the procedural safeguards set out in Part Four of the draft articles. | 因此，委员会将通知视为条款草案第四部分界定的一项程序性保障。 |
| The concepts of “notification” and “consultation” should not be conflated, since consultations take place at a later stage and are dealt with in draft article 15, which has yet to be considered by the Drafting Committee. | “通知”和“协商”的概念不能混为一谈，因为协商的时间较晚； 协商是第15条草案的主题，尚待起草委员会审议。 |
| (5) Draft article 9 is divided into three paragraphs dealing, respectively, with the timing of the notification, the content of the notification and the means by which notification may be provided by the forum State. | (5) 第9条草案分为三款，分别涉及通知的时间、通知的内容以及法院地国发出通知可用的方式。 |
| (6) Paragraph 1 refers to the point in time at which notification should be provided. | (6) 第1款提到通知的时间。 |
| In view of the purpose of notification, it must be provided at an early stage, since otherwise it will not produce its full effects. | 考虑到通知的目的，通知应及早发出，只有这样，通知才能充分有效。 |
| However, the fact that notification may have unintended effects on the forum State’s exercise of criminal jurisdiction, particularly at the earliest stages, cannot be overlooked. | 然而，不能忽视的是，通知可能会对法院地国行使刑事管辖权产生不利影响，在此项行动处于非常初步的阶段时特别如此。 |
| It was therefore considered necessary to strike a balance between the duty to notify the State of the official and the right of the forum State to carry out activities in the context of criminal jurisdiction that may affect multiple subjects and facts but will not necessarily affect the official of another State. | 一方面，法院地国有义务通知官员所属国，另一方面，法院地国有权开展刑事管辖活动，这些活动可能影响多个主题和事实，而不一定影响另一国官员。 |
| To address this concern, the draft article identifies the following points in time as being critical for the provision of notification: (a) the initiation of criminal proceedings; | 在这两者之间取得平衡，被认为是有必要的。 为解决这一问题，下列情况被确定为通知的关键时刻：(a) 启动刑事诉讼； |
| and (b) the taking of coercive measures that may affect an official of another State. | (b) 采取可能影响另一国官员的强制措施。 |
| Notification must be provided prior to the occurrence of either of these two circumstances. | 通知必须在上述任何一种情况发生之前作出。 |
| Paragraph 1 of the present draft article has thus been aligned with draft article 8, paragraph 2 (a) and (b), so that the timing of the notification to the State of the official coincides with the special cases in which the competent authorities of the forum State must examine the question of immunity if they have not done so earlier. | 因此，本条草案第1款与第8条草案第2款(a)项和(b)项保持一致，以便使通知官员所属国的时间与法院地国主管当局必须审查豁免问题特殊情况的时间保持一致，如果法院地国主管当局还没有审查过豁免问题的话。 |
| The expressions “criminal proceedings” and “coercive measures that may affect an official of another State” should therefore be understood in the sense already described in the commentary to draft article 8. | “刑事诉讼”和“可能影响另一国官员的强制措施”应按照第8条草案的评注中的描述予以理解。 |
| (7) As used in the present draft article, the term “official of another State” is equivalent to “State official” and should therefore be understood in accordance with the definition contained in draft article 2 (e) provisionally adopted by the Commission. | (7) “另一国官员”一词在本条款草案中的使用等同于“国家官员”，因此应根据委员会暂时通过的第2条草案(e)项所载定义予以理解。 |
| As noted in the commentary to that draft article, the use of the term “State official” does not affect the temporal scope of immunity, which is subject to the special rules applicable to immunity ratione personae and immunity ratione materiae. | 如该条草案的评注所指出的，“国家官员”一词的使用不影响豁免的时间范围， 该时间范围根据适用于属人豁免和属事豁免的特定规则而定。 |
| The commentary is equally relevant to the present draft article and, accordingly, the category “official of another State” includes any official of another State who may enjoy immunity in accordance with the provisions of Part Two and Part Three of the draft articles. | 该评注与本条款草案同样相关，在“另一国官员”类别下，应列入根据条款草案第二部分和第三部分的规定可享有豁免权的另一国官员。 |
| The term “official of another State” may refer both to an official in active service at the time when the forum State seeks to exercise criminal jurisdiction and to a former official, provided that both may benefit from some form of immunity. | 因此，“另一国官员”一词既可以指在法院地国试图行使刑事管辖权时在任的官员，也可以指前任官员，但两者均可享有某种形式的豁免。 |
| (8) The second sentence of paragraph 1 is addressed to States based on the understanding that some domestic systems may not have procedures in place to allow for communication between executive, judicial or prosecutorial authorities. | (8) 向各国提出的第1款第二句是考虑到一些国家的国内制度可能没有程序让行政当局、法官或检察官办公室之间进行沟通。 |
| In such cases, compliance with the obligation to notify the State of the official of the initiation of criminal proceedings or the taking of coercive measures against one of its officials may be significantly hampered, especially since, in practice, communications relating to the question of immunity of an official of another State from foreign criminal jurisdiction often take place through diplomatic channels. | 在这种情况下，法院地国履行就其对一名官员提起刑事诉讼或采取强制措施一事通知官员所属国的义务可能会受到很大阻碍，特别是因为在实践中，关于另一国官员的外国刑事管辖豁免问题的沟通往往是通过外交渠道进行的。 |
| The Commission therefore considered it necessary to draw the attention of States to this issue by including this final sentence in paragraph 1. | 因此，委员会认为有必要在第1款中列入最后这句话，提请各国注意这一问题。 |
| However, bearing in mind as well the diversity of domestic legal systems and practices, the Commission opted for non-prescriptive wording that allows States to assess whether or not the above-mentioned procedures exist in their respective legal systems and, if not, to decide on their adoption. | 不过，还考虑到各国国内法律制度和做法的多样性，决定使用非规定性措辞，使各国能够评估其各自法律制度中是否存在上述程序，如果有，再决定是否采用这些程序。 |
| The verb “shall consider” has been used for this purpose. | 为此，使用了动词“审查”。 |
| (9) Paragraph 2 refers to the content of the notification. | (9) 第2款阐述通知的内容。 |
| Given the purpose of the notification, while its content may vary from one case to another, it should always include sufficient information to enable the State of the official to form a judgment as to whether the immunity from which one of its officials might benefit should be invoked or waived. | 考虑到通知的目的，其内容可能因具体情况而异，但应始终包括足够的信息，使官员所属国能够就援引或放弃其一名官员可能享有的豁免作出判断。 |
| Although the Commission debated whether to include this paragraph, it ultimately opted to retain it as a useful means of ensuring that the forum State provides the State of the official with at least a minimum amount of relevant information. | 委员会虽然对是否列入该款举行了讨论，但最终选择保留该款，因为它有助于确保法院地国向官员所属国提供起码的相关信息。 |
| At the same time, a margin of discretion is left to the forum State, considering that different State legal systems and practices may have different rules on the permissibility of disclosing certain elements of information that may sometimes be available only to prosecutors or judges. | 然而，考虑到各国法律制度和做法不同，可能会规定以不同的方式披露有时可能只有检察官或法官才能获得的某些信息内容，该款的目的也是给法院地国留下余地。 |
| Accordingly, paragraph 2 is intended to strike a balance between giving the forum State sufficient discretion in the exercise of its criminal jurisdiction and ensuring that it provides the State of the official with sufficient information. | 因此，第2款力求在赋予法院地国在行使刑事管辖权方面充分的自由裁量权和确保其向官员所属国提供充分信息之间取得平衡。 |
| This is the reason for the use of the Latin adverb “inter alia” before the list of elements that must be included, in all cases, in the notification referred to in draft article 9. | 正因为考虑到这一点，在列举第9条草案所指通知中无论如何要列入的信息内容之前使用了“除其他内容外”一语。 |
| (10) The information that must be included in the notification is of three types: (a) the identity of the official, (b) the grounds for the exercise of criminal jurisdiction and (c) the competent authority to exercise jurisdiction. | (10) 通知中应包含的信息分为三类：(a) 官员的身份； (b) 行使刑事管辖权的理由； (c) 行使管辖权的主管当局。 |
| The identity of the official is a basic element for enabling the State of the official to assess whether he or she is indeed one of its officials and to decide on the invocation or waiver of immunity. | 官员的身份是官员所属国评估所涉人士是否实际上是其官员之一并决定援引或放弃豁免的一个基本要素。 |
| With regard to the substantive information to be included in the notification to the State of the official, the Commission took the view that limiting such information to “acts of the official that may be subject to the exercise of criminal jurisdiction”, as originally proposed by the Special Rapporteur, was not sufficient. | 关于应通知官员所属国的实质性信息，委员会认为，如特别报告员最初的建议所述，仅限于“可能受行使刑事管辖权影响的官员的行为”是不够的。 |
| The phrase “grounds for the exercise of criminal jurisdiction” has therefore been used. This more general wording allows for the inclusion in the notification of not only factual elements relating to the official’s conduct, but also information on the law of the forum State on which the exercise of jurisdiction would be based. | 因此，该款中使用了“行使刑事管辖权的理由”一词，其措辞更为笼统，不仅可以在通知中列入与官员行为有关的事实要素，还可以包括关于行使管辖权所依据的法院地国法律的信息。 |
| Finally, the Commission deemed it appropriate to include, in the list of basic items of information, an indication of the authority competent to exercise jurisdiction in the specific case referred to in the notification. | 最后，委员会认为应在基本信息清单中列入有关在通知所涵盖的具体案件中行使管辖权的主管当局的信息。 |
| This reflects the fact that the State of the official may have an interest in identifying the organs responsible for deciding on the initiation of criminal proceedings or the adoption of coercive measures so that, as the case may be, it can contact them and make such arguments on immunity as it deems appropriate. | 之所以有此必要，是因为官员所属国可能有兴趣了解负责决定启动刑事诉讼或采取强制措施的机构，以便酌情与这些机构进行沟通，并在其认为适当的情况下提出豁免问题。 |
| Since the organs with competence to carry out this type of action and to examine the question of immunity may differ from one domestic legal system to another, the generic term “competent authority” has been used, which may include judges, prosecutors, police or other governmental authorities of the forum State. | 考虑到在每个国家国内法律体系中有权采取这类行动并审查豁免问题的机构可能不同，才使用了“主管当局”这一通用术语，可涵盖法院地国的法官、检察官或警官以及其他政府当局。 |
| The use of “competent authority” in the singular is explained by the fact that such an authority will already have been identified in the case to which the notification relates, but this does not mean that competence may not lie with more than one authority. | 之所以使用单数形式的“主管当局”，是因为在通知所涉案件中已经确定主管机关，但这不排除由多个机关行使管辖权的可能性。 |
| (11) Paragraph 3 deals with the means of communication that the forum State may use to transmit the notification to the State of the official. | (11) 第3款是关于法院地国通知官员所属国可用的通信方式。 |
| This issue has not been addressed in any of the international treaties dealing with one form or another of immunity of State officials from criminal jurisdiction. | 任何关于国家官员刑事管辖豁免的国际条约都没有涉及这一问题。 |
| However, the United Nations Convention on Jurisdictional Immunities of States and Their Property specifies the means by which service of process by writ or other document instituting a proceeding against a State must be effected. Under article 22, paragraph 1, it “shall be effected: (a) in accordance with any applicable international convention binding on the State of the forum and the State concerned; | 但是，《联合国国家及其财产管辖豁免公约》规定了送达传票或对一国提起诉讼的其他文书的方式，其中第22条第1款规定如下：“(a) 按照对法院地国和有关国家有约束力的任何可适用的国际公约； |
| or (b) in accordance with any special arrangement for service between the claimant and the State concerned, if not precluded by the law of the State of the forum; | (b) 如果法院地国法律未作禁止，则按照求偿方和有关国家关于送达诉讼文书的特殊安排； |
| or (c) in the absence of such a convention or special arrangement: (i) by transmission through diplomatic channels to the Ministry of Foreign Affairs of the State concerned; | 或(c) 如无此公约或特殊安排，则：(一) 通过外交渠道送交有关国家的外交部； |
| or (ii) by any other means accepted by the State concerned, if not precluded by the law of the State of the forum”. | 或(二) 采取有关国家接受的不受法院地国法律禁止的任何其他方式。 |
| (12) The Commission considered it useful to indicate, in the present draft article, the means of communication that the forum State may use to effect service. | ” (12) 委员会认为，在本条款草案中指明法院地国可用于通知目的的通信渠道是有益的。 |
| To this end, paragraph 3 sets out a model that includes “diplomatic channels” and “any other means of communication accepted for that purpose by the States concerned”. | 为此，第3款界定了一个模式，其中纳入了“外交途径”和“相关国家就此目的都接受的任何其他通信方式”。 |
| (13) Communication through diplomatic channels is the means most frequently used in cases where the question of immunity of State officials from foreign criminal jurisdiction arises. This is largely because the question of whether or not immunity from foreign criminal jurisdiction applies to a particular official of another State, which is a sensitive issue, constitutes a case of “official business” and would therefore fall under article 41, paragraph 2, of the Vienna Convention on Diplomatic Relations. | (13) 在国家官员的外国刑事管辖豁免问题出现的情况下，通过外交途径沟通是最常用的，这在很大程度上是因为，对另一国某一官员适用或不适用外国刑事管辖豁免的问题是一个敏感话题，是“官方事项”，因此应适用《维也纳外交关系公约》第四十一条第二款的规定。 |
| For this reason, “diplomatic channels” have been mentioned first in order to highlight their more frequent use in practice. | 正因为如此，“外交途径”被放在首位，以突出其在实践中的更大分量。 |
| The expression “through diplomatic channels” reproduces the formulation contained in article 22, paragraph 1 (c) (i), of the United Nations Convention on Jurisdictional Immunities of States and Their Property, which was used previously by the Commission in the draft articles on prevention and punishment of crimes against humanity. | “通过外交途径”是《联合国国家及其财产管辖豁免公约》第22条第1款(c)项(一)目的措辞，委员会曾在关于预防和惩治危害人类罪的条款草案中使用过该措辞。 |
| Since that expression is not identical in all official versions of the Convention, the original terms used in the Convention have been retained in the different language versions of the present draft article 9. | 由于这一表述在《公约》各正式版本中并不完全相同，因此在本第9条草案中保留了每种语文版本中最初使用的术语。 |
| (14) In addition to “diplomatic channels”, the text reflects the possibility that States may use other means of communication to provide notifications concerning immunity, some of which are mentioned in article 22 of the United Nations Convention on Jurisdictional Immunities of States and Their Property. | (14) 除“外交途径”外，还考虑到各国可以使用其他通信方式发出与豁免有关的通知，其中一些方式在《联合国国家及其财产管辖豁免公约》第22条已经提到。 |
| This is the reason for the inclusion, in paragraph 3, of the phrase “any other means of communication accepted for that purpose by the States concerned”. | 为此，在第3款中列入了“相关国家就此目的都接受的任何其他通信方式”。 |
| This wording thus provides for an alternative, the use of which will have to be decided upon by the States concerned on a case-by-case basis; such alternatives may be reflected in either international treaties that are general in scope or any other agreements reached by the States concerned. | 这界定了一种替代方式，其使用应由有关国家根据具体情况决定，并可反映在一般国际条约和有关国家可能达成的其他协定中。 |
| Since the means of communication between States may be addressed in instruments dealing with a wide variety of issues, the phrase “for that purpose” has been included to emphasize that the agreements concerned should in any event be relevant to and applicable in cases where the question of immunity of State officials from foreign criminal jurisdiction arises. | 由于国家间通信方式可以在涉及广泛问题的文书中加以规定，因此列入了“为此目的”一词，以强调在任何情况下都可以订立相关协议，可适用于产生国家官员的外国刑事管辖豁免问题的情况。 |
| This does not mean, however, that such agreements must specifically address immunity or include express rules on notification in connection with immunity. | 然而，这并不意味着这些协议应该专门针对豁免权，也不应该对豁免的通知问题作出明确规定。 |
| Finally, it should be noted that the phrase “accepted … by the States concerned” refers to the requirement that such other means of communication must have been accepted by both the forum State and the State of the official. | 最后，应注意一点，“相关国家[…]接受的”这一表达方式是要求其他通信方式必须得到法院地国和官员所属国的接受。 |
| (15) The last phrase of paragraph 3 provides that the other means of communication accepted “for that purpose” by the States concerned “may include those provided for in applicable international cooperation and mutual legal assistance treaties”. | (15) 第3款最后一个短语指出，相关国家“为此目的”接受的其他通信方式“可包括适用的国际合作和司法协助条约所规定的方式”。 |
| The use of such means of communication, which had been suggested by the Special Rapporteur in her original proposal, generated an intense debate in which a number of questions were raised, such as the very concept of “international cooperation and mutual legal assistance treaties”, the fact that such treaties are not intended to address the question of immunity, and the possibility that, depending on the type of State authorities competent to issue and receive notification under such treaties, Ministries of Foreign Affairs and other organs responsible for international relations could be excluded from the notification process dealt with in draft article 9. | 特别报告员在其最初提案中建议使用这一通信方式时，引起了激烈的辩论，有人提出了诸如“国际合作和司法协助条约”这一概念本身的问题，此类条约并不专门对豁免问题作出规定，而且考虑到根据此类条约可以发出和接收通知的国家当局的类型，这可能会将外交部和负责国际关系的其他机关排除在第9条草案所指的通知程序之外。 |
| However, the Commission decided to retain a reference to such means of communication between States on the understanding that they have, on occasion, been used by States and can be a useful tool for facilitating notification. | 尽管如此，委员会决定保留提及各国之间的这一通信方式，但有一项谅解是，此通信方式有时被各国使用，可能是便利通知的有用工具。 |
| (16) For the purposes of the present draft article, “international cooperation and mutual legal assistance treaties” means multilateral or bilateral instruments concluded for the purpose of facilitating cooperation and mutual legal assistance in criminal matters between States. | (16) 就本条草案而言，“国际合作和司法协助条约”是指为便利国家间刑事事项合作和司法协助而缔结的文书，这些文书可以是多边或双边性质的。 |
| Multilateral treaties of this type include, but are not limited to, the European Convention on Mutual Assistance in Criminal Matters and its two additional protocols; | 这类多边条约包括但不限于《欧洲刑事事项互助公约》 及其两项附加议定书； |
| the European Convention on the Transfer of Proceedings in Criminal Matters; | 《刑事事项诉讼转移欧洲公约》； |
| the European Convention on Extradition and its four additional protocols; | 《欧洲引渡公约》 及其四项附加议定书； |
| the Inter-American Convention on Mutual Assistance in Criminal Matters; | 《美洲刑事事项互助公约》； |
| the Inter-American Convention on Extradition; | 《美洲引渡公约》； |
| the Convention on Mutual Assistance in Criminal Matters between the Member States of the European Union; | 《欧洲联盟成员国刑事事项互助公约》； |
| Council Framework Decision 2009/948/JHA of 30 November 2009 on prevention and settlement of conflicts of exercise of jurisdiction in criminal proceedings; | 理事会2009年11月30日关于预防和解决刑事诉讼中行使管辖权冲突的框架决定(2009/948/JHA)； |
| the Convention on Mutual Assistance in Criminal Matters between the Member States of the Community of Portuguese-speaking Countries; | 《葡萄牙语国家共同体成员国刑事事项互助公约》； |
| the Convention on Extradition among the States Members of the Community of Portuguese-speaking Countries; | 《葡萄牙语国家共同体成员国引渡公约》； |
| and the Minsk Convention on Legal Aid and Legal Relations in Civil, Family and Criminal Matters and Chisinau Convention on Legal Assistance and Legal Relations in Civil, Family and Criminal Matters. | 以及《民事、家庭、刑事案件法律援助和法律关系明斯克公约》和《民事、家庭、刑事案件法律援助和法律关系基希讷乌公约》。 |
| Bilateral treaties of this type are so numerous that they would be impossible to list in this commentary, but reference may be made, at least, to the model treaties that have been developed by various international organizations and that form the basis for many bilateral agreements, including the Model Treaty on Mutual Assistance in Criminal Matters, the Model Treaty on the Transfer of Proceedings in Criminal Matters and the Model Treaty on Extradition. | 关于双边条约，由于数目很多，不可能列入本评注中，但至少可以提及在各国际组织内拟订的示范条约，这些示范条约构成许多双边协定的基础。 这些条约包括《刑事事项互助示范条约》、《刑事事件转移诉讼示范条约》 和《引渡示范条约》。 |
| They all contain provisions relating to means of communication between States that could be used in connection with the notification dealt with in draft article 9. | 所有这些文书都载有关于国家间通信方式的规定，可用于第9条草案所述的通知。 |
| (17) The means of communication provided for in international cooperation and mutual legal assistance treaties are defined in draft article 9 as a subcategory of “other means of communication” and may be used only if the treaties in question are “applicable”. This means that both the forum State and the State of the official must be parties to the treaties and that the system established therein must be capable of producing effects in cases where issues relating to the State’s immunity from foreign criminal jurisdiction may arise. | (17) 第9条草案将国际合作和司法协助条约中确立的通信方式称为“其他通信方式”的一个子类别，其使用条件是这些方式是“适用的”，这意味着法院地国和官员所属国都是上述条约的当事方，其中所定的制度在可能出现有关国家的外国刑事管辖豁免问题的情况下能够产生效果。 |
| (18) In any event, it should be emphasized that draft article 9, paragraph 3, does not impose on States any new requirements concerning means of communication other than those already established in the applicable treaties. | (18) 无论如何，应当指出，除适用的条约中已经确立的通信方式外，第9条草案第3款没有就通信方式问题对各国提出新要求。 |
| (19) Finally, with respect to the form of the notification, the Commission members expressed different views as to whether notification should have to be in writing, as they appreciated both the need to avoid abuse in the notification process and the flexibility that the act of notification itself sometimes requires. | (19) 最后，关于通知的形式，委员会委员对是否应采用书面形式表达了不同的意见，他们评估了在通知过程中避免滥用的必要性，以及通知行为本身有时需要的灵活性。 |
| It was ultimately considered unnecessary to provide expressly that notification must be made in writing. | 最后，各位委员认为无须明确说明通知应以书面作出。 |
| Thus, although the general view is that notification should preferably be in written form, other possibilities have not been excluded, particularly since notification – especially through diplomatic channels – is often given orally at first and later in writing, regardless of the form of such written notification (note verbale, letter or the like). | 虽然大家认为通知最好以书面形式发出，但也不排除其他可能性，特别是考虑到通知(特别是通过外交途径发出的通知)往往先是口头作出，随后再书面作出，无论其形式如何(普通照会、信函或类似形式)。 |
| Article 10 Invocation of immunity | 第10条 援引豁免 |
| 1. A State may invoke the immunity of its official when it becomes aware that the criminal jurisdiction of another State could be or is being exercised over the official. | 1. 一国在意识到另一国可能或正在对其官员行使刑事管辖权后，可为其官员援引豁免。 |
| Immunity should be invoked as soon as possible. | 应尽快援引豁免。 |
| 2. Immunity shall be invoked in writing, indicating the identity of and the position held by the official, and the grounds on which immunity is invoked. | 2. 援引豁免应以书面形式进行，表明该官员的身份和所任职务以及援引豁免的理由。 |
| 3. Immunity may be invoked through diplomatic channels or through any other means of communication accepted for that purpose by the States concerned, which may include those provided for in applicable international cooperation and mutual legal assistance treaties. | 3. 援引豁免可通过外交途径进行，或通过相关国家就此目的都接受的任何其他通信方式进行，其中可包括适用的国际合作和司法协助条约所规定的方式。 |
| 4. The authorities before which immunity has been invoked shall immediately inform any other authorities concerned of that fact. | 4. 收到援引豁免有关通信的当局应立即将此情况通知任何其他相关当局。 |
| Commentary | 评注 |
| (1) Draft article 10 addresses the issue of invocation of immunity from a twofold perspective: recognition of the right of the State of the official to invoke immunity, on the one hand; | (1) 第10条草案从两个角度看待援引豁免的问题：一是承认官员所属国援引豁免的权利； |
| and the procedural aspects relating to the timing, content and means of communication of the invocation of immunity, on the other. | 二是叙述关于援引豁免的时间、内容和通信方式的程序方面。 |
| Draft article 10 also refers to the need to inform the competent authorities of the forum State that immunity has been invoked. | 此外，第10条草案还提到需向法院地国主管当局通知援引豁免的信息。 |
| This draft article does not deal with the effects of invocation, which will be addressed later. | 本条款草案不涉及援引的效果，这将在稍后阶段讨论。 |
| Accordingly, neither the paragraph 6 originally proposed by the Special Rapporteur concerning the examination proprio motu of the question of immunity nor a new proposal made by a member of the Drafting Committee concerning the possible suspensive effect of the invocation of immunity was included in the draft article adopted by the Commission. | 因此，委员会通过的本条草案中没有包括特别报告员最初提出的关于自行决定审议豁免问题的第6款 或起草委员会一名成员提出的关于援引豁免可能产生的暂缓效果的新提案。 |
| (2) Paragraph 1 of draft article 10 reflects the content of paragraphs 1 and 2 of the draft article originally proposed by the Special Rapporteur. | (2) 第10条草案第1款采纳了特别报告员最初提议的条款草案第1款和第2款。 |
| It is based on the recognition that the State of the official is entitled to invoke the immunity of its officials when another State seeks to exercise criminal jurisdiction over them. | 内容基于承认官员所属国有权在另一国试图对其官员行使刑事管辖权时援引其官员的豁免权。 |
| Although treaties addressing one form or another of immunity of State officials from foreign criminal jurisdiction do not expressly refer to the invocation of immunity or the corresponding right of the State of the official, invocation of the immunity of State officials is a common practice that is understood to be covered by international law. | 虽然关于国家官员外国刑事管辖的某种形式豁免的条约没有明确提到援引豁免或官员所属国的相应权利，但援引国家官员的豁免是一种普遍做法，被认为是国际法所涵盖的。 |
| The invocation of immunity has a dual purpose: on the one hand, it serves as an instrument with which the State of the official may claim immunity for its official; on the other, it makes the State seeking to exercise jurisdiction aware of this circumstance and enables it to take account of the information provided by the State of the official in the process of determining immunity. | 援引豁免有双重目的，一方面，这是官员所属国要求尊重豁免的一个手段，另一方面，这有助于寻求行使管辖权的国家了解这一情况，并在确定豁免的过程中考虑到官员所属国提供的信息。 |
| (3) The right to invoke immunity rests with the State of the official. | (3) 援引豁免的权利属于官员所属国。 |
| This is easily justified by the fact that the purpose of immunity is to preserve the sovereignty of the State of the official, meaning that immunity is recognized in the interest of the State and not in the interest of the individual. | 豁免的目的是维护官员所属国的主权，这意味着承认豁免是为了国家的利益，而不是个人的利益，这一事实很容易证明上述论点是合理的。 |
| It is thus for the State itself, and not for its officials, to invoke immunity and to take all decisions relating to its possible invocation. | 因此，援引豁免的决定和与援引豁免有关的任何决定均应由国家本身作出而不是由官员作出。 |
| In any event, it is a right of a discretionary nature, which is why the phrase “[a] State may invoke the immunity of its official” has been used. | 无论如何，这是一项任选性质的权利，才使用了“一国…可为其官员援引豁免”这一措辞。 |
| (4) The power to invoke immunity is attributed to the State of the official, though it has not been considered necessary to identify the authorities competent to take decisions relating to the invocation or the authorities competent to invoke immunity. | (4) 援引豁免的权力属于官员所属国，大家认为没有必要确定有权就援引豁免作出决定的当局或有权援引豁免的当局。 |
| Which are those authorities depends on the domestic law, it being understood that this category includes those with responsibility for international relations under international law. | 这类当局是哪些取决于国内法，但应理解为包括根据国际法负责国际关系的当局。 |
| However, this does not mean that immunity cannot be invoked by a person specifically mandated to do so by the State, especially in the context of criminal proceedings. | 然而，这并不排除由国家为此目的而特别授权的人援引豁免，在刑事诉讼中尤其如此。 |
| (5) The invocation of immunity must therefore be understood as an official act whereby the State of the official informs the State seeking to exercise criminal jurisdiction that the individual in question is its official and that, in its view, he or she enjoys immunity, with the consequences that follow from that circumstance. | (5) 因此，援引豁免必须被理解为官员所属国的一种官方行为，据此告知试图行使刑事管辖权的国家，有关人士是其官员，在该国看来，此人士享有豁免权，由此可能产生后果。 |
| Therefore, the earlier immunity is invoked, the more useful it will be. | 故越早援引豁免，越有用。 |
| This is reflected by the indication that the State of the official may invoke immunity “when it becomes aware that the criminal jurisdiction of another State could be or is being exercised over the official”. | 这一点反映在下列表述中：官员所属国在“意识到另一国可能或正在对其官员行使刑事管辖权”后即可援引豁免。 |
| The term “another State” was considered preferable to “forum State” as being broader and more comprehensive, especially since immunity may be invoked prior to the initiation of criminal proceedings in the strict sense. | “另一国”被认为比“法院地国”更可取，其涵盖面更广泛更全面，特别是因为援引豁免可以在严格意义上的刑事诉讼程序启动之前。 |
| The phrase “when it becomes aware” reproduces the expression used in draft article 8. | “意识到”这一表述沿用了第8条草案中使用的词语。 |
| With regard to the way in which the State of the official may become aware of the situation, the Commission took into account, first, the relationship between “notification” and “invocation”. | 关于官员所属国意识到这一情况的方式，委员会首先考虑到了“通知”与“援引”之间的关系。 |
| One of the purposes of notification is to inform the State of the official that the competent authorities of the forum State intend to exercise criminal jurisdiction. It is therefore a primary means by which the State of the official may become aware of the situation. | 通知的目的是将法院地国主管当局行使刑事管辖权的意图告知官员所属国，从而构成官员所属国了解此一情况的主要来源。 |
| However, the Commission did not wish to exclude the possibility that the State of the official might become aware of the situation by another means, either through information received from its official or from any other source of information. | 然而，委员会并不是要排除官员所属国可能以另一种方式意识到这一情况的可能性，这包括从本国官员处收到的信息以及从任何其他信息来源收到的信息。 |
| Therefore, no reference is made to the notification dealt with in draft article 9 as being the relevant act for determining the point in time at which immunity may be invoked. | 因此，此处没有提及将第9条草案所述的通知作为确定可以援引豁免的时间的相关行为。 |
| (6) Paragraph 1 provides for the possibility that the State of the official may invoke immunity when it becomes aware that “the criminal jurisdiction of another State could be or is being exercised over the official”. | (6) 第1款规定，官员所属国在意识到另一国“可能或正在对其官员行使刑事管辖权”后，可援引豁免。 |
| This alternative wording is intended to reflect the fact that in some cases the State of the official may not become aware of actions taken in respect of its official until a later stage. However, this cannot deprive the State of the official of its right to invoke immunity, especially when acts of jurisdiction that may affect the official have already been carried out. | 采用这一措辞是为了表明，官员所属国有时可能在较晚时候才意识到对其官员采取的行动，但这不能剥夺官员所属国援引豁免的权利，尤其是在可能影响该官员的管辖行为已经在实施的情况下。 |
| (7) The last sentence of paragraph 1 provides that “[i]mmunity should be invoked as soon as possible”. | (7) 第1款最后一句是，“应尽快援引豁免”。 |
| The expression “as soon as possible” has been used in light of the fact that the State of the official will have to consider various relevant elements (legal and political) in order to decide whether immunity should be invoked and, if so, what the scope of such invocation should be. | 使用“尽快”一词是因为官员所属国必须分析各种相关因素(法律和政治)，以便决定是否援引豁免，如果是的话，还要确定援引的范围。 |
| Since the State of the official will need a period of time in which to do so, which may vary from one case to another, this phrase has been preferred to “as promptly as possible” or “within a reasonable time”, the interpretation of which may be ambiguous. | 考虑到官员所属国需要的时间可能因情况而异，使用该词比“尽可能从速”或“在合理时间内”更为可取，后者的解释可能有歧义。 |
| Moreover, the phrase “as soon as possible” draws attention to the importance of invoking immunity at an early stage. | 此外，“尽快”一语还提请注意及早援引豁免的重要性。 |
| (8) In any event, it should be borne in mind that, while the invocation of immunity constitutes a safeguard for the State of the official, which thus has an interest in invoking it “as soon as possible”, this does not preclude the State from invoking immunity at any other time. | (8) 无论如何，应当牢记，援引豁免对官员所属国而言是一种保障措施，由于这个原因，官员所属国是“尽快”援引豁免的一个利害关系方，但这并不妨碍该国在任何其他时间援引豁免。 |
| The use of the verb “may” is to be understood in this sense. | “可”字的用法应按此理解。 |
| Such invocation of immunity will be lawful, though it may have different effects, as the case may be. | 援引豁免应依法进行，不论其效果会否因不同情况而不同。 |
| (9) Paragraph 2 concerns the form in which immunity is to be invoked and the content of the invocation. | (9) 第2款涉及援引豁免的方式和豁免的内容。 |
| The Commission took account of the fact that the invocation of immunity by the State of the official is intended to influence the process of determining immunity and the possible blocking of the forum State’s exercise of jurisdiction. | 委员会考虑到，官员所属国援引豁免会影响确定豁免权的进程，可能阻止法院地国行使管辖权。 |
| For this reason, it was considered that immunity must be invoked in writing, regardless of the form that such writing may take. | 因此，大家认为，援引须书面为之，而无论形式为何。 |
| The invocation should explicitly state the identity of the official and the position held by him or her, as well as the grounds on which immunity is invoked. | 援引豁免时应该明确提到官员的身份和职务，以及援引豁免的理由。 |
| (10) The words “the position held” refer to the title, rank or level of the official (such as Head of State, Minister for Foreign Affairs or legal adviser). | (10) “所任职务”指官员的头衔、职级或级别(例如，国家元首、外交部长或法律顾问)。 |
| In any event, the reference to the position held by the official should in no way be interpreted as implying that lower-level officials are not covered by immunity from foreign criminal jurisdiction, since, as the Commission itself has stated, “[g]iven that the concept of ‘State official’ rests solely on the fact that the individual in question represents the State or exercises State functions, the hierarchical position occupied by the individual is irrelevant for the sole purposes of the definition”. | 无论如何，提及官员所任职务在任何情况下都不应解释为将较低级别的官员排除在外国刑事管辖豁免权适用范围之外。 如委员会所述，“鉴于‘国家官员’的概念完全基于有关个人代表国家或行使国家职能这一点，因此，其职位高低与定义的唯一目的无关”。 |
| (11) The Commission took the view that the State of the official should not be required to identify the type of immunity being invoked (ratione personae or ratione materiae), since that might constitute an excessive technical requirement. | (11) 委员会认为，规定官员所属国应说明其援引的豁免类型(属人豁免或属事豁免)是不合适的，这可能是过高的技术要求。 |
| The reference to the position held by the official and the grounds for invoking immunity may provide a basis on which the forum State can assess whether the rules contained in Part Two or Part Three of the present draft articles apply. | 提及官员的职务和援引豁免的理由可为法院地国评估本条款草案第二部分或第三部分所载规则是否适用提供依据。 |
| (12) Paragraph 3 identifies the means by which immunity may be invoked. | (12) 第3款说明援引豁免可用的方式。 |
| This paragraph is modelled on paragraph 3 of draft article 9, the commentary to which may be referred to for clarification of its general meaning. | 该款沿用了第9条草案第3款的模式，在一般含义方面可参考第9条草案第3款评注。 |
| It should be noted, however, that the Commission made some drafting changes to paragraph 3 of the present draft article in order to adapt it to the specific features of invocation. | 然而，应当指出，委员会对本条草案第3款的措辞作了一些修改，以便使其适应援引的具体特点。 |
| In particular, the wording “[i]mmunity may be invoked” has been used instead of “shall be provided” in order not to exclude the possibility that the official’s immunity from criminal jurisdiction may be invoked by other means, especially in criminal proceedings through judicial acts permitted by the law of the forum State. | 具体而言，所用的措辞是“援引豁免可…”，而不是“应”，借此表明不排除以其他方式援引官员的刑事管辖豁免，特别是可以在刑事诉讼中通过法院地国法律允许的司法行为援引豁免。 |
| (13) Paragraph 4 is intended to ensure that the invocation of immunity by the State of the official will be made known to the authorities of the other State that are competent to deal with the question of immunity and with the examination or determination of its application. | (13) 第4款的目的是确保官员所属国援引豁免一事为豁免问题所涉另一国主管当局所知，另一国主管当局应审查或确定豁免的适用。 |
| The purpose of this paragraph is to prevent a situation where an invocation of immunity is ineffective simply because it has not been made before the authorities responsible for examining or deciding on immunity. | 这是为了防止援引豁免仅仅因为没有告知需要审查豁免问题或对其作出判断的当局而无法产生效果。 |
| The paragraph reflects the principle that the obligation to examine and determine the question of immunity rests with the State, which must take the necessary measures to comply with this obligation. It is thus defined as a procedural safeguard benefiting both the State of the official and the State seeking to exercise criminal jurisdiction. | 本款反映了审查和确定豁免问题的义务由国家承担的原则，国家必须采取必要措施履行这一义务，因此这被认为是既有利于官员所属国又有利于拟行使刑事管辖权的国家的程序性保障。 |
| However, in view of the diversity of States’ legal systems and practices, as well as the need to respect the principle of self-organization, it was not considered necessary to identify which authorities are obliged to report and which authorities should receive notice of the invocation. | 然而，鉴于各国现有法律制度和做法各不相同，以及需要尊重自行安排原则，大家认为没有必要说明哪些当局有义务报告或哪些当局应收到援引通知。 |
| This is logically predicated on the understanding that, in both cases, the authorities referred to are those of the State that intends to exercise or has exercised its criminal jurisdiction over an official of another State, and that the words “any other authorities” refer to those authorities that are competent to participate in the processes of examining or determining immunity. | 从逻辑上来看，有一项谅解是，这两种情况下都涉及试图或正在对另一国官员行使刑事管辖权的国家当局，而“其他相关当局”是指有权参与审查或决定豁免问题的当局。 |
| In both cases, it is irrelevant whether they are authorities of the executive, the judiciary or the prosecution service, or even police authorities. | 在这两种情况下，主管当局是指行政机关、司法机关还是指检察官办公室，甚至是指警察当局，都是无关紧要的。 |
| Article 11 Waiver of immunity | 第11条 放弃豁免 |
| 1. The immunity from foreign criminal jurisdiction of the State official may be waived by the State of the official. | 1. 官员所属国可放弃官员的外国刑事管辖豁免。 |
| 2. Waiver must always be express and in writing. | 2. 放弃豁免必须总是以书面形式明确地表达。 |
| 3. Waiver of immunity may be communicated through diplomatic channels or through any other means of communication accepted for that purpose by the States concerned, which may include those provided for in applicable international cooperation and mutual legal assistance treaties. | 3. 放弃豁免可通过外交途径表达，或通过相关国家就此目的都接受的任何其他通信方式表达，其中可包括适用的国际合作和司法协助条约所规定的方式。 |
| 4. The authorities to which the waiver has been communicated shall immediately inform any other authorities concerned that immunity has been waived. | 4. 收到放弃豁免有关通信的当局应立即将豁免已经放弃的情况通知任何其他相关当局。 |
| 5. Waiver of immunity is irrevocable. | 5. 放弃豁免不可撤销。 |
| Commentary | 评注 |
| (1) Draft article 11 deals with the waiver of immunity from a twofold perspective: the recognition of the right of the State of the official to waive immunity, on the one hand, and the procedural aspects relating to the form that the waiver should take and the means by which it is communicated, on the other. | (1) 第11条草案从两个角度处理豁免放弃问题，一是承认官员所属国放弃豁免的权利，二是阐述与放弃的形式和表达方式有关的程序方面事项。 |
| Draft article 11 also refers to the need to inform the competent authorities of the forum State that immunity has been waived. | 此外，第11条草案还提到需将豁免已经放弃的情况通知法院地国主管当局。 |
| Although the structure of draft article 11 is modelled on that of draft article 10, the content of the two is not identical, since invocation and waiver are distinct institutions that should not be confused. | 虽然第11条草案的结构沿用了第10条草案的模式，但两者的内容并不相同，援引和弃权是不同的做法，不能混淆。 |
| (2) In contrast to invocation, the waiver of immunity from jurisdiction has been discussed in detail by the Commission in several of its previous sets of draft articles and has been reflected in the international treaties based on those draft articles, which cover certain forms of immunity from foreign criminal jurisdiction in the case of certain State officials. | (2) 与援引相反，放弃管辖豁免的问题委员会在以前的若干条款草案 中已详细讨论过，并反映在国际条约中。 一些国际条约以这些条款草案为基础，规定了某些国家官员的某些形式的外国刑事管辖豁免。 |
| These include, in particular, the Vienna Convention on Diplomatic Relations (art. 32), the Vienna Convention on Consular Relations (art. 45), the Convention on Special Missions (art. 41) and the Vienna Convention on the Representation of States in Their Relations with International Organizations of a Universal Character (art. 31). | 这些条约包括《维也纳外交关系公约》(第三十二条)、《维也纳领事关系公约》(第四十五条)、《特别使团公约》(第四十一条)和《维也纳关于国家在其对普遍性国际组织关系上的代表权公约》(第三十一条)。 |
| It should be added that the question of the waiver of immunity has also been dealt with in private codification projects on this topic, in particular the 2001 and 2009 resolutions of the Institute of International Law. | 此外，放弃豁免的问题也在关于这一主题的私人编纂项目中得到处理，特别是国际法学会2001年和2009年的决议。 |
| The same is true of the waiver of State immunity, which is addressed both in the United Nations Convention on Jurisdictional Immunities of States and Their Property and in national laws on State immunity. | 放弃国家豁免也是如此，《联合国国家及其财产管辖豁免公约》 和关于国家豁免的国家法律 都对此作出了规定。 |
| (3) The waiver of immunity by the State of the official is a formal act whereby that State waives its right to claim immunity, thus removing this obstacle to the exercise of jurisdiction by the courts of the forum State. | (3) 官员所属国放弃豁免是该国放弃主张豁免权的官方行为，从而消除了对法院地国法院行使管辖权设置的这一障碍。 |
| The waiver of immunity therefore invalidates any debate on the application of immunity or on limits and exceptions to immunity. | 因此，放弃豁免将使任何关于豁免权的适用及其限制和例外的讨论无效。 |
| This effect of a waiver was confirmed by the judgment of the International Court of Justice in the case of the Arrest Warrant of 11 April 2000, in which the Court stated that officials “will cease to enjoy immunity from foreign jurisdiction if the State which they represent or have represented decides to waive that immunity”. | 国际法院在2000年4月11日的逮捕令案中确认了这种放弃的效果，其中指出，“如果官员所代表或曾经代表的国家决定放弃外国管辖豁免，则官员即停止享有这种豁免”。 |
| (4) Paragraph 1 recognizes the right of the State of the official to waive immunity. | (4) 第1款承认官员所属国放弃豁免的权利。 |
| This paragraph reproduces, with minor adjustments, the wording of article 32, paragraph 1, of the Vienna Convention on Diplomatic Relations. | 本款沿用了《维也纳外交关系公约》第三十二条第一款的措辞，仅略作调整。 |
| Draft article 11, paragraph 1, indicates that “[t]he immunity from foreign criminal jurisdiction of the State official may be waived by the State of the official”. | 第11条草案第1款规定，“官员所属国可放弃官员的外国刑事管辖豁免”。 |
| The emphasis is thus placed on the holder of the right to waive immunity, which is the State of the official rather than the official himself or herself. This is a logical consequence of the fact that the immunity of State officials from foreign criminal jurisdiction is recognized for the benefit of the rights and interests of the State of the official. | 这里的重点是放弃权利的持有者，即官员所属国，而不是官员本人，这是为了官员所属国的权利和利益而承认国家官员的外国刑事管辖豁免的合乎逻辑的结果。 |
| Therefore, only that State can waive immunity and thus consent to the exercise by another State of criminal jurisdiction over one of its officials. | 因此，只有官员所属国才能放弃豁免，从而同意另一国对其一名官员行使刑事管辖权。 |
| The verb “may” is used to indicate that the waiver of immunity is a right, not an obligation, of the State of the official. | “可”字用来表示放弃豁免是官员所属国的一项权利，而不是一项义务。 |
| This is in line with the previous practice of the Commission, which, in the various draft articles in which it has dealt with the immunity of State officials from foreign criminal jurisdiction, has reflected the view that there is no obligation to waive immunity. | 这是沿用了委员会以前的做法，在涉及国家官员外国刑事管辖豁免的各种条款草案中，委员会认为国家没有放弃豁免的义务。 |
| (5) The power to waive immunity is attributed to the State of the official, though it has not been considered necessary to identify the authorities competent to take decisions relating to the waiver or the authorities competent to communicate the waiver. | (5) 放弃豁免的权力属于官员所属国，大家认为没有必要确定哪些当局有权就放弃豁免权作出决定，或哪些当局有权传递放弃豁免的决定。 |
| Neither the conventions nor the national laws referred to above deal with this issue in a specific manner, instead referring to the State in abstract terms. | 前文所述的公约和国内法律都没有对这一问题作出具体规定，只是抽象地提及国家。 |
| The Commission itself, in its previous work, has already considered it preferable not to refer expressly to the State organs that are competent to waive immunity. | 委员会在以前的工作中就认为，最好不要明确提及有权放弃豁免的国家机关。 |
| Moreover, State practice is scant and inconclusive. | 此外，国家实践有限，也没有定论。 |
| Which are the competent authorities to waive immunity depends on the domestic law, it being understood that this category includes those with responsibility for international relations under international law. | 哪些是有权放弃豁免权的当局取决于国内法，但应理解为其中包括根据国际法负责国际关系的当局。 |
| However, this does not mean that the waiver of immunity cannot be communicated by any other person specifically mandated to do so by the State, especially in the context of court proceedings. | 然而，这并不意味着放弃豁免权的决定不能由国家为此目的而特别授权的任何其他人传递，在法院诉讼中尤其如此。 |
| (6) In contrast to draft article 10 on invocation, this draft article does not include any temporal element, as the Commission found it unnecessary, given that immunity may be waived at any time. | (6) 与关于援引的第10条草案相反，委员会认为没有必要在本条草案中列入任何时间要素，因为放弃豁免可在任何时候。 |
| (7) Paragraph 2 refers to the form of the waiver, stating that it “must always be express and in writing”. | (7) 第2款提到放弃的形式，规定“必须总是以书面形式明确地表达”。 |
| This wording is modelled on article 32, paragraph 2, of the Vienna Convention on Diplomatic Relations, according to which “[w]aiver must always be express”, and article 45, paragraph 2, of the Vienna Convention on Consular Relations, which provides that “[t]he waiver shall in all cases be express, except as provided in paragraph 3 of this Article [counterclaim], and shall be communicated to the receiving State in writing”. | 这一措辞沿用了《维也纳外交关系公约》第三十二条第二款和《维也纳领事关系公约》第四十五条第二款的模式。 《维也纳外交关系公约》第三十二条第二款规定，“豁免之抛弃，概须明示”。 《维也纳领事关系公约》第四十五条第二款规定，“除本条第三项所规定之情形外，特权及豁免之抛弃概须明示，并应以书面通知接受国”。 |
| The statement that the waiver must be “express and in writing” reinforces the principle of legal certainty. | 放弃豁免必须“以书面形式明确地表达”一语加强了法律确定性的原则。 |
| (8) The requirement that the waiver be express has been consistently reaffirmed by the Commission in previous work, and is reflected in both relevant international treaties and national laws. | (8) 放弃豁免必须明示，这是委员会在以往工作中一直坚持的看法， 并反映在相关国际条约 和国内法 中。 |
| For this reason, the Commission did not retain paragraph 4 of the draft article originally proposed by the Special Rapporteur in her seventh report, which was worded as follows: “A waiver that can be deduced clearly and unequivocally from an international treaty to which the forum State and the State of the official are parties shall be deemed an express waiver”. | 考虑到这一点，委员会没有保留特别报告员在其第七次报告中提议的原条款草案第4款，该款内容如下：“从法院地国和官员所属国均为缔约国的国际条约中可以明确无疑推断出的放弃，应被视为明示放弃。 |
| While members of the Commission generally considered that the waiver of immunity may be expressly provided for in a treaty, there was some criticism of the use of the phrase “can be deduced”, which was understood by some members as recognizing a form of implicit waiver. | ” 委员会委员虽然普遍认为可以在条约中对放弃豁免权作出明确规定， 但对“可以…推断”一语的使用提出了批评意见，一些委员认为这是承认一种默示的放弃。 |
| (9) The possibility that a waiver of immunity may be based on obligations imposed on States by treaty provisions arose, in particular, in the Pinochet (No. 3) case, although this was not the basis of the decision taken by the House of Lords. | (9) 放弃豁免的可能性可产生于条约条款规定的各国应承担的义务，在皮诺切特案(第3号)中就是如此，虽然这并没有构成上议院作出决定的基础。 |
| It has also arisen, albeit from a different perspective, in relation to the interpretation of articles 27 and 98 of the Rome Statute of the International Criminal Court and the duty of States parties to cooperate with the Court. | 尽管角度不同，放弃豁免的可能性还产生于对《国际刑事法院罗马规约》第二十七条和第九十八条的解释 以及缔约国与国际刑事法院合作的义务。 |
| However, the Commission’s view was that there are insufficient grounds for concluding that the existence of such treaty obligations can automatically and generally be understood to waive the immunity of State officials, especially since the International Court of Justice concluded as follows in its judgment in Arrest Warrant of 11 April 2000: “Thus, although various international conventions on the prevention and punishment of certain serious crimes impose on States obligations of prosecution or extradition, thereby requiring them to extend their criminal jurisdiction, such extension of jurisdiction in no way affects immunities under customary international law, including those of Ministers for Foreign Affairs. | 然而，在委员会看来，没有充分的理由认为这种条约义务的存在可以在一般情况下自动被理解为放弃国家官员的豁免，特别是考虑到国际法院在2000年4月11日逮捕令案的判决中的如下意见：“因此，尽管一些关于预防和惩治某些严重罪行的国际公约规定各国有起诉或引渡义务，从而要求它们扩大其刑事管辖权，但这种管辖权的扩大不会以任何方式影响习惯国际法规定的豁免，包括外交部长的豁免。 |
| These remain opposable before the courts of a foreign State, even where those courts exercise such a jurisdiction under these conventions.” | 这种豁免在外国法院继续有效，即使这些法院是根据上述公约行使这种管辖权。 ” |
| (10) In addition to being express, the waiver of immunity must be formulated in writing. | (10) 放弃豁免权，除明示外，还必须以书面形式表述。 |
| This does not, however, affect the precise form that such writing should take, which will depend not only on the will of the State of the official, but also on the means used to communicate the waiver and even on the framework in which it is formulated. | 然而，这并不影响放弃豁免的通知的具体形式，这不仅取决于官员所属国的意愿，而且还取决于用于传递放弃豁免的决定的手段，甚至取决于提出放弃的框架。 |
| Thus, nothing prevents the waiver from being formulated by means of a note verbale, letter or other non-diplomatic written communication addressed to the authorities of the forum State, by means of a procedural act or document, or even by means of any other document that expressly, clearly and reliably affirms the State’s willingness to waive the immunity of its official from foreign criminal jurisdiction. | 因此，没有什么能阻止通过向法院地国当局发出普通照会、信函或其他非外交信件、通过程序性行为或文件，或任何其他文件，明确清楚可靠地表明相关国家愿意放弃其官员的外国刑事管辖豁免。 |
| (11) Finally, attention is drawn to the fact that, in contrast to draft article 10, paragraph 2, this draft article contains no express reference to the content of the waiver, as the Commission did not find it necessary. | (11) 最后，应提请注意的是，与第10条草案第2款相反，委员会认为没有必要在本条草案中明确提及放弃的内容。 |
| Although the members’ views were divided as to whether a reference to content should be included, in the end it was considered preferable to leave a margin of discretion to the State of the official. | 各位委员虽然对是否提及内容有分歧，但最终认为最可取的做法是把自由裁量的空间留给官员所属国。 |
| Accordingly, the words “and shall mention the official whose immunity is being waived and, where applicable, the acts to which the waiver pertains”, which had appeared in the Special Rapporteur’s original proposal, were deleted. | 因此，删除了特别报告员最初提案中所载的“应提及被放弃豁免的官员，并酌情提及放弃豁免所涉及的行为”的措辞。 |
| In any event, the Commission wishes to note that the content of the waiver should be clear enough to enable the State before whose authorities it is submitted to identify the scope of the waiver without ambiguity. | 无论如何，委员会希望指出，放弃的内容必须足够清楚，使接收放弃豁免的通知的国家当局能够清楚地了解放弃的范围。 |
| For this purpose, it is understood that the State of the official should expressly mention the name of the official whose immunity is waived, as well as, where appropriate, the substantive scope it intends to give to the waiver, especially when the State does not wish to waive immunity absolutely, but to limit it to certain acts or to exclude certain acts alleged to have been performed by the official. | 为此目的，一项理解是，官员所属国应明确提及被放弃豁免权的官员的姓名，并酌情提及放弃豁免的实质范围，当该国不希望完全放弃豁免而是将其限于某些行为或排除某些据称由该官员实施的行为时，特别应如此。 |
| If the waiver of immunity is limited in scope, the State of the official may invoke immunity in respect of acts not covered by the waiver, that is, when the authorities of the other State seek to exercise or do exercise their criminal jurisdiction over the same official for acts other than those which gave rise to the waiver or which became known after the waiver was issued. | 如果放弃豁免的范围有限，则官员所属国可对未涵盖的行为援引豁免，即另一国当局试图或正在对同一官员行使刑事管辖权所针对的行为是放弃的范围之外的行为或在表示放弃豁免之后了解到的行为。 |
| (12) Paragraph 3 concerns the means by which the State of the official may communicate the waiver of immunity of its official. | (12) 第3款提到官员所属国可用来传递放弃其官员豁免权的方式。 |
| As this paragraph is thus the counterpart to draft article 10, paragraph 3, it substantially reproduces the wording of that paragraph, with the sole exception of the use of the verb “communicated” in order to align draft article 11, paragraph 3, with article 45 of the Vienna Convention on Consular Relations. | 因此，本款与第10条草案第3款相似，基本沿用了该款的措辞，唯一的例外是使用了动词“表达”，以便使第11条第3款草案与《维也纳领事关系公约》第四十五条案文保持一致。 |
| In view of the parallels between this paragraph 3 and paragraph 3 of draft article 10, reference is made to the commentary to draft article 10 with regard to the question of which authorities of the State of the official are competent to decide on and to communicate the waiver of immunity. | 鉴于此处第3款与第10条草案第3款之间的相似之处，请参考第10条草案关于官员所属国有权就放弃豁免作出决定并予以传递的当局的评注。 |
| In particular, it should be noted that the use of the verb tense “may”, referring to means of communication, is intended to leave open the possibility that the waiver of immunity may be communicated directly to the courts of the forum State. | 尤其应当指出的是，谈到通信方式时使用了“可”字，意在保留将放弃豁免的决定直接通知法院地国法院的可能性。 |
| (13) Paragraph 4 provides that “[t]he authorities to which the waiver has been communicated shall immediately inform any other authorities concerned that immunity has been waived”. | (13) 第4款规定，“收到放弃豁免有关通信的当局应立即将豁免已经放弃的情况通知任何其他相关当局”。 |
| This paragraph is the equivalent of draft article 10, paragraph 4, with some drafting changes only. | 本款对应于第10条草案第4款，其中只对某些用词作了调整。 |
| Since both paragraphs follow the same logic and serve the same purpose, the commentary to draft article 10 in this regard also applies to paragraph 4 of the present draft article. | 由于这两款遵循相同的逻辑，为同样的目的服务，第10条草案关于这一点的评注也适用于本条草案第4款。 |
| (14) Paragraph 5 provides that “[w]aiver of immunity is irrevocable”. | (14) 第5款规定，“放弃豁免不可撤销”。 |
| This provision is based on the premise that once immunity has been waived, its effect is projected into the future and the question of immunity ceases to act as a barrier to the exercise of criminal jurisdiction by the authorities of the forum State. | 这一规定的依据是，一旦放弃豁免，其效果将投射到未来，豁免问题将不再成为法院地国当局行使刑事管辖权的障碍。 |
| Therefore, in light of the effects and the very nature of the waiver of immunity, the conclusion that it cannot be revoked seems obvious, since otherwise the institution would lose all meaning. | 因此，考虑到放弃豁免的效果及其性质，似乎显然可以认为放弃是不可撤销的，否则这一做法将失去其全部意义。 |
| Paragraph 5 of the present draft article nonetheless gave rise to some debate among the members of the Commission. | 尽管如此，本条草案第5款在委员会委员中引起了一些辩论。 |
| (15) This debate relates not to the basis for concluding that the waiver of immunity is irrevocable, but to possible exceptions to irrevocability. | (15) 这场辩论并不影响认为放弃豁免不可撤销的理由，但影响到不可撤销的可能例外情况。 |
| First, it should be noted that the members of the Commission generally agree that paragraph 5, as currently drafted, reflects a general rule that manifests the principle of good faith and addresses the need to respect legal certainty. | 首先应该指出，委员会委员总体上同意，现有第5款反映了体现善意原则的一般规则，并能满足尊重法律确定性的必要性。 |
| However, some members also expressed the view that exceptions to this general rule might be warranted in some situations, such as when new facts not previously known to the State of the official come to light after immunity has been waived; | 然而，一些委员也认为，这条一般规则可能允许某些例外，例如在以下情况下：放弃豁免之后出现了官员所属国原来不知道的新事实； |
| when it is found in a particular case that the basic rules of due process have not been observed during the exercise of jurisdiction by the forum State; | 发现在法院地国对特定案件行使管辖权时，正当程序的基本规则未得到尊重； |
| or when exceptional circumstances of a general nature arise, such as either a change of government or a change in the legal system, that could result in a situation where the right to a fair trial is no longer guaranteed in the State seeking to exercise its criminal jurisdiction. | 或者发生了一般性的例外情况，包括政府更迭或法律制度改变，可能导致在寻求行使刑事管辖权的国家不再能保障获得公正审判的权利。 |
| (16) These considerations gave rise to a debate on the usefulness and desirability of including this paragraph in draft article 11. | (16) 这引起了关于将本款列入第11条草案是否有用、是否可取的辩论。 |
| Some members expressed support for its deletion, particularly since neither the relevant treaties nor the domestic laws of States have expressly referred to the irrevocability of waivers of immunity, and the practice on this issue is limited. | 一些委员表示支持删除本款，特别是考虑到相关条约和各国国内法都没有明确提到放弃豁免不可撤销，而且与此相关的实践很少。 |
| Conversely, other members considered it useful to retain paragraph 5 for reasons of legal certainty and because the Commission itself, referring to the waiver of immunity contemplated in its draft articles on diplomatic intercourse and immunities, stated that “[i]t goes without saying that proceedings, in whatever court or courts, are regarded as an indivisible whole, and that immunity cannot be invoked on appeal if an express or implied waiver was given in the court of first instance”. | 其他委员则认为，出于法律确定性的原因，保留第5款是有益的，并考虑到委员会本身在提及其关于外交往来与豁免的条款草案中所述的放弃豁免时表示，“诉讼程序，无论在哪一个或几个法院中进行，应视为不可分割之整体，如在第一审法院中已对豁免作明示或默示之抛弃，便不得对上诉主张豁免，固不待言”。 |
| However, other members pointed out that the irrevocable nature of waivers of immunity cannot be inferred from that statement. | 然而，其他委员指出，放弃豁免的不可撤销性质不能从这一断言中推断出来。 |
| (17) To address the issue of possible exceptions to the irrevocability of waivers of immunity, some members of the Commission suggested that the wording of paragraph 5 should be modified to introduce attenuating language such as “save in exceptional circumstances” or “in principle”. | (17) 为了解决放弃豁免的不可撤销性可能有例外情况的问题，委员会一些委员建议修改第5款的措辞，列入诸如“除非在特殊情况下”或“原则上”等作为保障。 |
| In their view, this would acknowledge that a waiver may be revoked in special circumstances such as those referred to above. | 他们认为，这将确认，在上述情况等特殊情况下可以撤销放弃。 |
| Other members, on the contrary, took the view that the introduction of such language would further complicate the interpretation of paragraph 5 and that the wording should therefore remain unchanged if the paragraph was ultimately retained in draft article 11. | 其他委员认为，采用这些表述会使第5款的解释进一步复杂化，如果最终决定在第11条草案中保留本款的话，最好不要改变措辞。 |
| In this connection, a view was expressed that, in the final analysis, a waiver of immunity is a unilateral act of the State, the scope of which should be defined in light of the Commission’s 2006 Guiding Principles applicable to unilateral declarations of States capable of creating legal obligations, in particular principle 10. | 关于这一点，有意见认为，放弃豁免权归根结底是一国的单方面行为，其范围应根据委员会2006年通过的适用于能够产生法律义务的国家单方面声明的指导原则(特别是原则10)来界定。 |
| Finally, the difficulty of identifying exceptional circumstances that could justify the revocation of a waiver of immunity was highlighted, although it was reiterated that a change of government or a change of legal system that could be prejudicial to the respect for the official’s human rights and right to a fair trial could fall into this category. | 最后，有人强调，很难确定哪些特殊情况可以证明撤销放弃是合理的，尽管有人重申，这一类特殊情况可包括政府更迭或法律制度改变，因为这种变化可能会有损于对人权的尊重和官员接受公正审判的权利。 |
| On the other hand, doubts were expressed as to whether the emergence of new facts that were not known at the time of the waiver, or the exercise of jurisdiction by the forum State in respect of facts not covered by the waiver, could be categorized as exceptional circumstances, since they were not exceptions, but matters in respect of which the State of the official had not waived immunity, with the result that immunity could be applied under the general rules contained in the draft articles. | 另一方面，关于是否有可能将在放弃豁免时或在法院地国行使管辖权时不为人所知的、放弃豁免的决定不涵盖的新事实的出现列为例外情况，有人对此表示怀疑，因为这些事实并不构成例外情况，而是官员所属国所表示的放弃没有涉及的情况，因此在这些情况下可以根据条款草案所载的一般规则适用豁免。 |
| (18) In view of the discussion summarized in the preceding paragraphs and the practice generally followed in similar cases where there is a divergence of views among the members during the first reading of a draft text, the Commission decided to retain paragraph 5 in draft article 11, thus enabling States to become duly aware of the debate and to provide comments. | (18) 根据前述各段总结的讨论情况以及在条款草案一读期间委员意见分歧的类似情况下普遍遵循的做法，委员会决定在第11条草案中保留第5款，便于各国能够充分了解讨论情况，并发表其评论。 |
| Article 12 [13] Requests for information | 第12[13]条 请求提供信息 |
| 1. The forum State may request from the State of the official any information that it considers relevant in order to decide whether immunity applies or not. | 1. 法院地国可请官员所属国提供其认为相关的任何信息，以便决定豁免是否适用。 |
| 2. The State of the official may request from the forum State any information that it considers relevant in order to decide on the invocation or the waiver of immunity. | 2. 官员所属国可请法院地国提供其认为相关的任何信息，以便决定援引或放弃豁免。 |
| 3. Information may be requested through diplomatic channels or through any other means of communication accepted for that purpose by the States concerned, which may include those provided for in applicable international cooperation and mutual legal assistance treaties. | 3. 可通过外交途径请求提供信息，或通过相关国家就此目的都接受的任何其他通信方式进行，其中可包括适用的国际合作和司法协助条约所规定的方式。 |
| 4. The requested State shall consider any request for information in good faith. | 4. 被请求国应善意地考虑任何关于提供信息的请求。 |
| Commentary | 评注 |
| (1) Draft article 12 provides that both the forum State and the State of the official may request information from the other State. | (1) 第12条草案指出，法院地国和官员所属国均可请对方提供信息。 |
| It is the last of the procedural provisions under Part Four of the draft articles before reference is made to the determination of whether immunity applies or not. This is the subject of draft article 13, which has not yet been considered by the Drafting Committee. | 这是列入条款草案第四部分的最后一项程序性规定，之后才述及确定豁免是否适用的问题，豁免是否适用是第13条草案涉及的问题，起草委员会尚未予以审议。 |
| Draft article 12 consists of four paragraphs referring to the right of the States concerned to request information (paras. 1 and 2), the procedure for requesting information (para. 3) and the manner in which the requested State ”shall consider” the request (para. 4). | 第12条草案分为四款，述及有关国家请求提供信息的权利(第1和第2款)、请求提供信息的程序(第3款)和被请求国“应考虑”这种请求的方式(第4款)。 |
| (2) Paragraphs 1 and 2 indicate that both the forum State and the State of the official may request information. | (2) 第1款和第2款指出，法院地国和官员所属国均可请求提供信息。 |
| Although the Commission takes the view that requests for information follow the same logic regardless of whether they come from one State or the other, for the sake of clarity it preferred to address the two situations in separate paragraphs. | 虽然委员会认为法院地国和官员所属国请求提供信息时遵循相同的逻辑，但为清楚起见，最好分两款列出每种情况。 |
| The two paragraphs use similar wording, the only difference being the ultimate objective pursued by the requesting State, which is, for the forum State, “to decide whether immunity applies or not” and, for the State of the official, “to decide on the invocation or the waiver of immunity”. | 这两款措辞类似，唯一的不同是请求国追求的最终目的不同，法院地国“决定豁免是否适用”，而官员所属国则“决定援引或放弃豁免”。 |
| (3) The request for information referred to in paragraphs 1 and 2 is made with such an ultimate purpose in mind and should be understood as part of the process that a State must follow in order to decide on immunity in a specific case, from the perspective of either the forum State (examination and determination of immunity) or the State of the official (invocation or waiver of immunity). | (3) 第1款和第2款提到的提供信息的请求是考虑到这种最终目的的，应在国家为对某一特定案件的豁免作出决定而应遵循的程序范围内予以理解，无论是从法院地国的角度(考虑和确定豁免)还是从官员所属国的角度(援引或放弃豁免)来看均是如此。 |
| This is why the expression “in order to decide” is used in both paragraphs, to show that in both cases the final decision will be the outcome of a process that may involve different phases and acts. | 因此，这两款都用了“以便决定”，这表明在这两种情形下，最后的决定都是一个过程的结果，这个过程可能包括不同的阶段和行动。 |
| (4) When it adopted draft article 12, the Commission took account of the fact that, in order to determine whether or not immunity applies, the forum State will need information on the official in question (name, position within the State, scope of authority, etc.) and on the connection between the State of the official and the acts of the official that may give rise to the exercise of criminal jurisdiction. | (4) 委员会在通过第12条草案时考虑到，为了确定豁免是否适用问题，法院地国需要有与所涉官员有关的信息(姓名、在国内的职务、职权等)以及官员所属国与官员行为的关系，而这种行为可能是行使刑事管辖权的基础。 |
| This information is important for enabling the forum State to take a decision on immunity, especially in the case of immunity ratione materiae, but it may be known only to the State of the official. | 这一信息对于使法院地国能够就豁免作出决定(特别是在属事豁免的情况下)很重要，但可能只为官员所属国所知。 |
| The same is true in cases where the State of the official must decide whether to invoke or waive immunity, since that State may need to obtain information on the law or the competent organs of the forum State or on the stage reached in the activity undertaken by the forum State. | 从官员所属国的角度来看，为了决定援引或放弃豁免，情况也是如此，因为官员所属国可能需要获得关于法院地国国内法律、主管机关的信息或关于法院地国开展工作的状况的信息。 |
| Draft article 12 is intended to facilitate access to such information. | 第12条草案的目的是为获取此类信息提供便利。 |
| (5) The information referred to in the preceding paragraph may already be in the possession of the forum State or the State of the official, especially if the provisions of draft articles 9 (on notification), 10 (on invocation) or 11 (on waiver) have been applied prior to the request for information. | (5) 上一段提及的信息可能已经为法院地国或官员所属国所掌握，尤其是在第9条草案(通知)、第10条草案(援引)和第11条草案(放弃)的规定在请求提供信息之前已经适用的情况下。 |
| In acting under those provisions, the forum State and the State of the official undoubtedly will have provided information to each other. | 毫无疑问，通过这些规定，法院地国和官员所属国会相互提供信息。 |
| However, it is still possible that the information received by those means may in some cases be insufficient for the purposes of the aforementioned objectives. | 然而，在一些情况下，通过这些途径收到的信息可能不足以达到上述目的。 |
| In these circumstances, in particular, requests for information become a necessary and useful tool for ensuring the proper functioning of immunity, while also strengthening cooperation between the States concerned and building confidence between them. | 因此，特别是在这些情况下，请求提供信息成为确保豁免权正常运作的有用且必要的工具，这也有助于加强有关国家之间的合作并建立相互信任。 |
| The system for requesting information provided for in draft article 12 therefore serves as a procedural safeguard for both States. | 有鉴于此，第12条草案规定的请求提供信息制度构成对两国的程序性保障。 |
| (6) The request may relate to any item of information that the requesting State considers useful for the purpose of taking a decision concerning immunity. | (6) 请求提供信息可能涉及请求国认为有助于就豁免作出决定的任何要素。 |
| Given the variety of items of information that may be taken into account by States for the purpose of deciding on the application, invocation or waiver of immunity, it is not possible to draw up an exhaustive list of such items. | 鉴于各国在决定豁免是否适用或决定援引或放弃豁免时可能考虑的要素很多，不可能拟订一份详尽的要素清单。 |
| The Commission opted to use the expression “any information that it considers relevant”, in preference to “the necessary information”, as the adjective “necessary” could be understood in a narrow, literal sense, especially in English. | 委员会选择使用“其认为相关的任何信息”一语，认为这比“必要的信息”更可取，因为形容词“必要的”可能具有限制性，过于正式，在英语里特别如此。 |
| Conversely, the use of the word “relevant” acknowledges that the requesting State (be it the forum State or the State of the official) has the right to decide on the relevant information that it wishes to request in each case, as provided in a number of international instruments. | 相反，根据几项国际文书 的规定，使用“相关”一词使请求国(无论是法院地国还是官员所属国)有权在每一种情况下决定它希望收到的相关信息。 |
| (7) Paragraph 3 refers to the channels through which information may be requested. | (7) 第3款提到可以请求提供信息的途径。 |
| This paragraph is modelled on paragraph 3 of draft articles 9, 10 and 11, the wording of which it reproduces mutatis mutandis. The commentaries to those draft articles are thus applicable to this paragraph. | 本款沿用第9、10和11条草案第3款的模式，措辞比照使用，因此，这些条款草案的评注也适用于本款。 |
| (8) The Commission nonetheless wishes to draw attention to its decision not to include in draft article 12 a paragraph on internal communication between authorities of the forum State or the State of the official, similar to paragraph 4 of draft articles 10 and 11. | (8) 不过，委员会希望提请注意的一点是，委员会决定不在第12条草案中列入与第10条和第11条草案第4款类似的关于法院地国或官员所属国当局之间内部沟通的一款。 |
| This is because the request for information should be understood to refer essentially to information that, in many cases, will be complementary or additional to the information already in the possession of the forum State or the State of the official, and that therefore will usually be sought at a more advanced stage of the process. | 原因是，请求提供的信息，应被理解为主要指补充信息或额外信息，在许多情况下，这些信息是对法院地国或官员所属国已经拥有的信息的补充，基本上产生于诉讼程序的较后阶段。 |
| Thus, it is likely that the competent decision-making authority in each State will already be known to the other and that it is therefore not necessary to introduce this element, which operates as a safeguard clause. | 因此，有理由认为，这两国中的任何一国有权作出决定的当局已经为对方所知，没有必要列入这一作为保障条款的要素。 |
| In any event, if the request for information is made at a time when the authorities are only beginning to deal with the question of immunity, there is no reason not to apply the principle that the competent authorities of the same State have an obligation to communicate with each other. | 无论如何，如果索取信息的请求是在处理豁免问题的早期提出的，应当认为，没有理由不适用同一国家主管当局之间有沟通义务的原则。 |
| (9) Paragraph 4 replaces paragraphs 4 and 5 originally proposed by the Special Rapporteur, which listed the possible grounds for refusal of the request and the conditions to which both the request for information and the information provided could be subject, including confidentiality. | (9) 第4款取代特别报告员最初提议的第4和第5款，这两款列出拒绝接受请求的可能的理由，以及索取信息和提供信息的可能的条件，特别是保密性。 |
| The Commission considered it preferable to include in draft article 12 a simpler paragraph merely setting out the principle that any request for information must be considered in good faith by the requested State, be it the forum State or the State of the official. | 委员会认为，较可取的做法是在第12条草案中列入较简单的一款，仅说明索取信息的任何请求都将由被请求国(无论是法院地国还是官员所属国)善意考虑的原则。 |
| There are several reasons for this. | 这有几个原因。 |
| First, the original proposal listing the permitted grounds for refusal could be interpreted a contrario as recognizing an obligation to provide the requested information. Such an obligation, however, does not exist in international law, except in respect of specific obligations that may be laid down in international cooperation and mutual legal assistance agreements or other treaties. | 首先，最初的提案列出了允许拒绝的理由，但可以相反地解释为承认提供所要求的信息的义务，而国际法中不存在这种义务，除非涉及国际合作和司法协助的条约或其他条约中可能包含具体义务。 |
| Second, the original proposal could conflict with any systems for requesting and exchanging information that may be established in international cooperation and mutual legal assistance treaties, which would in any case apply between the States parties. | 其次，最初的提案可能与国际合作和司法协助条约中确立的请求和交换信息的制度相冲突，而这些制度在任何情况下在缔约国之间都适用。 |
| Third, the establishment of a confidentiality rule could conflict with State rules governing confidentiality. | 第三，确立保密规则可能与国家保密规则相冲突。 |
| Fourth and last but not least, the purpose of draft article 12 is to promote cooperation and the exchange of information between the forum State and the State of the official, but this purpose could be undermined or called into question if the draft article expressly listed grounds for refusal and rules of conditionality. | 第四，这一点并非最不重要，第12条草案的目的是促进法院地国和官员所属国的合作和信息交流，如果条款草案明确列出拒绝理由和附带条件的规则，这一目的可能会受到损害或受到质疑。 |
| (10) In the Commission’s view, however, the above considerations do not give grounds for ignoring the question of the criteria that States should follow in assessing requests for information. | (10) 然而，委员会认为，上述理由不足以成为忽视各国在评估关于提供信息的请求时应遵循的标准的充分理由。 |
| It therefore opted for wording that sets out, in a simple manner, the obligation of the requested State to consider in good faith any request that may be addressed to it. | 因此，委员会选择了简单地表明被请求国有义务善意考虑向其提出的任何请求的措辞。 |
| The term “requested State” reflects the terminology commonly used in international cooperation and mutual legal assistance treaties, which is familiar to States. | “被请求国”一词与各国熟悉的国际合作和司法协助条约中常用的术语是一致的。 |
| (11) The expression “shall consider … in good faith” in paragraph 4 refers to the general obligation of States to act in good faith in their relations with third parties. | (11) 第4款中的“应善意地考虑”一语是指各国在与第三方的关系中本着善意行事的一般义务。 |
| The scope of this obligation, by its very nature, cannot be analysed in the abstract and must be determined on a case-by-case basis. | 就性质而言，这项义务的范围不能加以抽象分析，而必须逐案确定。 |
| Its inclusion in draft article 12 should be understood in the context defined by the draft article itself: as a procedural tool for promoting cooperation between the forum State and the State of the official to enable each of them to form a sound judgment to serve as a basis for the decisions referred to in paragraphs 1 and 2. | 这项义务被纳入第12条草案，应在本条草案本身界定的背景下加以理解，即作为有利于法院地国和官员所属国之间合作的程序性工具，以便每个国家都能形成正确的判断，作出第1款和第2款所指的决定。 |
| Accordingly, the expression “shall consider … in good faith” should be interpreted in the light of two elements operating together: first, the obligation to examine the request; | 因此，理解“应善意地考虑”一语，应考虑到同时运作的两个要素：第一，考虑请求是一项义务； |
| and second, the requirement to do so with the intention of helping the other State to take an informed and well-founded decision on whether or not immunity applies, or on the invocation or waiver of immunity. | 第二，考虑这方面的请求的目的是便利另一国在考虑豁免是否适用或考虑援引或放弃豁免时作出知情、能提出理由的决定。 |
| The expression “shall consider … in good faith” thus reflects an obligation of conduct and not an obligation of result. | 因此，“应善意地考虑”一语反映的是行为义务，而不是结果义务。 |
| (12) The requested State should take these elements into account as a starting point for the examination of any request for information, but nothing prevents it from also considering other elements or circumstances in reaching a decision on the request, such as, inter alia, concerns of sovereignty, public order, security and essential public interest. | (12) 被请求国在作出答复时应考虑到这些要素，以此作为考虑关于提供信息的任何请求的起点，但没有任何理由阻止被请求国在就此事作出决定时也考虑其他要素或情况，如主权、公共秩序、安全和基本公共利益等问题。 |
| In any event, the Commission did not consider it necessary to refer expressly to these elements in draft article 12, recognizing that it is for the requested State to identify the reasons justifying its decision. | 无论如何，委员会认识到应由被请求国确定其决定的理由，因此认为没有必要在第12条草案中明确提及这些要素。 |
| (13) The Commission did not consider it necessary to refer expressly, in paragraph 4, to the possibility of attaching conditions to the provision of the requested information. | (13) 委员会认为没有必要在第4款中明确提及对提供所要求的信息附加条件的可能性。 |
| However, nothing would prevent the requested State from assessing whether to formulate conditions as part of the process of “considering in good faith” a request for information, especially if this would facilitate or encourage the provision of the requested information. | 但是，任何事情都不能阻止被请求国评估如何确立条件，作为“善意考虑”任何关于提供信息的请求的过程的一部分，特别是在这样做便利或有利于提供所请求的信息的情况下。 |
| Chapter VII Succession of States in respect of State responsibility | 第七章 国家责任方面的国家继承 |
| A. Introduction | A. 导言 |
| 116. At its sixty-ninth session (2017), the Commission decided to include the topic “Succession of States in respect of State responsibility” in its programme of work and appointed Mr. Pavel Šturma as Special Rapporteur. | 116. 委员会第六十九届会议(2017年)决定将“国家责任方面的国家继承”专题列入工作方案，并任命帕维尔·斯图尔马先生为特别报告员。 |
| The General Assembly subsequently, in its resolution 72/116 of 7 December 2017, took note of the decision of the Commission to include the topic in its programme of work. | 联大随后在2017年12月7日第72/116号决议中表示注意到委员会决定将本专题列入工作方案。 |
| 117. At the same session, the Commission considered the first report of the Special Rapporteur (A/CN.4/708), which set out the Special Rapporteur’s approach to the scope and outcome of the topic, and provided an overview of general provisions relating to the topic. | 117. 在同一届会议上，委员会审议了特别报告员的第一次报告(A/CN.4/708)，特别报告员在报告中阐明了研究本专题范围和成果的方法，并概述了与本专题相关的一般规定。 |
| Following the debate in plenary, the Commission decided to refer draft articles 1 to 4, as contained in the first report of the Special Rapporteur, to the Drafting Committee. | 经全体会议辩论后，委员会决定将特别报告员第一次报告所载的第1至第4条草案转交起草委员会。 |
| The Commission subsequently took note of the interim report of the Chair of the Drafting Committee regarding draft articles 1 and 2, provisionally adopted by the Committee, which was presented to the Commission for information only. | 委员会随后注意到起草委员会主席关于起草委员会暂时通过的第1和第2条草案的临时报告，该报告提交委员会仅供参考。 |
| 118. At its seventieth session (2018), the Commission considered the second report of the Special Rapporteur (A/CN.4/719), which discussed the legality of succession, the general rules on succession of States in respect of State responsibility, and certain special categories of State succession to the obligations arising from responsibility. | 118. 委员会第七十届会议(2018年)审议了特别报告员的第二次报告(A/CN.4/719)，其中讨论了继承的合法性、国家责任方面的国家继承的一般规则，以及责任所致义务方面的国家继承的特殊类别。 |
| Following the debate in plenary, the Commission decided to refer draft articles 5 to 11, as contained in the second report of the Special Rapporteur, to the Drafting Committee. | 经全体会议辩论后，委员会决定将特别报告员第二次报告所载的第5至第11条草案转交起草委员会。 |
| The Commission subsequently took note of the interim report of the Chair of the Drafting Committee on draft article 1, paragraph 2, and draft articles 5 and 6, provisionally adopted by the Committee, which was presented to the Commission for information only. | 委员会随后注意到起草委员会主席关于起草委员会暂时通过的第1条第2款和第5条及第6条草案的临时报告，该报告提交委员会仅供参考。 |
| 119. At its seventy-first session (2019), the Commission considered the third report of the Special Rapporteur (A/CN.4/731), which discussed reparation for injury resulting from internationally wrongful acts committed against the predecessor State and against the nationals of the predecessor State. | 119. 委员会第七十一届会议(2019年)审议了特别报告员的第三次报告(A/CN.4/731)，这份报告讨论了对被继承国以及对被继承国国民犯下的国际不法行为造成的损害的赔偿问题。 |
| The report also contained technical proposals in relation to the scheme of the draft articles. | 这份报告还载有关于条款草案整体构架的技术性建议。 |
| The Commission also had before it a memorandum by the Secretariat providing information on treaties which may be of relevance to its future work on the topic (A/CN.4/730). | 委员会还收到了秘书处的一份备忘录，其中提供了可能与委员会今后关于本专题的工作有关的条约资料(A/CN.4/730)。 |
| Following the debate in plenary, the Commission decided to refer draft articles 2, paragraph (f), X, Y, 12, 13, 14 and 15, and the titles of Part Two and Part Three, as contained in the third report of the Special Rapporteur, to the Drafting Committee. | 经全体会议辩论之后，委员会决定将特别报告员第三次报告所载第2条草案(f)段、第X条、第Y条、第12条、第13条、第14条和第15条草案以及第二部分和第三部分的标题转交起草委员会。 |
| The Commission subsequently considered a first report of the Drafting Committee on the topic and provisionally adopted draft article 1, draft article 2, paragraphs (a) to (d), and draft article 5, which had been provisionally adopted by the Drafting Committee at the sixty-ninth and seventieth sessions, with commentaries thereto. | 委员会之后审议了起草委员会关于本专题的第一次报告，并暂时通过了第1条草案、第2条草案(a)段至(d)段和第5条草案及其评注，上述草案已由起草委员会第六十九届和第七十届会议暂时通过。 |
| The Commission also took note of the interim report of the Chair of the Drafting Committee on draft articles 7, 8 and 9, provisionally adopted by the Committee, which was presented to the Commission for information only. | 委员会还注意到起草委员会主席关于起草委员会暂时通过的第7、第8和第9条草案的临时报告，该报告提交给委员会仅供参考。 |
| B. Consideration of the topic at the present session | B. 本届会议审议此专题的情况 |
| 120. At the present session, the Commission had before it the fourth report of the Special Rapporteur (A/CN.4/743). | 120. 委员会本届会议收到了特别报告员的第四次报告(A/CN.4/743)。 |
| 121. In his fourth report, composed of three parts, the Special Rapporteur provided an overview of the work on the topic, which included a summary of the debate in the Sixth Committee and an explanation of the methodology of the report (Part One). | 121. 特别报告员的第四次报告由三部分组成，特别报告员在这份报告中概述了关于本专题的工作，其中包括第六委员会辩论摘要和对该报告的方法的解释(第一部分)。 |
| The Special Rapporteur then addressed questions related to the impact of succession of States on forms of responsibility, in particular different forms of reparation (restitution, compensation and satisfaction), the obligation of cessation and assurances and guarantees of non-repetition (Part Two). | 之后，特别报告员讨论了国家继承对责任形式的影响的相关问题，特别是赔偿的不同形式(恢复原状、补偿和抵偿)、停止义务以及不重复的承诺和保证(第二部分)。 |
| Lastly, the Special Rapporteur discussed the future programme of work on the topic (Part Three). | 最后，特别报告员讨论了本专题今后的工作方案(第三部分)。 |
| Five new draft articles (draft articles 7 bis, 16, 17, 18 and 19) were proposed in the fourth report. | 第四次报告中提出了五条新的条款草案(第7条之二、第16条、第17条、第18条和第19条草案)。 |
| 122. At its 3528th meeting, on 21 May 2021, the Commission provisionally adopted draft articles 7, 8 and 9, which had been provisionally adopted by the Drafting Committee at the seventy-first session (2019) (see sect. C.1 below). | 122. 在2021年5月21日第3528次会议上，委员会暂时通过了第7、第8和第9条草案，上述草案已由起草委员会第七十一届会议(2019年)暂时通过(见下文C.1节)。 |
| 123. The Commission considered the fourth report of the Special Rapporteur at its 3531st to 3537th meetings, from 5 to 12 July 2021. | 123. 委员会在2021年7月5日至12日的第3531次至第3537次会议上审议了特别报告员的第四次报告。 |
| At its 3537th meeting, on 12 July 2021, the Commission decided to refer draft articles 7 bis, 16, 17, 18 and 19, as contained in the fourth report of the Special Rapporteur, to the Drafting Committee, taking into account the views expressed in the plenary debate. | 在2021年7月12日第3537次会议上，委员会决定结合全体辩论中表达的意见，将特别报告员第四次报告所载的第7条之二、第16条、第17条、第18条和第19条草案转交起草委员会。 |
| 124. At its 3552nd meeting, on 28 July 2021, the Chair of the Drafting Committee presented an interim report on draft articles 10, 10 bis and 11, provisionally adopted by the Committee at the present session. | 124. 在2021年7月28日第3552次会议上，起草委员会主席提交了关于起草委员会本届会议暂时通过的第10条、第10条之二和第11条草案的临时报告。 |
| The interim report was presented for information only and is available on the website of the Commission. | 提交的临时报告仅供参考，可在委员会网站上查阅。 |
| 125. At its 3560th to 3562nd meetings, on 4 and 5 August 2021, the Commission adopted the commentaries to draft articles 7, 8 and 9 provisionally adopted at the present session (see sect. C.2 below). | 125. 在2021年8月4日和5日第3560至第3562次会议上，委员会通过了本届会议暂时通过的第7、第8和第9条草案的评注(见下文C.2节)。 |
| 1. Introduction by the Special Rapporteur of the fourth report | 1. 特别报告员介绍第四次报告 |
| 126. The Special Rapporteur first reiterated the following general considerations for the Commission’s work on the topic, as outlined in Part One of his fourth report: (a) the subsidiary nature of the draft articles and the priority of agreements entered into between States concerned; | 126. 特别报告员首先重申了他在第四次报告第一部分中概述的委员会关于本专题工作的以下一般考虑：(a) 条款草案的附属性质和有关国家之间缔结的协定的优先性； |
| (b) the importance of preserving consistency with the previous work of the Commission, in particular its articles on responsibility of States for internationally wrongful acts; | (b) 与委员会先前的工作(特别是《国家对国际不法行为的责任条款》)保持一致的重要性； |
| (c) the role of the concepts of equity, equitable proportion and distribution of rights and obligations; | (c) 权利和义务的公平、公平比例或分配的概念的作用； |
| (d) the specificity of cases of succession of States that inevitably combines political and legal considerations; | (d) 不可避免地会结合政治和法律考虑的国家继承情况的特殊性； |
| (e) the fact that neither the “clean slate” rule nor automatic succession were accepted as general rules; | (e)“白板”规则和自动继承均未被接受为一般规则这一事实； |
| and (f) the need to combine codification with progressive development of international law. | (f) 将国际法的编纂与逐渐发展结合起来的需要。 |
| 127. The Special Rapporteur then stated that Part Two of the report concerned the impact of succession of States on forms of responsibility. | 127. 特别报告员进而指出，报告的第二部分涉及国家继承对责任形式的影响。 |
| Part Two dealt with forms of responsibility and legal consequences that could be applicable in situations of succession of States, while maintaining consistency with the articles on responsibility of States for internationally wrongful acts. | 第二部分讨论了在国家继承情况下可能适用的责任形式和法律后果，同时与《国家对国际不法行为的责任条款》保持一致。 |
| The report and the draft articles proposed therein respected the continuing applicability of general rules of State responsibility with respect to a predecessor State, subject to the material impossibility of that State providing a specific form of reparation. | 报告和其中提出的条款草案认可国家责任一般规则继续适用于被继承国，被继承国实际不可能提供某一具体形式赔偿的除外。 |
| Special circumstances that warranted certain forms of reparation by a successor State or States were also discussed. | 报告还讨论了需要一个或多个继承国作出特定形式赔偿的特殊情况。 |
| Additionally, the report contained an analysis of (a) situations of actual succession of States to international rights and obligations arising from State responsibility, and (b) situations when the State incurs responsibility for its own internationally wrongful acts, even in the case of succession of States. | 此外，报告还分析了(a) 国家对国家责任所产生的国际权利和义务的实际继承情况，以及(b) 即便在国家继承的情况下，国家仍要为本国的国际不法行为承担责任的情形。 |
| 128. With respect to the proposed draft articles, the Special Rapporteur explained that the report addressed the question of composite acts, in response to a request from members of the Drafting Committee at the seventy-first session (2019) of the Commission during the debate on draft article 7 (acts having a continuing character). | 128. 关于拟议的条款草案，特别报告员解释称，报告述及了复合行为的问题，以回应起草委员会成员在委员会第七十一届会议(2019年)关于第7条草案(具有持续性的行为)的辩论期间提出的要求。 |
| Draft article 7 bis (composite acts) was proposed further to the Special Rapporteur’s analysis in the second and fourth reports and was deemed useful in order to clarify the issue of composite acts. | 第7条之二草案(复合行为)是根据特别报告员第二次和第四次报告中的分析提出的，被视为有助于澄清复合行为的问题。 |
| The Special Rapporteur considered that composite acts differed from acts having a continuing character. | 特别报告员认为，复合行为与具有持续性的行为不同。 |
| Draft article 7 bis did not purport to establish a new rule but rather built upon the application of general rules of responsibility of States in the context of succession of States. | 第7条之二草案并不打算建立一项新的规则，而是立足于在国家继承情况下适用国家责任的一般规则。 |
| 129. Turning to the draft articles on the different forms of reparation, the Special Rapporteur explained that draft articles 16 (restitution) and 17 (compensation) followed similar structures. | 129. 特别报告员在述及关于不同赔偿形式的条款草案时解释称，第16条草案(恢复原状)和第17条草案(补偿)采用了类似的结构。 |
| Both draft articles provided for the obligations of predecessor and successor States in relation to restitution and compensation, as relevant. | 两条草案都规定了相关情况下被继承国和继承国在恢复原状和补偿方面的义务。 |
| The two draft articles also addressed apportionment of responsibility or other relevant agreements between the successor State and the predecessor State or another successor State. | 这两条草案还述及了继承国与被继承国或另一继承国之间的责任分摊或其他相关协定。 |
| The Special Rapporteur further explained that draft article 16 was in line with the articles on responsibility of States for internationally wrongful acts and draft article 17 was informed by an analysis of practice, including decisions of the European Court of Human Rights and the United Nations Compensation Commission. | 特别报告员进一步解释称，第16条草案与《国家对国际不法行为的责任条款》一致，第17条草案则参考了对有关实践的分析，包括欧洲人权法院和联合国赔偿委员会的决定。 |
| 130. Moreover, the Special Rapporteur had examined satisfaction as a form of reparation for non-material injury, as proposed in draft article 18. | 130. 此外，特别报告员还研究了第18条草案中提出的抵偿作为非物质损害的一种赔偿形式的问题。 |
| A distinction had to be made between the traditional perspective and the modern law of State responsibility. | 必须在传统视角与现代的国家责任法之间进行区分。 |
| Under the former, the nature of moral injury appeared to be linked to the bilateral relations of the States concerned and to their dignity and personality. | 根据前者，精神损害的性质似乎与有关国家的双边关系及其尊严和人格有关。 |
| The latter envisaged the notion of “legal injury”, which was mainly related to breaches of obligations that protected essential collective interests of a group of States or the international community of States. | 后者则设想了“法律损害”这一概念，主要涉及对保护一组国家或国际社会基本集体利益的整体义务的违背。 |
| That included the protection of human rights or the prevention and punishment of crimes under international law. | 这种义务包括保护人权或防止和惩罚国际法所规定的罪行。 |
| While the fourth report pointed to the examples contained in the Commission’s commentary to article 37 of the articles on responsibility of States for internationally wrongful acts, the report focused on the investigation and punishment of responsible persons as the most appropriate form of satisfaction in cases of serious violations of obligations erga omnes. | 第四次报告指出了《国家对国际不法行为的责任条款》第37条委员会评注中所载的例子，但报告的重点是调查和惩罚责任人，将之视为严重违反普遍义务的情况下最适当的抵偿形式。 |
| The Special Rapporteur clarified that the report examined the case law regarding crimes under international law committed in the territory of the former Yugoslavia, as they were the most significant examples in modern practice and had been tried at the national and international levels. | 特别报告员澄清称，报告研究了在前南斯拉夫领土上犯下的国际法规定的罪行的相关判例，因为这些罪行是现代实践中最重要的例子，并且已在国家和国际两级经过了审判。 |
| It was within such context that draft article 18 had been proposed. | 第18条草案就是在这种背景下提出的。 |
| Paragraph 1 of draft article 18 stipulated that in cases of succession of States where a predecessor State continued to exist, that State was under an obligation to give satisfaction for the injury caused by its internationally wrongful act, insofar as such injury was not made good by restitution or compensation. | 第18条草案第1款规定，在被继承国继续存在的国家继承情况下，该国有义务为其国际不法行为造成的损害给予抵偿，前提是该损害未通过恢复原状或补偿而获弥补。 |
| Paragraph 2 contained a without prejudice clause, which sought to reflect a cautious and flexible approach to appropriate forms of satisfaction, in particular investigation and prosecution of crimes under international law. | 第2款载有一个不妨碍条款，力求反映出以审慎和灵活的方式来决定适当的抵偿形式，特别是调查和惩罚国际法所规定的罪行。 |
| 131. The report also provided an analysis of the obligation of cessation and assurances and guarantees of non-repetition. | 131. 报告还分析了停止义务以及不重复的承诺和保证。 |
| It sought to clarify the obligation of cessation, which in his view was only relevant in cases of internationally wrongful acts having a continuing character and applied by virtue of general rules of State responsibility. | 报告力求对停止义务作出澄清说明，特别报告员认为，停止义务仅在国际不法行为具有持续性的情况下相关，并依国家责任的一般规则而适用。 |
| The Special Rapporteur considered that assurances and guarantees of non-repetition served a different function from other forms of reparation and, therefore, their inclusion and analysis in the report was needed. | 特别报告员认为，不重复的承诺和保证在功用上与其他赔偿形式不同，因此有必要将之纳入报告并加以分析。 |
| He emphasized that assurances and guarantees of non-repetition were future-oriented, in the sense that they would only apply once the internationally wrongful act had been committed. | 他强调指出，不重复的承诺和保证是以未来为导向的，即仅在国际不法行为发生后才会适用。 |
| It was also explained that the breached primary obligation must subsist and be in force, making the transfer of any secondary obligation contingent on the succession of the primary obligation. | 他还解释称，被违背的主要义务必须依然存在并有效，因此任何次要义务的转移都取决于主要义务的继承。 |
| Draft article 19 (assurances and guarantees of non-repetition) was proposed to that effect. | 第19条草案(不重复的承诺和保证)就是为此提出的。 |
| Paragraph 1 contained the general rule based on the articles on responsibility of States for internationally wrongful acts: where a predecessor State continues to exist, that State is under an obligation to offer appropriate assurances and guarantees of non-repetition, if circumstances so require, even after the date of succession of States. | 第1款载有基于《国家对国际不法行为的责任条款》的一般规则：在被继承国继续存在的情况下，若是在必要的情形下，则即使在国家继承之日后，该国也有义务作出适当的不重复的承诺和保证。 |
| Paragraph 2, in turn, addressed exceptional situations and contained two conditions in order to be applicable: (a) that the obligation breached by an internationally wrongful act remained in force between a successor State and another State concerned; | 第2款则述及特殊情况，包含两个适用条件：(a) 国际不法行为所违反的义务在继承国与另一有关国家之间继续有效； |
| and (b) that the circumstances so require. | 以及(b) 是在必要情形下。 |
| If both conditions were present, then an injured State might request appropriate assurances and guarantees of non-repetition from a successor State, and a successor State of a State injured by a wrongful act committed by another State could request appropriate assurances and guarantees of non-repetition from that State. | 如果这两个条件都具备，那么受害国可要求一继承国作出适当的不重复的承诺和保证，而另一国实施的国际不法行为的受害国的继承国可要求该另一国作出适当的不重复的承诺和保证。 |
| 132. Part Three of the report discussed the future programme of work. | 132. 报告的第三部分讨论了今后的工作方案。 |
| The Special Rapporteur indicated that his fifth report would focus on matters related to the plurality of injured successor States, as well as the plurality of responsible States. | 特别报告员表示，他的第五次报告将重点讨论多个受害继承国和多个责任继承国的问题。 |
| It would also address miscellaneous and technical issues, including the renumbering of the draft articles and their final structure. | 第五次报告还将讨论一些杂项和技术性问题，包括条款草案的重新编号和最终结构。 |
| It was hoped that the topic could be completed on first reading at the Commission’s seventy-third session. | 希望本专题能在委员会第七十三届会议上完成一读。 |
| 2. Summary of the debate | 2. 辩论摘要 |
| (a) General comments | (a) 一般性评论 |
| 133. Members of the Commission expressed their appreciation to the Special Rapporteur for his fourth report. | 133. 委员会委员对特别报告员的第四次报告表示赞赏。 |
| 134. Regarding the general considerations for the work on the topic, members generally agreed with the Special Rapporteur on the subsidiary nature of the draft articles and on the priority to be given to agreements between the States concerned. | 134. 关于本专题工作的一般考虑，委员们普遍同意特别报告员关于条款草案的附属性质和有关国家之间协定的优先性的意见。 |
| Some members suggested that the commentaries to the draft articles could provide examples of succession agreements between States, and that a number of model clauses could be drafted to be used as a basis for negotiation of agreements on succession in respect of State responsibility. | 一些委员提出，条款草案的评注可以提供国家间继承协定的实例，还可以起草一些示范条款，用作国家责任方面的继承协定的谈判基础。 |
| 135. Differing views were expressed pertaining to the general rule of non-succession, the “clean slate” rule, and that of “automatic” succession. | 135. 对于不继承的一般规则、“白板”规则和“自动”继承的规则，委员们表达了不同的观点。 |
| Some members concurred with the Special Rapporteur’s assertion that the diverse and context-specific State practice did not support the primacy of either the “clean slate” rule or automatic succession, while some members were of the view that there could be exceptions to the general rule of non-succession. | 一些委员同意特别报告员的意见，即多样的、因具体情况而异的国家实践既不支持“白板”规则的优先性，也不支持自动继承的优先性，而另一些委员则认为，不继承的一般规则可存在例外。 |
| Other members reiterated that the general rule applicable in the topic was the “clean slate” rule and that no such rule of automatic succession existed. | 其他委员重申，适用于本专题的一般规则是“白板”规则，不存在自动继承这种规则。 |
| While the view was expressed that the proposed draft articles appeared to go in the direction of automatic succession, other members did not share that view. | 有人表示认为拟议的条款草案似乎走上了自动继承这一方向，但其他委员并不同意这种观点。 |
| The point was made that the fourth report, while stating that the “transfer of responsibility” of States is different from the “transfer of rights and obligations arising from responsibility” of States, did not sufficiently explain such difference. | 有人指出，第四次报告虽然表示国家“责任的转移”不同于国家“责任产生的权利和义务的转移”，但没有充分解释这种区别。 |
| Some members questioned the methodology of the report and the extent to which the analysis contained therein was made by drawing parallels with succession of States in respect of debts and inspired by the 1983 Vienna Convention on Succession of States in respect of State Property, Archives and Debts. | 一些委员就报告的方法提出了疑问，并询问报告所载的分析在多大程度上比照参考了债务方面的国家继承的情况，以及在多大程度上受到了1983年《关于国家对国家财产、档案和债务的继承的维也纳公约》的启发。 |
| 136. A number of members emphasized the need to take into account more geographically diverse sources of State practice and recalled that the scarcity of State practice had been highlighted during the debate in the Sixth Committee. | 136. 若干委员强调需要考虑更多不同地区的国家实践，并回顾指出，第六委员会的辩论中已经强调了国家实践的稀缺。 |
| Other members noted that, although State practice was limited, the Commission should nevertheless ascertain what practice existed on the matter. | 其他委员指出，尽管国家实践有限，但委员会仍应确定在此问题上存在哪些实践。 |
| Caution was expressed against drawing general conclusions on matters of reparation based on lump-sum agreements or on the inconsistent, insufficient and context-specific State practice. | 有人表示，在赔偿问题上，不应根据一次付清协定或根据不一致、不充分和针对具体情况的国家实践得出一般性结论。 |
| In that connection, it was recalled that the mandate of the Commission was not limited to codification, but also included progressive development of international law. | 在这方面，有人回顾指出，委员会的任务不仅限于编纂，还包括国际法的逐步发展。 |
| A further suggestion was made that the commentary describe the relationship between State practice and each draft article more clearly, thus showing clearly which draft articles were supported by State practice and which constituted progressive development of international law. | 还有人建议在评注中更清楚地说明国家实践与每条草案之间的关系，从而明确显示哪些条款草案得到国家实践的支持，而哪些条款草案构成国际法的逐渐发展。 |
| 137. The view was expressed that the focus of the work of the Commission on the topic should be on clarifying how the rules on State responsibility operate in the specific factual scenario of succession of States. | 137. 有人表示，委员会关于该专题的工作重点应是澄清国家责任方面的规则在国家继承的具体事实场景下如何运作。 |
| It was suggested that the Commission should further explore the legal consequences of State succession in relation to claims by private persons, which was not covered by the articles on responsibility of States for internationally wrongful acts, although opposition was also expressed to that suggestion. | 有人提出，委员会应进一步探讨国家继承在私人索赔方面的法律后果，《国家对国际不法行为的责任条款》没有涵盖这一问题，不过也有人表示反对这一提议。 |
| 138. The importance of maintaining consistency, in terminology and substance, with the previous work of the Commission was reiterated. | 138. 委员们重申了在术语和实质内容上与委员会先前工作保持一致的重要性。 |
| In that regard, a proposal was made to add a provision to the draft articles concerning their temporal application, along the lines of article 7 of the 1978 Vienna Convention on Succession of States in respect of Treaties and article 4 of the 1983 Vienna Convention on Succession of States in respect of State Property, Archives and Debts. | 在这方面，有人建议参照1978年《关于国家在条约方面的继承的维也纳公约》第7条 和1983年《关于国家对国家财产、档案和债务的继承的维也纳公约》第4条，在条款草案中增加一项关于其暂时适用的规定。 |
| It was noted that the Commission could benefit from the work of the Institute of International Law on succession of States. | 有人指出，委员会可受益于国际法学会关于国家继承的工作。 |
| (b) Draft article 7 bis | (b) 第7条之二草案 |
| 139. Several members considered draft article 7 bis to be a useful complement to draft article 7. | 139. 几位委员认为，第7条之二草案是对第7条草案的有益补充。 |
| It was suggested that the draft article could rely on the definition of composite acts as contained in article 15 of the articles on responsibility of States for internationally wrongful acts. | 有人提出，该条草案可以依靠《国家对国际不法行为的责任条款》第15条所载的复合行为的定义。 |
| Another view recalled that Member States in the Sixth Committee had expressed reservations about a discussion on composite acts. | 有人提出了其他观点，回顾指出会员国曾在第六委员会中对关于复合行为的讨论表示保留。 |
| Some members were of the view that the scope of paragraphs 1 and 2 needed to be clarified, in particular with regard to the responsibility of the predecessor State when it continued to exist. | 一些委员认为，第1款和第2款的范围需要澄清，特别是涉及被继承国在继续存在的情况下的责任问题。 |
| It was also considered that paragraph 1 could benefit from clarification as to whether it excluded the transfer of rights and obligations arising from State responsibility that could occur under circumstances different from those envisaged in paragraph 2. | 还有人认为，对于第1款，宜澄清该款是否排除了在第2条所设想的情形之外可能发生的国家责任产生的权利和义务的转移。 |
| Moreover, it was observed that paragraph 2 related more to the extension in time of the breach of an international obligation, as referred to in article 14 of the articles on responsibility of States for internationally wrongful acts, than to composite acts. | 此外，有人认为，第2款更多地涉及《国家对国际不法行为的责任条款》第14条中提到的违背国际义务的行为在时间上的延续，而不是涉及复合行为。 |
| Some members considered it necessary to further examine matters related to shared responsibility when a predecessor State continued to exist, and an analysis was called for of how the obligation of cessation applied in the case of a composite act or a continuing act which occurred during the succession process. | 一些委员认为有必要进一步研究在被继承国继续存在的情况下与共同责任有关的事项，并要求分析在继承过程中发生复合行为或持续行为的情况下停止义务如何适用的问题。 |
| The view was expressed that there was some degree of confusion between composite acts and continuing acts. | 有人表示认为，复合行为与持续行为之间存在一定程度的混淆。 |
| Attention was drawn to the work of the Institute of International Law regarding succession and continuing and composite acts. | 有人提请注意国际法学会关于继承、持续行为和复合行为的工作。 |
| Drafting suggestions were made to streamline the provision, as some of its proposed content was deemed to already be covered by general rules on State responsibility. | 有人建议在起草时对这一条款予以精简，因为其部分拟议内容被认为已经包含在了国家责任的一般规则中。 |
| Other drafting suggestions were made in relation to clarifying the scope of paragraphs 1 and 2. | 还有人提出了其他起草建议，涉及对第1款和第2款的范围进行澄清。 |
| (c) Draft articles 16 to 19 | (c) 第16条至第19条草案 |
| 140. Some members noted that chapter III in Part Two of the fourth report, entitled “Impact of succession of States on forms of responsibility”, actually focused on the consequences of an internationally wrongful act committed by States, particularly in relation to the forms of reparation (restitution, compensation and satisfaction, as envisaged in draft articles 16 to 18). | 140. 一些委员指出，第四次报告第二部分第三章题为“国家继承对责任形式的影响”，但实际上侧重于国家实施国际不法行为的后果，特别是涉及赔偿的多种形式(第16条至第18条草案设想的恢复原状、补偿和抵偿)。 |
| It was recalled that the obligation of cessation, assurances and guarantees of non-repetition, and other forms of reparation, were not forms of responsibility, but rather legal consequences of responsibility of States under the articles on responsibility of States for internationally wrongful acts. | 有人回顾指出，停止的义务、不重复的承诺和保证以及其他赔偿形式不是责任的形式，而是《国家对国际不法行为的责任条款》所规定的国家责任的法律后果。 |
| Concern was expressed regarding the question of transfer of obligations to the successor State in order to provide reparation for acts of the predecessor State that took place before the date of succession, as it appeared that such concept was inconsistent with the requirement of attribution under article 2 of the articles on responsibility of States for internationally wrongful acts. | 有人对将有关义务转移给继承国以便就被继承国在继承日期之前实施的行为提供赔偿的问题表示了关切，因为这种概念似乎不符合《国家对国际不法行为的责任条款》第2条规定的归属要求。 |
| 141. The need to clearly distinguish reparation, on one hand, and cessation and assurances and guarantees of non-repetition, on the other, was emphasized. | 141. 有人强调，需要明确地将赔偿与停止和不重复的承诺和保证区分开。 |
| Doubts were expressed regarding the value of having specific stand-alone draft articles for different forms of reparation. | 有人质疑是否有必要为不同的赔偿形式制定具体的单独条款草案。 |
| Accordingly, a proposal was made to simplify draft articles 16 to 19, so that they would become only two provisions: one concerning cessation and non-repetition, and the other concerning reparation. | 相应地，有人提议简化第16条至第19条草案，使之变为仅两项条款：一项涉及停止和不重复，另一项涉及赔偿。 |
| Further discussion of the forms of reparation with reference to the different categories of State succession was considered necessary, in particular on the circumstances leading to various solutions. | 有人认为有必要参照不同类别的国家继承进一步讨论各种赔偿形式，特别是讨论导向多种不同解决办法的各种情形。 |
| The point was made that the draft articles were without prejudice to any right of reparation that might be owed to individuals subject to the jurisdiction of the injured State and, accordingly, it was suggested to add a draft article in that sense. | 有人指出，条款草案不妨碍受受害国管辖的个人可能享有的任何赔偿权利，因此，有人建议增加一条关于此内容的草案。 |
| A further view was expressed that discussing the issue of how to discharge the obligation to make full reparation for the injury caused by an internationally wrongful act committed by or against a predecessor State went beyond the scope of the topic. | 还有人表示，讨论如何履行就被继承国实施或针对被继承国实施的国际不法行为所造成的损害作出充分赔偿的义务的问题，超出了本专题的范围。 |
| 142. Several members questioned whether draft articles 16 to 19, as proposed in the fourth report, were necessary, given that the situations governed therein were already covered by general rules of State responsibility. | 142. 几位委员质疑第四次报告中提出的第16条至第19条草案是否有必要，因为国家责任的一般规则已经涵盖了这几条所涉的情况。 |
| Concern was expressed with restating or rewriting the law on State responsibility, as the draft articles could risk misstating the law. | 有人对重述或改写国家责任法表示关切，因为条款草案可能产生误述法律的风险。 |
| It was noted, however, that the articles on responsibility of States for internationally wrongful acts might not cover all aspects relevant to the topic. | 但有人指出，《国家对国际不法行为的责任条款》可能没有涵盖本专题的所有相关方面。 |
| 143. Some members were of the view that the recourse to lump-sum agreements should not undermine the rule of full reparation as a fundamental principle of the law of State responsibility. | 143. 一些委员认为，诉诸一次付清协定不应有损作为国家责任法基本原则的充分赔偿规则。 |
| Furthermore, it was observed that lump-sum agreements might not be appropriate to settle disputes involving erga omnes obligations. | 此外，有人认为，一次付清协定可能不适合解决涉及普遍义务的争端。 |
| 144. While the view was expressed that the flexible wording of “may request” employed in draft articles 16, 17 and 19 was appropriate, a number of members considered that such wording, and the expression “may claim” in draft article 18, were ambiguous and lacked clarity. | 144. 虽然有人表示第16条、第17条和第19条草案采用“可要求”这一灵活措辞是适当的，但也有若干委员认为，这种措辞和第18条草案中“可要求”的表述模糊而缺乏明确性。 |
| Several members requested clarification of whether draft articles 16 to 19 applied to situations where the predecessor State ceased to exist. | 几位委员要求澄清第16条至第19条草案是否适用于被继承国不复存在的情况。 |
| Clarification was requested that not every predecessor State was bound by an obligation of reparation, but only the predecessor State that was responsible for a wrongful act. | 有人要求澄清指出，不是每个被继承国都受赔偿义务的约束，而是只有对不法行为负责的被继承国受此约束。 |
| Additionally, it was suggested that draft articles 16 to 19 be clarified to apply only to the extent that a successor State was bound to provide reparation for the acts of a predecessor State, in conformity with Part Two of the draft articles. | 此外，有人建议澄清第16条至第19条草案，使之仅适用于继承国受到约束而应当为被继承国的行为提供赔偿的情况，以符合条款草案第二部分。 |
| 145. In relation to restitution, as foreseen in draft article 16, while agreement was expressed with the Special Rapporteur’s approach that restitution was the priority form of reparation under international law, some members questioned that approach. | 145. 关于第16条草案设想的恢复原状问题，虽然有人表示同意特别报告员将恢复原状视为国际法规定的优先赔偿形式的做法，但也有一些委员对这种做法提出了质疑。 |
| It was noted that a definition of restitution was absent from the provision. | 有人指出，该条款没有对恢复原状作出定义。 |
| According to several members, draft article 16 was superfluous because it restated relevant provisions in the articles on responsibility of States for internationally wrongful acts. | 几位委员认为，第16条草案是多余的，因为该条只是重述了《国家对国际不法行为的责任条款》中的相关规定。 |
| While appreciation was shown for the Special Rapporteur’s efforts to distinguish “legal” and “material” restitution, such distinction was questioned due to the lack of a basis in State practice. | 虽然有人赞赏特别报告员努力对“法律上”和“实际”的恢复原状进行区分，但由于缺乏国家实践中的依据，这种区分受到了质疑。 |
| Agreement was expressed with the Special Rapporteur’s assertion that loss or destruction of the object of restitution was not representative of what the concept “material impossibility” could entail in situations of State succession. | 有人表示同意特别报告员的说法，即恢复原状的对象的丢失或毁坏不足以代表“实际上办不到”这一概念在国家继承情形下可涵盖的所有情况。 |
| Regarding paragraph 1 of draft article 16, some members stressed the need to explain why the predecessor State should make restitution, as in some cases the predecessor State might not be responsible and the wrongful act might not be attributable to it. | 关于第16条草案第1款，一些委员强调需要解释被继承国为何应恢复原状，因为在某些情况下，被继承国可能没有责任，不法行为可能不归于该国。 |
| It was noted that the formulation of paragraph 1 could be clearer and less subjective and could benefit from full consistency with article 35 of the articles on responsibility of States for internationally wrongful acts. | 有人指出，第1款的表述可以更加明确和减少主观性，并且宜与《国家对国际不法行为的责任条款》第35条完全一致。 |
| With respect to paragraph 2 of draft article 16, while some members suggested that the situation envisaged therein could be solved by applying the principle of unjust enrichment, scepticism was expressed on the application of that principle in the context of international law. | 关于第16条草案第2款，一些委员提出，可以通过适用不当得利原则来解决该款设想的情形，但有人对在国际法背景下适用这一原则表示疑虑。 |
| Several members observed that, in the context of paragraph 2, the successor State did not have an obligation to make restitution in lieu of the predecessor State. | 几位委员认为，在第2款的情况下，继承国没有义务代替被继承国恢复原状。 |
| The view was expressed that paragraph 2 seemed to be based on “automatic succession”. | 有人表示，第2款似乎是基于“自动继承”。 |
| Some members deemed it necessary to clarify whether the agreement between the successor State and the predecessor State referred to in paragraph 3 was opposable to injured States. | 一些委员认为有必要澄清第3款所指的继承国与被继承国之间的协定是否可被受害国反对。 |
| The point was made that paragraph 3 was not in accordance with the rules on State responsibility pertaining to reparation, since agreements envisaged therein, between predecessor and successor States, could not produce legal effects in relation to injured States. | 有人指出，第3款不符合与赔偿有关的国家责任规则，因为其中设想的被继承国与继承国之间的协定无法就受害国产生法律效力。 |
| The inclusion of a “without prejudice” clause in paragraph 4 to preserve the rights of individuals was proposed. | 有人提议在第4款中加入一项“不妨碍”条款以维护个人的权利。 |
| Further, in that light, various drafting proposals were made in relation to draft article 16. | 此外，有鉴于上述，就第16条草案提出了各种起草建议。 |
| 146. Regarding compensation, provided for in draft article 17, agreement was expressed with the Special Rapporteur’s assertion that compensation seemed to be the most common form of reparation in cases where responsibility for internationally wrongful acts was affected by the succession of States. | 146. 关于第17条草案规定的补偿，有人表示同意特别报告员的说法，即在国际不法行为的责任受到国家继承影响的情况下，补偿似乎是最常见的赔偿形式。 |
| Some members felt that it was necessary to clarify the principles underlying the proposed provision. | 一些委员认为，有必要澄清该拟议条款所立足的各项原则。 |
| The 1983 Vienna Convention on Succession of States in respect of State Property, Archives and Debts, as well as the work of the International Law Institute, were referred to as containing a number of references to the principle of equity, which could play a role in the calculation of the amount of compensation and the apportionment of the compensation between several States. | 有人提到，1983年《关于国家对国家财产、档案和债务的继承的维也纳公约》和国际法学会的工作均数次提及公平原则，这一原则可在计算补偿数额和在若干国家之间分摊补偿方面发挥作用。 |
| It was noted that paragraph 1 did not contain a reference to financially assessable damage, unlike article 36 of the articles on responsibility of States for internationally wrongful acts. | 有人指出，第1款没有提及经济上可评估的损害，这一点与《国家对国际不法行为的责任条款》第36条不同。 |
| It was suggested that the situation foreseen in paragraph 2 could be resolved by applying the principle of the prohibition of unjust enrichment. | 有人提出，可以通过适用禁止不当得利的原则来解决第2款设想的情形。 |
| In particular, that principle was relevant in situations in which the predecessor State ceased to exist. | 特别是，在被继承国不复存在的情形下，这一原则具有相关性。 |
| The need to clarify the circumstances that justified transferring obligations to the successor State whenever the predecessor State continued to exist was referred to. | 有人提到，在被继承国继续存在时，需要澄清在哪些情况下才能正当地将义务转移给继承国。 |
| The view was expressed that the idea contained in paragraph 2 was already contained in draft article 7. | 有人表示，第2款所载理念已经包含在第7条草案中。 |
| It was suggested that the two conditions envisaged in paragraph 2 should be cumulative instead of alternative. | 有人提出，第2款中设想的两个条件应是累加条件，而不是择一条件。 |
| The same suggestion was made concerning the two conditions in paragraph 4. | 有人就第4款中的两个条件提出了同样的建议。 |
| Clarification was requested as to whether the agreement referred to in paragraph 3 was opposable to injured States. | 有人要求澄清第3款所指的协定是否可被受害国反对。 |
| In that connection, the view was expressed that paragraph 3 was not in accordance with the rules on State responsibility pertaining to reparation, since agreements envisaged therein, between predecessor and successor States, could not produce legal effects in relation to injured States. | 在这方面，有人表示，第3款不符合与赔偿有关的国家责任规则，因为其中设想的被继承国与继承国之间的协定无法就受害国产生法律效力。 |
| Some members noted that the content of paragraph 3 appeared to already be covered in paragraph 2 of draft article 1. | 一些委员指出，第3款的内容似乎已被第1条草案第2款所涵盖。 |
| Several members considered that draft article 17 did not sufficiently demonstrate causality and requested further elaboration by the Special Rapporteur in that regard. | 几位委员认为，第17条草案没有充分证明因果关系，请特别报告员在这方面作进一步阐述。 |
| A suggestion was made to include methods used for valuation of compensation in the commentary. | 有人建议把用于补偿估价的方法写入评注。 |
| Accordingly, various drafting proposals were made regarding the text of draft article 17. | 相应地，就第17条草案的案文提出了各种起草建议。 |
| 147. Regarding satisfaction, as per draft article 18, support was expressed for the Special Rapporteur’s approach of interpreting, in the work on the topic, satisfaction through the modern concept of responsibility of States, which is based on “objective responsibility” and “legal injury”. | 147. 关于第18条草案规定的抵偿，有人表示支持特别报告员的做法，即在关于本专题的工作中，通过基于“客观责任”和“法律损害”的国家责任的现代概念解释抵偿。 |
| It was reiterated that the provision was unclear regarding situations where the predecessor State ceased to exist, as well as when and under what conditions a successor State was entitled to request such form of satisfaction. | 有人重申，对于被继承国不复存在的情况以及继承国何时和在何种条件下有权要求这种形式的抵偿，该条款未作明确说明。 |
| In relation to paragraph 2, the inclusion of investigation and prosecution of international crimes was commended by some members. | 关于第2款，一些委员赞扬将调查和起诉国际罪行写入该款。 |
| In contrast, the view was expressed that there was no evidence suggesting that investigation and prosecution of international crimes constituted a form of satisfaction, and the relevance of investigation and prosecution of such crimes as a form of satisfaction was questioned. | 与之相反的是，也有人表示没有证据表明调查和起诉国际罪行构成一种抵偿形式，对调查和起诉此类罪行作为一种抵偿形式的相关性提出了质疑。 |
| Several members considered that it would be beneficial to have examples of State practice indicating that prosecution of international crimes was indeed regarded as a form of satisfaction by successor States, as well as an analysis of whether there was an obligation to claim or provide satisfaction by means of prosecuting crimes under international law. | 几位委员认为，宜举出国家实践的例子，表明继承国确实将起诉国际罪行视为一种抵偿形式，并分析是否存在通过起诉国际法规定的罪行来要求或提供抵偿的义务。 |
| It was suggested that the word “may” did not cover an obligation of the successor State to provide satisfaction through the prosecution of international crimes. | 有人提出，“可”一词并未涵盖继承国通过起诉国际罪行提供抵偿的义务。 |
| Moreover, the prosecution of serious violations of obligations erga omnes was referred to as a specific form of satisfaction made in relation to the international community as a whole. | 此外，有人提出，起诉严重违反普遍义务的行为是就整个国际社会作出的一种特定形式的抵偿。 |
| Draft article 18 was considered unclear as to who was entitled to invoke responsibility within the meaning of article 48 of the articles on responsibility of States for internationally wrongful acts in cases of obligations erga omnes. | 有人认为，第18条草案没有明确说明在涉及普遍义务的情况下，谁有权援引《国家对国际不法行为的责任条款》第48条意义上的责任。 |
| Several members were of the view that, in cases of breaches of peremptory norms of general international law (jus cogens) and obligations erga omnes, all forms of reparation would be relevant, not just satisfaction. | 几位委员认为，在发生违反一般国际法强制性规范(强行法)和违背普遍义务的情况下，所有的赔偿形式都具有相关性，而不仅仅是抵偿。 |
| It was observed that a distinction had to be drawn between State responsibility and individual criminal responsibility. | 有人指出，必须对国家的责任与个人的刑事责任加以区分。 |
| Several drafting proposals were made to amend draft article 18 with the intention of introducing such distinction. | 为了作出这种区分，有人提出了几项起草建议以修正第18条草案。 |
| 148. While support was expressed for the text of draft article 19, regarding assurances and guarantees of non-repetition, some members suggested revising it to make it clearer and more precise. | 148. 虽然有人表示支持关于不重复的承诺和保证的第19条草案的案文，但一些委员建议对案文进行修改，以使之更加清楚和准确。 |
| Clarification was requested as to why draft article 19 did not include the obligation of cessation. | 有人要求澄清为什么第19条草案没有包含停止的义务。 |
| In particular, it was noted that if, indeed, no draft article on cessation was included, the commentary ought to explain what constituted continuing harm. | 特别是，有人指出，如果条款草案最终没有关于停止的条款，则应在评注中解释什么构成持续损害。 |
| Cessation and guarantees and assurances of non-repetition were considered by some members as playing an equal role in situations in which restitution was not possible and where the injury was not only material. | 一些委员认为，在不可能恢复原状和损害不仅是物质性的情况下，停止和不重复的保证具有同等的作用。 |
| The use of the word “appropriate” in the draft article was questioned because it did not offer enough guidance to States. | 有人质疑该条草案中使用的“适当的”一词，因为该词没有向各国提供足够的指导。 |
| While support was expressed for paragraph 1, concerns were raised regarding paragraph 2, which seemed to suggest that only if the successor State committed a wrongful act after the date of succession would guarantees and assurances of non-repetition become one of the available remedies. | 虽然有人对第1款表示了支持，但也有人对第2款提出了关切，因为该款似乎表明，只有继承国在继承日期之后实施不法行为时，不重复的保证和承诺才会成为可用的补救之一。 |
| Some members reiterated comments made in relation to paragraphs 2 of draft articles 16, 17 and 18. | 一些委员重申了就第16条、第17条和第18条草案第2款作出的评论。 |
| The question was raised as to whether paragraph 2 applied in situations where the predecessor State ceased to exist. | 有人询问，第2款是否适用于被继承国不复存在的情况。 |
| It was noted that any purported rule of succession to the international obligations arising from the responsibility of a predecessor State would contradict draft article 7, paragraph 1, relating to acts having a continuing character. | 有人指出，任何关于被继承国责任所产生的国际义务的继承的所称规则，都会与关于具有持续性的行为的第7条草案第1款相矛盾。 |
| It was proposed that the commentary explain which “circumstances” were covered in paragraph 2, as well as that a list of examples of “appropriate assurances” and an overview in table form of the different situations of succession be provided. | 有人建议在评注中解释第2款涵盖哪些“情形”，以及列出“适当的保证”的例子，并以表格形式概述继承的不同情形。 |
| The need was mentioned for further analysis of the practice of the African Commission on Human and Peoples’ Rights on elements that formed part of assurances and guarantees of non-repetition. | 有人提到需要进一步分析非洲人权和民族权委员会关于构成不重复的承诺和保证的要素的实践。 |
| Drafting proposals were also made regarding draft article 19. | 还有人就第19条草案提出了起草建议。 |
| (d) Final form | (d) 最终形式 |
| 149. Several members questioned whether draft articles were the most appropriate outcome for the topic, taking into account the comments by some States, which demonstrated a preference for draft guidelines, principles, conclusions, model clauses, or an analytical report as alternatives. | 149. 一些国家的评论表现出他们倾向于采用准则草案、原则草案、结论草案、示范条款草案或分析报告等替代形式，几位委员考虑到这些评论，质疑条款草案是否是本专题最适当的成果形式。 |
| A number of members suggested that the Commission could reconsider the format of its work on the topic at its seventy-third session, while others did not deem it necessary to do so. | 若干委员建议，委员会可在第七十三届会议上重新考虑本专题工作的形式，而其他委员则认为没有必要这样做。 |
| It was also suggested that the final decision on the outcome for the topic could be taken once the Commission had concluded most of its substantive work. | 还有人建议，可在委员会完成大部分实质性工作后，再就本专题的成果作出最后决定。 |
| (e) Future programme of work | (e) 今后的工作方案 |
| 150. Several members agreed with the future programme of work proposed by the Special Rapporteur, while others cautioned that the Commission should not be hasty in its consideration of the topic. | 150. 几位委员同意特别报告员提出的今后的工作方案，而其他委员则警示称，委员会在审议本专题时不应草率行事。 |
| Some members expressed doubts as to whether the first reading could be concluded at the seventy-third session. | 一些委员对能否在第七十三届会议上完成一读表示怀疑。 |
| 3. Concluding remarks of the Special Rapporteur | 3. 特别报告员的总结 |
| 151. In his summary of the debate, the Special Rapporteur expressed his satisfaction with the substantive discussions of the fourth report. | 151. 特别报告员在辩论总结中，对关于第四次报告的实质性讨论表示满意。 |
| The debate in plenary had been rich and interesting and, in his view, demonstrated the intricacies and complex nature of the topic. | 全体会议上的辩论内容丰富而有趣，在他看来，这表明了本专题的错综之处和复杂性质。 |
| He also noted that the various comments made by members were at times incompatible, but he was ready to engage with members to bridge gaps and adopt a flexible approach. | 他还指出，委员们作出的各种评论有时是无法相容的，但他愿与委员们接洽以缩小分歧并采取灵活的方法。 |
| 152. With respect to the need to ensure that geographically diverse State practice was taken into account, the Special Rapporteur affirmed his readiness to do so and welcomed any examples members had in that regard. | 152. 关于需要确保考虑更多不同地区的国家实践的问题，特别报告员申明他愿意这样做，并欢迎委员们提出这方面的任何实例。 |
| 153. Concerning lump-sum agreements, the Special Rapporteur clarified that the fourth report took a cautious and qualified approach. | 153. 关于一次付清协定，特别报告员澄清称，第四次报告采取了谨慎和有条件的做法。 |
| While the Special Rapporteur was unable to confirm their status as customary international law, he still considered lump-sum agreements to be an important element for the topic because they reflected State practice. | 尽管特别报告员无法确认一次付清协定具有习惯国际法地位，但他仍然认为，一次付清协定是本专题的一个重要要素，因为这种协定反映了国家实践。 |
| Furthermore, States were free to enter into agreements that provided less than full reparation, in particular in light of the pronouncements of the International Court of Justice in its judgment on Jurisdictional Immunities of the State (Germany v. Italy: Greece intervening), and national case law of Czechoslovak and Czech courts regarding the impact of certain lump-sum agreements concluded after the Second World War. | 此外，各国可以自由达成提供少于充分赔偿的协定，特别是考虑到国际法院在国家的管辖豁免案(德国诉意大利：希腊参加诉讼)中的声明，以及捷克斯洛伐克和捷克法院关于第二次世界大战后缔结的某些一次付清协定的影响的国家判例。 |
| 154. Regarding the principle of unjust enrichment, the Special Rapporteur again stated that such principle was relevant as one of the special elements or circumstances that supported the exceptional transfer of obligations arising from State responsibility to a successor State or States. | 154. 关于不当得利原则，特别报告员再次表示，这一原则是相关的，是支持在例外情况下将国家责任产生的义务转移给一个或多个继承国的特殊要素或情形之一。 |
| However, he clarified that he had deliberately not expressly mentioned the principle in the proposed draft articles, as he did not accept it as the only ground for the responsibility of successor States for several reasons. | 但他也澄清指出，自己有意不在拟议的条款草案中明确提及这一原则，因为他不接受将这项原则作为继承国责任的唯一依据，原因有几个。 |
| The principle was considered to be ambiguous and imprecise, and was often linked to the concept of “acquired rights”, which was considered outdated and not in conformity with modern international law. | 这一原则被视为含混不清和不精确，而且往往与“既得权利”的概念相联系，而后者被视为过时并与现代国际法不符。 |
| He indicated his willingness to address the matter in the commentaries. | 他表示愿意在评注中述及这一问题。 |
| 155. The Special Rapporteur stressed that the text of the proposed draft articles did not imply automatic succession. | 155. 特别报告员强调，拟议条款草案的案文并未暗指自动继承。 |
| He agreed with the view expressed that State practice did not support the primacy of either the “clean slate” rule or the automatic succession rule. | 他同意有关意见，即国家实践并不支持“白板”规则或自动继承规则的优先性。 |
| In the law of State succession, as developed between the 1960s and 1980s, the “clean slate” rule was the rule applicable with respect to newly independent States. | 在1960年代至1980年代期间制定的国家继承法中，“白板”规则是对新独立国家适用的规则。 |
| However, he did not agree that the doctrine of “clean slate” should be elevated to a general rule applicable to all categories of succession. | 但他不赞同应将“白板”理论提升为适用于所有类别继承的一般规则的意见。 |
| 156. While the Special Rapporteur understood the questions raised pertaining to the usefulness or necessity of the draft articles, he reiterated that the articles on responsibility of States for internationally wrongful acts did not cover all aspects relevant to the topic. | 156. 特别报告员理解就这些条款草案的效用或必要性提出的问题，但重申《国家对国际不法行为的责任条款》并没有涵盖本专题的所有相关方面。 |
| Accordingly, the draft articles could be viewed as complementing existing rules. | 因此，这些条款草案可被视为对现有规则的补充。 |
| The work on the topic aimed to fill the gaps in the codification of rules of State responsibility and rules on the succession of States. | 本专题工作旨在填补国家责任规则和国家继承规则编纂方面的空白。 |
| 157. With respect to comments on the structure of the proposed draft articles, their applicability when the predecessor State continued or ceased to exist, and the different categories of succession, the Special Rapporteur explained that the draft articles proposed in the fourth report should be read in conjunction with those proposed in previous reports. | 157. 针对关于拟议条款草案的结构、关于拟议条款草案在被继承国继续存在或不复存在时的适用性以及关于不同类别的继承的评论，特别报告员解释称，第四次报告中提出的条款草案应与前几次报告中提出的条款草案一并阅读。 |
| The fourth report was focused on the content and forms of legal consequences of internationally wrongful acts. | 第四次报告的重点是国际不法行为的法律后果的内容和形式。 |
| He nevertheless agreed that the proposed draft articles could be streamlined to avoid unnecessary repetition. | 不过，他表示同意的是，可以精简拟议的条款草案以避免不必要的重复。 |
| The Special Rapporteur also agreed with members that it was more appropriate to refer to the content of the draft articles as legal consequences in general and to the forms of reparation in particular. | 特别报告员还同意委员们的有关意见，即宜指出条款草案的内容大体上为法律后果，并且具体是指赔偿的形式。 |
| With respect to the consequences of violations of obligations erga omnes, the Special Rapporteur stated that they were not limited to satisfaction and proposed to discuss the matter in the commentaries or in another draft article. | 关于违反普遍义务的后果，特别报告员表示这种后果不限于抵偿，并提议在评注或在另一条草案中讨论这一问题。 |
| In that regard, the Special Rapporteur proposed new draft articles and revisions to the proposed draft articles to clarify and resolve the different issues raised. | 在这方面，特别报告员提出了新的条款草案和对拟议条款草案的修订，以澄清和解决提出的不同问题。 |
| He also proposed an overall reorganization of the draft articles on reparation, following suggestions made by members. | 他还根据委员们的建议，提议对关于赔偿的条款草案进行整体重组。 |
| In relation to comments made that an analysis of State succession in respect of responsibility in relation to private persons should be done, the Special Rapporteur considered that the issue would be better addressed under other topics that the Commission might include in its programme of work but agreed to draft a without prejudice clause. | 关于有人提出的应分析国家继承涉及私人的责任问题的评论，特别报告员认为，宜在委员会可能列入工作方案的其他专题下处理这一问题，但同意起草一个不妨碍条款。 |
| 158. The Special Rapporteur generally welcomed suggestions and proposals regarding draft article 7 bis. | 158. 特别报告员对关于第7条之二草案的建议和提议普遍表示欢迎。 |
| He indicated that he would propose changes in the order and numbering of the draft articles to take into account comments made by members. | 他表示将提议修改条款草案的顺序和编号，以便将委员们的评论纳入考虑。 |
| 159. Regarding draft articles 16 and 17, the Special Rapporteur stated that he was open to considering the drafting suggestions made by members. | 159. 关于第16条和第17条草案，特别报告员称愿意考虑委员们提出的起草建议。 |
| He pointed out that the purpose of draft article 16 was to confirm that obligations based on the general rules of State responsibility applied even in situations of State succession. | 他指出，第16条草案旨在确认基于国家责任的一般规则的义务在国家继承的情形下依然适用。 |
| In his view, paragraphs 3 of both draft articles 16 and 17 were not superfluous, as they addressed the special case of apportionment agreements between the successor State and the predecessor State. | 他认为，第16条和第17条草案的第3款都不是多余的，因为它们涉及继承国与被继承国之间的分摊协定的特殊情况。 |
| For example, an injured State could decide to address its claim to the predecessor State, which was no longer in a position to restitute an object because the object was in the territory of the successor State, and the successor State benefited from the outcome of the wrongful act. | 例如，受害国可决定向被继承国提出索赔，而被继承国已无法将某一物品恢复原状，因为该物品位于继承国的领土上，而且继承国受益于不法行为的结果。 |
| However, if the predecessor State paid compensation instead of restitution to the injured State, the apportionment agreement between successor and predecessor State could be concluded as a set off. | 但是，如果被继承国向受害国支付补偿而不是恢复原状，继承国与被继承国可缔结分摊协定相抵。 |
| Apportionment agreements, according to the Special Rapporteur, while allowing injured States to present their claims, were intended to settle claims between the predecessor State and the successor State. | 特别报告员认为，分摊协定在允许受害国提出索赔的同时，旨在解决被继承国与继承国之间的索赔。 |
| With regard to comments made by members on the expression “may request” in draft articles 16 and 17, the Special Rapporteur underlined that the provisions should stress an exceptional and conditional character of such obligations, possibly with the indication of progressive development, where appropriate. | 关于委员们对第16条和第17条草案中“可要求”这一表述的评论，特别报告员着重指出，这些条款应强调这种义务的例外和有条件的性质，可酌情点明其属于逐渐发展。 |
| He welcomed most drafting proposals concerning the draft articles. | 他欢迎关于这些条款草案的大多数起草建议。 |
| 160. The Special Rapporteur stated that draft article 18 on satisfaction could perhaps be streamlined and be included in a draft article with the other forms of reparation, in light of his proposal to reorganize the draft articles. | 160. 特别报告员表示，鉴于他提议对条款草案进行重组，或许可以对关于抵偿的第18条草案进行精简，并与其他赔偿形式一起列入一条草案。 |
| In respect of the possible inclusion of a reference in paragraph 2 to investigation and prosecution of crimes under international law, he drew attention to pleadings by the parties in the case Armed Activities on the Territory of the Congo (Democratic Republic of the Congo v. Uganda) before the International Court of Justice, which showed that prosecution of international crimes could be considered as a form of satisfaction. | 关于可能在第2款中提及调查和起诉国际法规定的罪行的问题，他提请注意国际法院审理的刚果境内的武装活动(刚果民主共和国诉乌干达) 一案中当事方的诉状，其中表明起诉国际罪行可被视为抵偿的一种形式。 |
| He noted that the establishment of the International Criminal Tribunal for the Former Yugoslavia and the International Criminal Court could be understood in a way that indicated that investigation and prosecution of crimes, committed in violation of obligations erga omnes, were in the interest of the international community as a whole. | 他指出，可以认为前南斯拉夫问题国际刑事法庭和国际刑事法院的设立表明，调查和起诉违反普遍义务的罪行符合整个国际社会的利益。 |
| 161. Concerning draft article 19, the Special Rapporteur said that he was willing to include in the commentary a list of examples of appropriate assurances, as had been suggested by some members. | 161. 关于第19条草案，特别报告员表示愿按一些委员的建议，列出适当的承诺的实例清单，写入评注。 |
| Regarding the lack of a proposal for a draft article on the obligation of cessation, the Special Rapporteur acknowledged that a new provision on that aspect would be a valuable addition and welcomed drafting proposals to that end. | 对于没有提出关于停止义务的条款草案的问题，特别报告员承认，新增一项关于这方面的条款将是一个有价值的补充，并欢迎为此目的提出的起草建议。 |
| 162. With respect to the outcome of the topic, the Special Rapporteur agreed with the view that the Commission could decide on the most suitable option at a later stage. | 162. 关于本专题的成果，特别报告员同意有关观点，即委员会可在稍后阶段决定最合适的选择。 |
| While indicating his willingness to discuss alternative forms, the Special Rapporteur stated that he did not wish to change the format of the Commission’s work on the topic. | 特别报告员表示愿意讨论其他形式，但表示不希望改变委员会本专题工作的形式。 |
| The Special Rapporteur also indicated that informal consultations could be held on the various issues. | 特别报告员还表示，可就各种问题进行非正式磋商。 |
| 163. In relation to the future programme of work, the Special Rapporteur acknowledged that, owing to the current COVID-19 pandemic and the modified working arrangements for the Commission, the Commission might not be in a position to conclude its work on first reading by the end of the quinquennium. | 163. 关于今后的工作方案，特别报告员承认，由于目前的COVID-19大流行和经修改的委员会工作安排，委员会可能无法在本五年期结束前完成一读。 |
| C. Text of the draft articles on succession of States in respect of State responsibility provisionally adopted so far by the Commission | C. 委员会迄今为止暂时通过的关于国家责任方面的国家继承的条款草案案文 |
| 1. Text of the draft articles | 1. 条款草案案文 |
| 164. The text of the draft articles provisionally adopted so far by the Commission is reproduced below. | 164. 委员会迄今为止暂时通过的条款草案案文载录如下。 |
| Succession of States in respect of State responsibility | 国家责任方面的国家继承 |
| Article 1 Scope | 第1条 范围 |
| 1. The present draft articles apply to the effects of a succession of States in respect of the responsibility of States for internationally wrongful acts. | 1. 本条款草案适用于国家对国际不法行为的责任方面国家继承的效果。 |
| 2. The present draft articles apply in the absence of any different solution agreed upon by the States concerned. | 2. 本条款草案在有关国家未商定任何不同解决办法的情况下适用。 |
| Article 2 Use of terms | 第2条 用语 |
| For the purposes of the present draft articles: | 就本条款草案而言： |
| (a) “succession of States” means the replacement of one State by another in the responsibility for the international relations of territory; | (a) “国家继承”指一国对领土的国际关系所负责任由另一国取代； |
| (b) “predecessor State” means the State which has been replaced by another State on the occurrence of a succession of States; | (b) “被继承国”指发生国家继承时被另一国取代的国家； |
| (c) “successor State” means the State which has replaced another State on the occurrence of a succession of States; | (c) “继承国”指发生国家继承时取代另一国的国家； |
| (d) “date of the succession of States” means the date upon which the successor State replaced the predecessor State in the responsibility for the international relations of the territory to which the succession of States relates; | (d) “国家继承日期”指在国家继承所涉领土的国际关系责任方面被继承国由继承国取代的日期； |
| Article 5 Cases of succession of States covered by the present draft articles | 第5条 本条款草案所涵盖的国家继承情况 |
| The present draft articles apply only to the effects of a succession of States occurring in conformity with international law and, in particular, the principles of international law embodied in the Charter of the United Nations. | 本条款草案只适用于依照国际法尤其是《联合国宪章》所体现的国际法原则而发生的国家继承的效果。 |
| Article 7 Acts having a continuing character | 第7条 具有持续性的行为 |
| When an internationally wrongful act of a successor State is of a continuing character in relation to an internationally wrongful act of a predecessor State, the international responsibility of the successor State extends only to the consequences of its own act after the date of the succession of States. | 当继承国的国际不法行为相对于被继承国的国际不法行为具有持续性时，继承国的国际责任仅延伸至国家继承日期之后其本身行为的后果。 |
| If and to the extent that the successor State acknowledges and adopts the act of the predecessor State as its own, the international responsibility of the successor State also extends to the consequences of such act. | 在并且只在继承国承认被继承国的行为并认作自己的行为的情况下，继承国的国际责任也延伸至这种行为的后果。 |
| Article 8 Attribution of conduct of an insurrectional or other movement | 第8条 叛乱运动或其他运动的行为归属 |
| 1. The conduct of a movement, insurrectional or other, which succeeds in establishing a new State in part of the territory of a predecessor State or in a territory under its administration shall be considered an act of the new State under international law. | 1. 成功地在被继承国的一部分领土或在其管理下的某一领土内建立一个新国家的叛乱运动或其他运动的行为，依国际法应视为该新国家的行为。 |
| 2. Paragraph 1 is without prejudice to the attribution to the predecessor State of any conduct, however related to that of the movement concerned, which is to be considered an act of that State by virtue of the rules on responsibility of States for internationally wrongful acts. | 2. 第1款不妨碍把按照国家对国际不法行为的责任规则应视为被继承国行为的任何行为归于被继承国，无论该行为与有关运动的行为如何相关。 |
| Article 9 Cases of succession of States when the predecessor State continues to exist | 第9条 被继承国继续存在时的国家继承情况 |
| 1. When an internationally wrongful act has been committed by a predecessor State before the date of succession of States, and the predecessor State continues to exist, an injured State continues to be entitled to invoke the responsibility of the predecessor State even after the date of succession: | 1. 当被继承国在国家继承日期之前实施了一项国际不法行为，并且被继承国继续存在时，受害国在下列情况下，即使在继承日期之后仍有权援引被继承国的责任： |
| (a) when part of the territory of the predecessor State, or any territory for the international relations of which the predecessor State is responsible, becomes part of the territory of another State; | (a) 被继承国的一部分领土或由被继承国负责其国际关系的任何领土成为另一国领土的一部分； |
| (b) when a part or parts of the territory of the predecessor State separate to form one or more States; | (b) 被继承国领土的一部分或多个部分分离出来形成一个或多个国家； |
| or | 或 |
| (c) when a successor State is a newly independent State the territory of which immediately before the date of the succession of States was a dependent territory for the international relations of which the predecessor State was responsible. | (c) 继承国是新独立国家，其领土在国家继承日期之前是由被继承国负责其国际关系的附属领土。 |
| 2. In particular circumstances, the injured State and the successor State shall endeavour to reach an agreement for addressing the injury. | 2. 在特定情况下，受害国和继承国应努力达成处理损害的协定。 |
| 3. Paragraphs 1 and 2 are without prejudice to any apportionment or other agreement between the predecessor State and the successor State when implementing paragraphs 1 and 2. | 3. 第1款和第2款不影响被继承国和继承国之间在执行第1款和第2款时的任何分摊或其他协定。 |
| 2. Text of the draft articles and commentaries thereto provisionally adopted by the Commission at its seventy-second session | 2. 委员会第七十二届会议暂时通过的条款草案案文及其评注 |
| 165. The text of the draft articles and commentaries thereto provisionally adopted by the Commission at its seventy-second session is reproduced below. | 165. 委员会第七十二届会议暂时通过的条款草案案文及其评注载录如下。 |
| Article 7 Acts having a continuing character | 第7条 具有持续性的行为 |
| When an internationally wrongful act of a successor State is of a continuing character in relation to an internationally wrongful act of a predecessor State, the international responsibility of the successor State extends only to the consequences of its own act after the date of the succession of States. | 当继承国的国际不法行为相对于被继承国的国际不法行为具有持续性时，继承国的国际责任仅延伸至国家继承日期之后其本身行为的后果。 |
| If and to the extent that the successor State acknowledges and adopts the act of the predecessor State as its own, the international responsibility of the successor State also extends to the consequences of such act. | 在并且只在继承国承认被继承国的行为并认作自己的行为的情况下，继承国的国际责任也延伸至这种行为的后果。 |
| Commentary | 评注 |
| (1) Draft article 7 seeks to address the question of succession of State responsibility in respect of those acts having a continuing character that are commenced by a predecessor State before the date of succession and that continue thereafter by the successor State. | (1) 第7条草案力求处理被继承国于继承日期之前实施的并在继承日期之后由继承国延续的具有持续性的行为方面的国家责任的继承问题。 |
| In such circumstances, identifying and defining the scope of State responsibility in respect of predecessor and successor States was considered essential. | 在这种情形下，指明和界定就被继承国和继承国而言的国家责任的范围被视为具有至关重要的意义。 |
| (2) Draft article 7, which should be understood within the context of the articles on responsibility of States for internationally wrongful acts, addresses acts having a continuing character. | (2) 对于第7条草案，应结合《国家对国际不法行为的责任条款》 来理解，该条草案述及具有持续性的行为。 |
| (3) The first sentence of draft article 7 sets forth the basic rule that, in the case of an internationally wrongful act of a continuing character that would continue to occur after a succession of States, the international responsibility of the successor State extends only to the consequences of its own act after the date of the succession of States. | (3) 第7条草案第一句阐明了基本规则，即具有持续性的国际不法行为在国际继承之后仍会继续发生的情况下，继承国的国际责任仅延伸至国家继承日期之后其本身行为的后果。 |
| This means that the successor State is held responsible only where an internationally wrongful act can be attributed to that State, and not to the predecessor State. | 这意味着，只有在国际不法行为可归于继承国而非被继承国的情况下，才会追究继承国的责任。 |
| This conclusion is in conformity with the articles on responsibility of States for internationally wrongful acts, wherein article 14, paragraph 2, concluded that “[t]he breach of an international obligation by an act of a State having a continuing character extends over the entire period during which the act continues and remains not in conformity with the international obligation.” | 这一结论符合《国家对国际不法行为的责任条款》，其中第14条第2款得出结论：“有持续性的一国行为违背国际义务时，该行为延续的时间为该行为持续、并且一直不遵守该国际义务的整个期间。 ” |
| (4) The first sentence being the rule in the case of succession, the second sentence of draft article 7 addresses exceptional circumstances. | (4) 第一句是发生继承情况下的一般规则，而第7条草案第二句则述及特殊情况。 |
| It states that the international responsibility of the successor State also extends to the act of the predecessor States only if and to the extent that the successor State acknowledges and adopts the act of the predecessor State as its own. | 该句指出，在并且只在继承国承认被继承国的行为并认作自己行为的情况下，继承国的国际责任也会延伸至被继承国的行为。 |
| This conclusion derives from and builds upon the articles on responsibility of States for internationally wrongful acts, specifically article 11, which states that “[c]onduct which is not attributable to a State … shall nevertheless be considered an act of that State under international law if and to the extent that the State acknowledges and adopts the conduct in question as its own. | 这一结论源自并立足于《国家对国际不法行为的责任条款》，具体为第11条，该条规定：“…不归于一国的行为，在并且只在该国确认并当作其本身行为的情况下，依国际法视为该国的行为。 |
| ” For example, in the Lighthouses arbitration, a tribunal held Greece liable for breach of a concession agreement initiated by Crete at a period when the latter was an autonomous territory of the Ottoman Empire, partly on the basis that the breach had been endorsed and eventually continued by Greece, even after the acquisition of territorial sovereignty over the island. | ” 例如在灯塔案仲裁中，法庭裁定，对于克里特岛在其作为奥斯曼帝国自治领土期间发起的特许权协定的违反，希腊应负有责任，这一裁定的部分根据是，该项违反得到了希腊的认可并最终被希腊所延续，甚至在希腊获得该岛的领土主权之后。 |
| Even if the claim was originally based on a breach of a concession agreement, if the successor State, faced with a continuing breach on its territory, endorses and continues that situation, the inference may be drawn that it has assumed responsibility for it. | 即便有关主张最初是基于对特许权协定的违反，但如果继承国面对其境内发生的持续性的违反行为，认可并延续这一情况，则可推断该国已对此承担责任。 |
| Article 8 Attribution of conduct of an insurrectional or other movement | 第8条 叛乱运动或其他运动的行为归属 |
| 1. The conduct of a movement, insurrectional or other, which succeeds in establishing a new State in part of the territory of a predecessor State or in a territory under its administration shall be considered an act of the new State under international law. | 1. 成功地在被继承国的一部分领土或在其管理下的某一领土内建立一个新国家的叛乱运动或其他运动的行为，依国际法应视为该新国家的行为。 |
| 2. Paragraph 1 is without prejudice to the attribution to the predecessor State of any conduct, however related to that of the movement concerned, which is to be considered an act of that State by virtue of the rules on responsibility of States for internationally wrongful acts. | 2. 第1款不妨碍把按照国家对国际不法行为的责任规则应视为被继承国行为的任何行为归于被继承国，无论该行为与有关运动的行为如何相关。 |
| Commentary | 评注 |
| (1) The purpose of this draft article is to address the specific situation of the conduct of an insurrectional or other movement. | (1) 本条草案旨在述及叛乱运动或其他运动行为这一具体情况。 |
| (2) Paragraph 1 reaffirms the rule of attribution of the conduct of an insurrectional or other movement which prevails in establishing a new State, as contained in article 10, paragraph 2, of the articles on responsibility of States for internationally wrongful acts. | (2) 第1款重申了《国家对国际不法行为的责任条款》第10条第2款所载的关于成功建立一个新国家的叛乱运动或其他运动的行为归属的规则。 |
| The text of paragraph 1 of draft article 8 closely follows the text of article 10, paragraph 2, of those articles, except that it refers to a “predecessor” State instead of a “pre-existing” State. | 第8条草案第1款的案文紧密跟随上述条款第10条第2款的案文，但提到的是“被继承”国而不是“先已存在的”国家。 |
| (3) Paragraph 2 is a without prejudice clause, to account for a circumstance where a State was in a position to adopt measures of vigilance, prevention or punishment in respect of the movement’s conduct but failed to do so. | (3) 第2款是一个不妨碍条款，以说明一国本来能够对该运动的行为采取警惕、防止或惩罚措施却未能这样做的情况。 |
| This paragraph is modelled closely on article 10, paragraph 3, of the articles on responsibility of States for internationally wrongful acts, but with reference to a “predecessor State” in order to contextualize the provision in terms of succession of States. | 该款紧密仿照《国家对国际不法行为的责任条款》第10条第3款，但提到的是“被继承国”，以结合国家继承这一背景来阐述这一规定。 |
| The reference to “the rules on responsibility of States for internationally wrongful acts” is to be understood as a reference to the rules of international law regarding attribution, which are comprised generally in articles 4 to 11 of the articles on responsibility of States for internationally wrongful acts. | 提到“国家对国际不法行为的责任规则”，应理解为是指关于归属的国际法规则，主要载于《国家对国际不法行为的责任条款》第4条至第11条。 |
| Article 9 Cases of succession of States when the predecessor State continues to exist | 第9条 被继承国继续存在时的国家继承情况 |
| 1. When an internationally wrongful act has been committed by a predecessor State before the date of succession of States, and the predecessor State continues to exist, an injured State continues to be entitled to invoke the responsibility of the predecessor State even after the date of succession: | 1. 当被继承国在国家继承日期之前实施了一项国际不法行为，并且被继承国继续存在时，受害国在下列情况下，即使在继承日期之后仍有权援引被继承国的责任： |
| (a) when part of the territory of the predecessor State, or any territory for the international relations of which the predecessor State is responsible, becomes part of the territory of another State; | (a) 被继承国的一部分领土或由被继承国负责其国际关系的任何领土成为另一国领土的一部分； |
| (b) when a part or parts of the territory of the predecessor State separate to form one or more States; | (b) 被继承国领土的一部分或多个部分分离出来形成一个或多个国家； |
| or | 或 |
| (c) when a successor State is a newly independent State the territory of which immediately before the date of the succession of States was a dependent territory for the international relations of which the predecessor State was responsible. | (c) 继承国是新独立国家，其领土在国家继承日期之前是由被继承国负责其国际关系的附属领土。 |
| 2. In particular circumstances, the injured State and the successor State shall endeavour to reach an agreement for addressing the injury. | 2. 在特定情况下，受害国和继承国应努力达成处理损害的协定。 |
| 3. Paragraphs 1 and 2 are without prejudice to any apportionment or other agreement between the predecessor State and the successor State when implementing paragraphs 1 and 2. | 3. 第1款和第2款不影响被继承国和继承国之间在执行第1款和第2款时的任何分摊或其他协定。 |
| Commentary | 评注 |
| (1) Draft article 9 addresses the retention of obligations by the predecessor State arising from the commission of an internationally wrongful act by the predecessor State, when the predecessor State continues to exist after the date of the succession of States, as well as the possibility of an agreement between the successor State and the injured State. | (1) 第9条草案述及被继承国在国家继承日期之后继续存在的情况下，被继承国保留其所实施的国际不法行为所产生的义务的问题，以及继承国与受害国之间达成协定的可能性。 |
| Such succession could occur in cases of separation of a part or parts of a State, establishment of a newly independent State, or transfer of part of the territory of a State. | 可发生这种继承的情形有：一国的一个或多个部分分离、一个新的独立国家成立，或一国的部分领土转移。 |
| (2) Paragraph 1 establishes the rule that, when an internationally wrongful act has been committed by a predecessor State before the date of succession of States, and the predecessor State continues to exist in the three specific cases listed thereunder, an injured State continues to be entitled to invoke the responsibility of the predecessor State even after the date of succession. | (2) 第1款确立了一项规则，即当被继承国在国家继承日期之前实施了国际不法行为，而被继承国在其下所列的三种具体情况下继续存在时，即使在继承日期之后，受害国仍然有权援引被继承国的责任。 |
| As such, the entitlement of the injured State to invoke the responsibility of a predecessor State is not affected after the date of a succession of States. | 如此，受害国援引被继承国责任的权利在国家继承日期之后不受影响。 |
| This is reflected in the choice of the terms “continues to” and “even after the date of succession”. | “仍”和“即使在继承日期之后”这两个用语就反映了这一点。 |
| (3) The text draws upon the articles on responsibility of States for internationally wrongful acts by using the formulation “invoke the responsibility”. | (3) 本案文参考了《国家对国际不法行为的责任条款》。 |
| This formulation encompasses all rules on the responsibility of States for internationally wrongful acts. | 此处表述包含了国家对国际不法行为的责任方面的所有规则。 |
| Further, the predecessor State may continue to rely on circumstances precluding the wrongfulness of internationally wrongful acts. | 此外，被继承国可继续依赖于解除国际不法行为不法性的情形。 |
| (4) Paragraph 2 addresses exceptional situations where there is a direct link between the act or its consequences and the territory of the successor State or States. | (4) 第2款述及行为或其后果与继承国领土之间存在直接联系的特殊情况。 |
| In such circumstances, the predecessor State may not be in a position to address the injury alone and cooperation with the successor State may be necessary. | 在这种情况下，被继承国可能无法单独处理损害问题，可能需要与继承国合作。 |
| Paragraph 2 does not entail an automatic transfer of obligations to the successor State, but merely specifies that an agreement may be reached by the States depending on the factual situation and the form of reparation that is most appropriate. | 第2款不意味着将义务自动转移给继承国，而只是规定有关国家可根据实际情况和最适当的赔偿形式达成协定。 |
| (5) The phrase “in particular circumstances” covers diverse situations where a successor State may be relevant for addressing the injury. | (5) “在特定情况下”这一短语涵盖了处理损害可能涉及继承国的各种情况。 |
| For example, the successor State may be relevant in a situation where restitution of property is appropriate in order to address responsibility or there is a link between the territory or an organ of the successor State and the internationally wrongful act. | 例如，如果为了处理责任问题宜将有关财产恢复原状，或者继承国的领土或某一机构与国际不法行为之间存在联系，则在这种情形下，也可能涉及继承国。 |
| Additionally, the successor State may be relevant for addressing the injury in a circumstance where the successor State would be unjustly enriched as a result of an internationally wrongful act committed before the date of succession. | 此外，如果继承国因在继承日期之前实施的国际不法行为而不公正地获益，则处理损害可能涉及继承国。 |
| This may include, for example, cases where an expropriated factory belonging to foreign investors or an object of art belonging to another State is retained on the territory of the successor State. | 这可能包括，例如，被征用的属于外国投资者的工厂或属于另一国的艺术品被保留在继承国境内的情况。 |
| (6) Paragraph 3 deals with the concept of shared responsibility and apportionment of responsibility between the predecessor State and the successor State by way of agreement. | (6) 第3款述及共担责任的概念以及被继承国和继承国之间以协议方式分摊责任的情况。 |
| It is drafted without prejudice to the contents of paragraphs 1 and 2, and reaffirms the rule contained in draft article 1, paragraph 2, according to which “[t]he present draft articles apply in the absence of any different solution agreed upon by the States concerned”. | 该款的行文不影响第1款和第2款的内容，并重申了第1条草案第2款所载的规则，即“本条款草案在有关国家未商定任何不同解决办法的情况下适用”。 |
| Paragraph 3 does not limit itself to questions of financial apportionment in case of compensation, recognizing that the form of reparation necessary under different factual circumstances may be distinct, leaving it open for the predecessor and the successor State to discuss the form of reparation in the agreement. | 第3款并不限于补偿时的资金分摊问题，同时确认必要赔偿的形式在不同实际情况下可能不同，使被继承国和继承国可在协定中讨论赔偿的形式。 |
| Chapter VIII General principles of law | 第八章 一般法律原则 |
| A. Introduction | A. 导言 |
| 166. The Commission, at its seventieth session (2018), decided to include the topic “General principles of law” in its programme of work and appointed Mr. Marcelo Vázquez-Bermúdez as Special Rapporteur. | 166. 委员会第七十届会议(2018年)决定将“一般法律原则”专题列入工作方案，并任命马塞洛·巴斯克斯－贝穆德斯先生为特别报告员。 |
| The General Assembly, in paragraph 7 of its resolution 73/265 of 22 December 2018, subsequently took note of the decision of the Commission to include the topic in its programme of work. | 联大随后在2018年12月22日第73/265号决议第7段中注意到委员会决定将这一专题列入工作方案。 |
| 167. At its seventy-first session (2019), the Commission considered the Special Rapporteur’s first report (A/CN.4/732), which set out his approach to the topic’s scope and outcome, as well as the main issues to be addressed in the course of the Commission’s work. | 167. 委员会在第七十一届会议(2019年)上审议了特别报告员的第一次报告(A/CN.4/732)，特别报告员在报告中提出了他处理本专题的范围和成果的方法，以及委员会在工作中应处理的主要问题。 |
| Following the debate in plenary, the Commission decided to refer draft conclusions 1 to 3, as contained in the Special Rapporteur’s first report, to the Drafting Committee. | 在全体会议举行辩论之后，委员会决定将特别报告员第一次报告所载结论草案1至3送交起草委员会。 |
| The Commission subsequently took note of the interim report of the Chair of the Drafting Committee regarding draft conclusion 1, provisionally adopted by the Committee in English only, which was presented to the Commission for information. | 委员会随后注意到起草委员会主席关于起草委员会暂时通过的结论草案1的临时报告，该报告只有英文本，已提交委员会参考。 |
| 168. Also at its seventy-first session, the Commission requested the Secretariat to prepare a memorandum surveying the case law of inter-State arbitral tribunals and international criminal courts and tribunals of a universal character, as well as treaties, which would be particularly relevant for its future work on the topic. | 168. 也是在第七十一届会议上，委员会请秘书处编写一份备忘录，评述国家间仲裁法庭、普遍性国际刑事法院和法庭的判例，以及不同条约，这对委员会今后关于这一专题的工作尤为重要。 |
| B. Consideration of the topic at the present session | B. 本届会议审议此专题的情况 |
| 169. At the present session, the Commission considered the Special Rapporteur’s second report (A/CN.4/741 and Corr.1). | 169. 委员会在本届会议上审议了特别报告员的第二次报告(A/CN.4/741和Corr.1)。 |
| In his second report, the Special Rapporteur addressed the identification of general principles of law in the sense of Article 38, paragraph 1 (c), of the Statute of the International Court of Justice, and proposed six draft conclusions. | 特别报告员在第二次报告中论述了《国际法院规约》第三十八条第一款(寅)项意义上一般法律原则的识别，并提出了六项结论草案。 |
| He also made suggestions for the future programme of work on the topic. | 他还就该专题的未来工作方案提出了建议。 |
| The Commission also had before it the memorandum it had requested from the Secretariat surveying the case law of inter-State arbitral tribunals and international criminal courts and tribunals of a universal character, as well as treaties, which would be particularly relevant for its future work on the topic (A/CN.4/742). | 委员会还收到了要求秘书处提交的备忘录，评述国家间仲裁法庭、普遍性国际刑事法院和法庭的判例，以及不同条约，这对委员会今后关于这一专题的工作尤为重要(A/CN.4/742)。 |
| 170. The Commission considered the Special Rapporteur’s second report at its 3536th, 3538th, 3539th, and 3541st to 3546th meetings, from 12 to 21 July 2021. | 170. 委员会在2021年7月12日至21日举行的第3536、3538、3539和3541至3546次会议上审议了特别报告员的第二次报告。 |
| 171. At its 3546th meeting, on 21 July 2021, the Commission decided to refer draft conclusions 4 to 9, as contained in the Special Rapporteur’s second report, to the Drafting Committee, taking into account the views expressed in the plenary debate. | 171. 在2021年7月21日第3546次会议上，委员会决定结合全体会议辩论期间发表的意见，将特别报告员第二次报告所载结论草案4至9送交起草委员会。 |
| 172. At its 3557th meeting, on 3 August 2021, the Commission considered the report of the Drafting Committee (A/CN.4/L.955 and Add.1) on draft conclusions 1 (in French and Spanish), 2, 4 and 5, provisionally adopted by the Committee at the present session. | 172. 在2021年8月3日第3557次会议上，委员会审议了起草委员会在本届会议上暂时通过的关于结论草案1 (法文和西班牙文)、2、4和5的报告(A/CN.4/L.955和Add.1)。 |
| At the same meeting, the Commission provisionally adopted draft conclusions 1, 2 and 4 (see sect. C.1 below), and took note of draft conclusion 5. | 在同次会议上，委员会暂时通过了结论草案1、2和4 (见下文C.1节)，并注意到结论草案5。 |
| At its 3561st and 3563rd meetings, on 5 and 6 August 2021, the Commission adopted the commentaries to draft conclusions 1, 2 and 4 provisionally adopted at the present session (see sect. C.2 below). | 在2021年8月5日和6日的第3561和3563次会议上，委员会通过了本届会议暂时通过的关于结论草案1、2和4的评注(见下文C.2节)。 |
| 1. Introduction by the Special Rapporteur of the second report | 1. 特别报告员介绍第二次报告 |
| 173. The Special Rapporteur recalled the complexities of the topic, stating that general principles of law were one of the three principal sources of international law and therefore their analysis required careful and extensive treatment. | 173. 特别报告员回顾了这一专题的复杂性，指出一般法律原则是国际法的三项主要渊源之一，因此需要对其进行仔细和广泛的分析。 |
| He indicated that his second report dealt with the methodology for identifying general principles of law. | 他指出，他的第二次报告涉及识别一般法律原则的方法。 |
| He recalled the fruitful debates in the Commission, as well as in the Sixth Committee of the General Assembly, and highlighted six main points from them. | 他回顾了委员会和联大第六委员会富有成果的辩论，并强调了其中六个要点。 |
| 174. First, he recalled that there was general consensus regarding the topic’s scope and the form of the final output of the Commission’s work. | 174. 首先，他回顾说，对于此专题的范围和委员会工作最后成果的形式，存在普遍共识。 |
| In the Special Rapporteur’s view, members of the Commission and States in the Sixth Committee widely agreed that the topic should deal with the legal nature of general principles of law as one of the sources of international law, their scope, their functions and their relationship with other sources of international law, as well as the method for identifying them. | 特别报告员认为，委员会委员和第六委员会的各国广泛认为，此专题应处理作为国际法渊源之一的一般法律原则的法律性质、范围、作用，及其与其他国际法渊源的关系，以及识别这些原则的方法。 |
| He also noted agreement that the Commission’s output would take the form of draft conclusions accompanied by commentaries. | 他还注意到，大家同意委员会的成果采用附加评注的结论草案的形式。 |
| 175. Second, the Special Rapporteur recalled that there was general agreement that the starting point for the Commission’s work should be Article 38, paragraph 1 (c), of the Statute of the International Court of Justice, analysed in the light of State practice and jurisprudence. | 175. 第二，特别报告员回顾说，大家普遍同意应以《国际法院规约》第三十八条第一款(寅)项作为委员会工作的起点，并结合国家实践和判例进行分析。 |
| 176. Third, he recalled that there was broad consensus that recognition was the essential condition for the existence and identification of general principles of law. | 176. 第三，他回顾说，广泛的共识认为，承认是一般法律原则存在和识别的必要条件。 |
| 177. Fourth, there was general agreement both within the Commission and the Sixth Committee that the term “civilized nations” contained in Article 38, paragraph 1 (c), of the Statute of the Court was anachronistic and should be avoided. | 177. 第四，委员会和第六委员会内部普遍认为，《法院规约》第三十八条第一款(寅)项中的“文明各国”一词不合时宜，应予避免。 |
| 178. Fifth, the Special Rapporteur recalled that there was virtually unanimous support for the category of general principles of law derived from national legal systems, as well as for the basic methodology for their identification. | 178. 第五，特别报告员回顾说，源于国家法律体系的一般法律原则这一类别以及识别这些原则的基本方法几乎得到一致支持。 |
| 179. Finally, with regard to the second category of general principles of law proposed in the first report, namely, those formed within the international legal system, the Special Rapporteur noted that, while members of the Commission and States in the Sixth Committee supported that category, some members and delegations had expressed doubts. | 179. 最后，关于第一次报告中提出的第二类一般法律原则，即在国际法体系内形成的原则，特别报告员指出，虽然有委员会委员和第六委员会的一些国家支持这类原则，但一些委员和代表团表达了怀疑意见。 |
| 180. The Special Rapporteur indicated that the second report was divided into five parts: Part One addressed certain general aspects in relation to the identification of general principles of law; | 180. 特别报告员指出，第二次报告分为五个部分：第一部分涉及与识别一般法律原则有关的某些一般问题； |
| Parts Two and Three dealt with the methodology for identifying general principles of law derived from national legal systems and those formed within the international legal system, respectively; | 第二部分和第三部分分别讨论识别源于国家法律体系和在国际法体系内形成的一般法律原则的方法； |
| Part Four examined the subsidiary means for the determination of general principles of law; | 第四部分审查了确定一般法律原则的辅助资料； |
| and Part Five briefly addressed the Commission’s future programme of work on the topic. | 第五部分简要讨论了委员会关于这一专题的未来工作方案。 |
| The Special Rapporteur proposed six draft conclusions in his second report. | 特别报告员在第二次报告中提出了六项结论草案。 |
| 181. In his introduction to Part One, the Special Rapporteur focused on three observations, namely that: (a) the Commission’s approach should be limited to clarifying the methodology by which the existence of general principles of law, and their content, could be determined at a specific point in time; | 181. 特别报告员在第一部分的导言中着重提出了三点意见，即：(a) 委员会的工作方法应限于澄清如何确定在特定时间点存在一般法律原则，及一般法律原则的内容； |
| (b) there was general agreement among the members of the Commission and States in the Sixth Committee that recognition was the essential condition for determining the existence of general principles of law; | (b) 委员会委员和第六委员会的各国普遍同意，承认是确定一般法律原则存在的必要条件； |
| and (c) the term “community of nations”, included in article 15, paragraph 2, of the International Covenant on Civil and Political Rights referring to general principles of law, should be used instead of “civilized nations”. | (c) 应采用《公民及政治权利国际公约》 提及一般法律原则的第十五条第二款使用的“各国”一词，而非“文明各国”的表述。 |
| 182. Part Two addressed the identification of general principles of law derived from national legal systems. | 182. 第二部分论述了对源自国家法律体系的一般法律原则的识别。 |
| Chapter I briefly set forth the basic approach to the issue, namely that to identify general principles of law derived from national legal systems, a two-step analysis was required. | 第一章简要阐述了处理这一问题的基本方法，即要识别源于国家法律体系的一般法律原则，需要分两步骤进行分析。 |
| Chapters II and III dealt with each of those steps in detail. | 第二章和第三章详细论述了这些步骤。 |
| Chapter IV addressed the distinction between the methodology for the identification of general principles of law derived from national legal systems and the methodology for the identification of customary international law. | 第四章讨论了识别源自国家法律体系的一般法律原则的方法和识别习惯国际法的方法之间的区别。 |
| 183. The Special Rapporteur noted that, both in practice and in the literature, a two-step analysis was followed to identify general principles of law: (a) first, the existence of a principle common to the principal legal systems of the world must be determined; | 183. 特别报告员注意到，为识别一般法律原则，实践和文献采取了两步骤分析：(a) 首先，必须确定一项世界主要法律体系共有的原则的存在； |
| (b) second, the transposition of that principle into the international legal system must be ascertained. | (b) 第二，必须查明这一原则被移植到国际法律体系内。 |
| 184. He highlighted specific findings concerning the first step, namely: (a) a comparative analysis must be conducted of national legal systems, demonstrating that a principle was common to them; | 184. 他强调了第一步分析的具体结论，即：(a) 必须对国家法律体系进行比较分析，表明它们有一项共有原则； |
| (b) it was necessary to cover as many national legal systems as possible to ensure that a principle had effectively been generally recognized by the community of nations; | (b) 有必要涵盖尽可能多的国家法律体系，以确保一项原则得到各国的有效承认； |
| (c) it was not necessary to examine every single national legal system of the world; | (c) 没有必要审查世界上每一个国家的法律体系； |
| (d) the use of the phrase “principal legal systems of the world” was proposed, as was used in the Statute of the International Court of Justice and the statute of the Commission, to describe the scope of the analysis covering different legal families and regions of the world; | (d) 有人提议使用《国际法院规约》和《委员会章程》中使用的“世界主要法律体系”一语，用于描述涵盖世界不同法系和区域的分析范围； |
| (e) the test of commonality was relatively straightforward, consisting of comparing existing rules in national legal systems and identifying the legal principle common to them; | (e) 共有性测试相对简单，包括比较国家法律体系当中的现有规则，及查明它们共有的法律原则； |
| (f) the materials relevant to the analysis were the domestic legal sources of States, such as legislation and decisions of national courts, taking into account the particular characteristics of each national legal system; | (f) 与这一分析相关的材料包括各国的国内法渊源，例如立法和国家法院的裁决，同时考虑每个国家法律体系的具体特点； |
| and (g) it was possible to argue that if an international organization was given the power to issue rules that were binding on its member States and directly applicable in the latter’s legal systems, those rules might be taken into account when carrying out the comparative analysis. | (g) 有可能存在以下观点，即如果一个国际组织被给予发布规则的权力，而这些规则对其会员国具有约束力，并直接适用于会员国的法律体系，则在进行比较分析时就应该考虑这些规则。 |
| 185. With respect to the second step, the Special Rapporteur noted that the transposition of a principle common to the principal legal systems of the world to the international legal system was not automatic. | 185. 关于第二步分析，特别报告员指出，世界主要法律体系的一项共有原则被移植到国际法律体系内并不是自动发生的。 |
| He highlighted two requirements: (a) the principle must be compatible with the fundamental principles of international law; | 他强调了两项要求：(a) 该原则必须符合国际法的基本原则； |
| and (b) conditions must exist for the adequate application of the principle in the international legal system. | (b) 必须具备在国际法体系中充分适用该原则的条件。 |
| The Special Rapporteur also noted that compatibility with any conventional or customary international law rule was not a requirement for transposition, given the absence of hierarchy between the sources of international law listed in Article 38, paragraph 1, of the Statute of the International Court of Justice. | 特别报告员还指出，因为《国际法院规约》第三十八条第一款所列的国际法渊源之间没有等级之分，所以与任何协定国际法或习惯国际法规则相符，并不是移植的要求。 |
| He also noted, in that sense, that any conflict that might arise among norms of the three sources should be resolved by resorting to principles such as lex specialis. | 他还指出，从这个意义来说，三个渊源的规范之间可能出现的任何冲突，都应诉诸特别法等原则来解决。 |
| 186. Part Three of the report concerned the identification of general principles of law formed within the international legal system. | 186. 报告第三部分论述了在国际法体系内形成的一般法律原则的识别。 |
| Chapter I recalled the main issues raised during the 2019 debate within the Commission at its seventy-first session and the Sixth Committee at the seventy-fourth session of the General Assembly, and set forth the Special Rapporteur’s general approach in that regard. | 第一章回顾了2019年委员会在第七十一届会议期间和第六委员会在联大第七十四届会议期间的辩论提出的主要问题，并阐述了特别报告员在这方面的一般做法。 |
| Chapter II addressed the methodology to determine the existence of general principles of law formed within the international legal system. | 第二章讨论确定在国际法体系内形成的一般法律原则是否存在的方法。 |
| Chapter III dealt with the distinction between the methodology for identification of customary international law and the one for identification of general principles of law formed within the international legal system. | 第三章处理习惯国际法的识别方法和在国际法体系内形成的一般法律原则的识别方法之间的区别。 |
| 187. The Special Rapporteur recalled that, although members of the Commission and States in the Sixth Committee had expressed support for the second category of general principles of law, and the analysis thereof contained in his first report, some divergent opinions had also been expressed in both forums. | 187. 特别报告员回顾说，虽然委员会委员和第六委员会的一些国家表示支持第二类一般法律原则，并支持他的第一次报告所载分析，但两个讨论场合也听到了一些不同意见。 |
| He noted that the main concerns were: that there would not be sufficient or conclusive practice to reach conclusions regarding that category of general principles of law; | 他注意到，主要关切的问题是：没有充足或决定性的实践，可就一般法律原则的类别达成结论； |
| the difficulty of distinguishing those principles from customary international law; | 难以将这些原则与习惯国际法区分开来； |
| and the apparent risk that the criteria for identifying general principles in that category would not be sufficiently strict, which could render them too easy to invoke. | 识别这类一般原则的标准不够严格，因此存在过于轻易援引这些原则的显著风险。 |
| 188. Part Four addressed the subsidiary means for the identification of general principles of law. | 188. 第四部分论述了识别一般法律原则的辅助资料。 |
| The Special Rapporteur stated that his approach in that part was based on the conclusions reached by the Commission in its work on identification of customary international law. | 特别报告员指出，他在这方面的工作方法以委员会就习惯国际法的识别工作得出的结论为基础。 |
| The Special Rapporteur noted that, in principle, there was no difference as to how Article 38, paragraph 1 (d), of the Statute of the International Court of Justice applied in relation to customary international law or general principles of law. | 特别报告员指出，《国际法院规约》第三十八条第一款(卯)项对习惯国际法或一般法律原则的适用，原则上没有区别。 |
| In his view, the “rules of law” to which that provision referred clearly applied to the three sources of international law listed in the preceding subparagraphs of Article 38. | 他认为，该条所指的“法律原则”显然适用于第三十八条前几项所列的国际法的三个渊源。 |
| 189. Part Five briefly set forth the Special Rapporteur’s proposed future programme of work. | 189. 第五部分简要阐述了特别报告员提出的未来工作方案。 |
| He stated his intention to address the functions of general principles of law and their relationship with other sources of international law in his next report. | 他表示打算在下一次报告中论述一般法律原则的作用及其与其他国际法渊源的关系。 |
| Furthermore, he stated that his next report would also provide an opportunity to examine issues that might arise in relation to his second report during the debate at the Commission’s seventy-second session. | 他还表示，在下一次报告中，他也将有机会审查在委员会第七十二届会议辩论期间可能出现的与他的第二次报告有关的问题。 |
| 190. To conclude, the Special Rapporteur recalled his proposal that the Commission provide at the end of its work a broadly representative bibliography of the main studies relating to general principles of law and noted that the proposal had received support from members at the seventy-first session. | 190. 最后，特别报告员回顾了他的提议，即委员会在工作接近尾声时提供一份与一般法律原则有关的具有广泛代表性的主要研究文献目录，并指出该提议在第七十一届会议上得到了委员们的支持。 |
| 2. Summary of the debate | 2. 辩论摘要 |
| (a) General comments | (a) 一般性评论 |
| 191. Members generally welcomed the second report of the Special Rapporteur and expressed appreciation for the memorandum prepared by the Secretariat. | 191. 委员们总体上欢迎特别报告员的第二次报告，并对秘书处编写的备忘录表示赞赏。 |
| Some members noted the importance of the topic and highlighted the need to take a careful approach when discussing issues related to the sources of international law. | 一些委员指出了这一专题的重要性，并强调，在讨论与国际法渊源有关的问题时需要采取谨慎态度。 |
| 192. Regarding the methodology of the report, several members commended the Special Rapporteur’s survey of relevant State practice, jurisprudence and teachings. | 192. 关于报告的方法，一些委员赞扬特别报告员对相关国家实践、判例和学说所作调查。 |
| Caution was expressed regarding the use of opinions of States on general principles of law expressed in the course of litigation, and it was noted that, in any event, the different views of the parties to a dispute should be properly weighed. | 关于使用国家在诉讼过程中对一般法律原则发表的意见的问题，有人认为应保持谨慎； 也有人指出，无论如何，应适当权衡争端各方的不同意见。 |
| 193. Some members reiterated their agreement with the Special Rapporteur that the scope of the topic should include the legal nature of general principles of law as a source of international law; | 193. 一些委员重申同意特别报告员的意见，即专题的范围应包括作为国际法渊源的一般法律原则的法律性质； |
| the scope of general principles of law, which refers to the origins and corresponding categories of general principles of law; | 一般法律原则的范围，这指的是一般法律原则的起源和相应的类别； |
| the functions of general principles of law and their relationship with other sources of international law; | 一般法律原则的作用及其与其他国际法渊源的关系； |
| and the identification of general principles of law. | 以及一般法律原则的识别。 |
| As for the outcome, support was reiterated for draft conclusions accompanied by commentaries. | 关于成果，委员们重申支持附加评注的结论草案。 |
| 194. Several members recalled that the starting point of the work of the Commission was Article 38, paragraph 1 (c), of the Statute of the International Court of Justice. | 194. 一些委员回顾说，《国际法院规约》第三十八条第一款(寅)项是委员会工作的起点。 |
| A view was expressed that the title of the topic should have a specific and clear reference to Article 38, paragraph 1 (c). | 有人认为，专题的标题应具体且明确提及第三十八条第一款(寅)项。 |
| Several members noted that general principles of law were an autonomous source of international law and that, while the list of sources in the Statute was not hierarchical, general principles of law played a subsidiary or supplementary role. | 一些委员指出，一般法律原则是国际法的一个自成一体的来源，虽然在《规约》中，国际法的不同渊源之间没有等级之分，但一般法律原则起到的是辅助或补充作用。 |
| Some members noted that the function of general principles of law, as envisaged by the drafters of the Statute of the Permanent Court of International Justice, was to fill gaps in international law and to avoid situations of non liquet. | 一些委员指出，正如《常设国际法院规约》 起草者所设想的那样，一般法律原则的作用是填补国际法的空白，避免出现无法可依的情况。 |
| Several members agreed with the Special Rapporteur’s general approach that the criteria for identifying general principles of law must be sufficiently strict to prevent them from being used as a shortcut to identify norms of international law, and at the same time sufficiently flexible so that identification would not amount to an impossible task. | 一些委员同意特别报告员的总体做法，即识别一般法律原则的标准必须足够严格，以防止它们被用作识别国际法规范的捷径，同时又应当足够灵活，因此识别工作不会变成一项不可能的任务。 |
| 195. There was unanimous support among those who spoke in the plenary debate for abandoning the term “civilized nations” contained in Article 38, paragraph 1 (c), of the Statute of the International Court of Justice. | 195. 在全体会议辩论期间发言的委员们一致支持抛弃《国际法院规约》第三十八条第一款(寅)项中的“文明各国”的说法。 |
| While several members supported the use of the term “community of nations” proposed by the Special Rapporteur and based on article 15, paragraph 2, of the International Covenant on Civil and Political Rights, others expressed doubt as to its use. | 虽然一些委员支持使用特别报告员基于《公民及政治权利国际公约》第十五条第二款提出的“community of nations”(各国)一词，但另一些委员对使用该词表示疑问。 |
| Some members stated that there was a need to reflect on the meaning of the word “nations” in the context of the topic. | 一些委员指出，有必要在本专题的背景下思考“nations”一字的含义。 |
| Some members highlighted that the term “nations” was appropriate, as it would provide a more diverse source of legal systems and traditions than the word “States”. | 一些委员强调，“nations”的说法是恰当的，因为它比“states”的说法提供了更多样的法律体系和传统的渊源。 |
| Concerns were raised that article 15, paragraph 2, of the Covenant utilized varying terms in the different authentic languages. | 有人对《公约》第十五条第二款在不同语文的作准文本中使用不同的说法表示关切。 |
| Suggestions were made to use instead the terms “international community”, “international community of States”, “States”, or “community of nations as a whole”. | 有委员建议改用“international community”(国际社会)、“international community of States”(由国家组成的国际社会)、“States”(各个国家)或“community of nations as a whole”(整个国际社会)等表述。 |
| 196. With respect to the terminology to be used in French (“principes généraux ‘de/du’ droit”) and Spanish (“principios generales ‘de/del’ derecho”), the view was expressed that it would be important not to depart from the wording contained in Article 38, paragraph 1 (c), of the Statute of the International Court of Justice. | 196. 关于法文(“principes généraux ‘de/du’ droit”)和西班牙文(“principios generales ‘de/del’ derecho”)使用的术语，有人认为，重要的是不要偏离《国际法院规约》第三十八条第一款(寅)项所载的措辞。 |
| Attention was drawn to the need to adapt the terminology used to current usage of the expression in each of the official languages. | 有委员提醒说，有必要按照每种正式语文目前使用的表达调整术语。 |
| On the other hand, it was said that the appropriate terminology would eventually depend on the scope given by the Commission to the topic. | 另一方面，有委员说，适当的术语最终将取决于委员会给予本专题的范围。 |
| It was also stated that, regardless of the terminology used, it should not affect the meaning of that provision. | 还有委员指出，无论使用哪个术语，都不应影响该条款的含义。 |
| 197. Several members agreed that recognition was the essential requirement for the identification of general principles of law. | 197. 几位委员认为，承认是识别一般法律原则的基本要求。 |
| There was also general agreement that the topic covered general principles of law derived from national legal systems. | 委员们还普遍认为，本专题涵盖源自国家法律体系的一般法律原则。 |
| However, while several members expressed support for general principles of law formed within the international legal system, others expressed doubt regarding their inclusion in the topic or their existence as a source of international law. | 虽然一些委员表示支持在国际法体系内形成的一般法律原则，但另一些委员则对将这类原则纳入本专题或将其作为国际法渊源表示疑问。 |
| Some members highlighted that the term “principle” and its relationship to “rule” might need to be clarified. | 一些委员强调，可能需要澄清“principle”(原则)一词及其与“rule”(规则)之间的关系。 |
| 198. Several members expressed caution as to the imprecise use of terminology. | 198. 一些委员表示应对不准确使用术语的问题保持谨慎。 |
| It was noted that several distinct terms, such as “general international law”, “general principles of international law” and “fundamental principles of international law”, were often used interchangeably in practice and teachings. | 有人指出，几个不同的术语，如“一般国际法”、“国际法的一般原则”和“国际法的基本原则”，在实践和学说中经常被互换使用。 |
| Some members expressed the need to distinguish between “principles”, “general international law” and “general principles of law under Article 38, paragraph 1 (c)”. | 一些委员认为，有必要对“原则”、“一般国际法”和“第三十八条第一款(寅)项之下的一般法律原则”进行区分。 |
| It was also noted that there was a need to differentiate between the notion of principles as a source of law and principles as a subcategory of customary or conventional rules of international law. | 还有委员指出，有必要区分作为法律渊源的原则的概念和作为习惯国际法或协定国际法规则的一个子类的原则的概念。 |
| (b) Draft conclusions 4 to 6 | (b) 结论草案4至6 |
| 199. With respect to draft conclusions 4 (identification of general principles of law derived from national legal systems), 5 (determination of the existence of a principle common to the principal legal systems of the world) and 6 (ascertainment of transposition to the international legal system), members generally agreed with the two-step analysis proposed by the Special Rapporteur. | 199. 关于结论草案4 (识别源自国家法律体系的一般法律原则)、5 (确定一项世界主要法律体系共有的原则的存在)和6 (查明其被移植到国际法体系)，委员们总体同意特别报告员建议的两步骤分析。 |
| Doubt was expressed, however, as to whether the two steps could be applied as a single combined operation, as suggested by the Special Rapporteur. | 然而，有人对这两个步骤能否按照特别报告员的建议合并为一项行动加以适用表示怀疑。 |
| 200. Regarding the first step, namely, the determination of the existence of a principle common to the principal legal systems of the world, it was observed that in draft conclusion 5, paragraph 1, it was not necessary to refer to the methods and techniques of comparative law in the analysis of national legal systems; | 200. 关于第一个步骤，即识别一项世界主要法律体系共有的原则的存在，有人认为，结论草案5第1段没有必要在分析国家法律体系时提及比较法的方法和技巧； |
| rather, focus should be placed on basic notions that those systems might have in common. | 反之，应将重点放在这些系统可能共有的基本概念上。 |
| It was also suggested that the process would be better described as a “comparative examination”. | 还有人建议，最好将这一过程称之为“比较审查”。 |
| 201. Regarding paragraph 2 of draft conclusion 5, several members agreed with the Special Rapporteur that the comparative analysis must be wide and representative, which translated into a requirement to cover as many national legal systems as possible. | 201. 关于结论草案5的第2段，一些委员同意特别报告员的意见，即比较分析必须广泛且有代表性，这就要求涵盖尽可能多的国家法律体系。 |
| That included ensuring representativeness of the various legal systems of the world, including, as appropriate, of indigenous, autochthonous or first peoples. | 这包括确保世界各种法律体系的代表性，包括在适当情况下确保土著、原住民或第一民族法律体系的代表性。 |
| Some members considered the requirement too strict, and it was noted that in practice such comparative analysis was not always wide and representative. | 一些委员认为这一要求过于严格，有人指出，在实践中，这种比较分析并非总是广泛且有代表性。 |
| A view was expressed that the requirement for breadth and representativeness necessarily meant that the assessment did not have to be very deep. | 一种意见认为，要求广度和代表性，必然意味着评估无需非常有深度。 |
| The view was also expressed that the matter of accessibility to national legal materials was not addressed in the draft conclusions. | 还有人指出，结论草案没有提及获取各国法律资料的问题。 |
| 202. Drafting suggestions were made to draft conclusion 5, paragraph 2, to the effect of including a requirement analogous to the one used in the Commission’s conclusions on identification of customary international law, namely that the comparative analysis must be sufficiently wide and representative. | 202. 有人就结论草案5第2段提出了起草建议，认为应列入一项要求，类似于委员会在关于习惯国际法的识别的结论中采用的要求，即比较分析必须足够广泛和有代表性。 |
| It was also suggested that the Commission might wish to include in draft conclusion 5 the notion that a significant number of national legal systems should recognize the principle in question. | 还有人建议，委员会不妨在结论草案5中纳入这样一个概念，即许多国家的法律体系应当承认所述原则。 |
| Other drafting suggestions were made to reflect that the analysis should be flexible and conducted on a case-by-case basis. | 委员们还提出了另一些起草建议，指出分析应当灵活，并逐案进行。 |
| 203. Some members expressed doubt as to using the concept of “legal families” to describe the scope of the comparative analysis. | 203. 一些委员对使用“法律族系”的概念描述比较分析的范围提出了疑问。 |
| It was suggested that geographical representation and language should also be criteria for recognition. | 有人认为，地域代表性和语言也应该是承认的标准。 |
| It was noted that national legal systems within a legal family might or might not share a principle. | 有人指出，一个法律族系内的国家法律体系可能有、也可能没有共有的原则。 |
| While several members supported the use of the phrase “principal legal systems of the world” proposed by the Special Rapporteur, it was noted that such wording might suggest that the recognition of a principle by legal families themselves could be considered determinative, rather than the recognition by national legislations within those families. | 虽然若干委员支持使用特别报告员提议的“世界主要法律体系”的说法，但有人指出，这一措辞可能意味着法律族系本身对一项原则的承认可能被视为具有决定性，而非这些族系中国家立法的承认。 |
| The view was expressed that the word “principal” was not needed. | 有人认为不需要“主要”一词。 |
| 204. As to the proposal that the comparative analysis should include an assessment of national legislation and decisions of national courts, reflected in paragraph 3 of draft conclusion 5, some members considered that such a requirement was too stringent, while others suggested that the draft conclusion did not reflect the broad range of materials relevant for the identification of principles of law in domestic legal systems referred to in the report of the Special Rapporteur. | 204. 结论草案5第3段提出了建议，即比较分析应包括对国家立法和国家法院的裁决的评估，一些委员认为这项要求过于严格，而另一些委员则认为结论草案没有体现出特别报告员报告中提到的与在国内法律体系当中识别法律原则相关的广泛材料。 |
| Some members suggested that the draft conclusion should also include reference to constitutional, administrative or executive practice. | 一些委员认为，结论草案还应提及宪法、行政或执行惯例。 |
| 205. While several members supported the inclusion of the practice of international organizations in the analysis in cases where those organizations were given the power to issue rules that were binding on their member States and directly applicable in the legal systems of the latter, some members expressed caution in that regard. | 205. 虽然一些委员支持下述做法，即如果国际组织被给予发布规则的权力，而这些规则对其会员国具有约束力，并直接适用于后者的法律体系，则在进行比较分析时应该考虑纳入这些国际组织的惯例，但也有委员表示在这方面需保持谨慎。 |
| The view was expressed that such inclusion would require justification, as Article 38, paragraph 1 (c), of the Statute of the International Court of Justice did not refer to international organizations. | 有人认为，纳入这种惯例需要解释理由，因为《国际法院规约》第三十八条第一款(寅)项没有提到国际组织。 |
| 206. Regarding the second step of the analysis, as reflected in draft conclusion 6, namely the ascertainment of transposition to the international legal system, some members concurred with the Special Rapporteur that it was a necessary step and expressed support for the two elements listed as required for transposition. | 206. 关于结论草案6所反映的第二步分析，即查明被移植到国际法体系的问题，一些委员同意特别报告员的意见，认为这是一个必要的步骤，并表示支持列举的两项要素为移植所需要求。 |
| It was also stated, however, that those elements seemed too complicated and that the Commission should simply enunciate the requirement of transposition. | 然而，也有人指出，这些要素似乎过于复杂，委员会应该仅声明移植的要求。 |
| It was further noted that none of the cases referred to by the Special Rapporteur in his report supported the premise that the two elements were cumulative. | 还有人指出，特别报告员在其报告中提到的案例都不支持这两项要素为累加要素这一前提。 |
| Some members were of the view that transposition was not a requirement for recognition, but rather the concretization of a principle as applicable law to a dispute. | 一些委员认为，移植不是承认的要求，将一项原则具体转化为适用于争端的法律才是。 |
| It was also noted that transposition was not contained in Article 38, paragraph 1 (c), of the Statute of the International Court of Justice, and therefore was not necessarily part of the requirement of recognition as suggested by the Special Rapporteur. | 还有人指出，《国际法院规约》第三十八条第一款(寅)项没有关于移植的内容，因此不一定作为特别报告员建议的承认的要求之一。 |
| The view was expressed that the term “transposability” might be considered as an alternative to “transposition”. | 有人认为，可考虑将“可移植”一词作为“被移植”的替代说法。 |
| 207. With regard to the first element required for transposition according to draft conclusion 6, subparagraph (a), namely, compatibility with fundamental principles of international law, some members supported the use of that expression, while several others requested clarification as to the meaning and content of the expression “fundamental principles of international law”. | 207. 关于结论草案6中移植所需的第一个要素――分段(a)，即符合国际法基本原则，一些委员支持使用这一表述，而另一些委员则要求澄清“国际法基本原则”这一表述的含义和内容。 |
| Some members suggested that compatibility should also be considered in the light of more specific and precise rules of international law. | 一些委员建议，还应根据更具体和准确的国际法规则来考虑相符性。 |
| Drafting suggestions were made to the effect that principles would need to be compatible with “fundamental principles and values of international law”, with the “exigencies of the international legal order” and with the “basic elements of the international legal order”. | 有人提出起草建议，认为这些原则需要符合“国际法的基本原则和价值观”，符合“国际法律秩序的迫切需要”和符合“国际法律秩序的基本要素”。 |
| 208. As to the second element for transposition, which was reflected in draft conclusion 6, subparagraph (b), namely, that conditions existed for the principle’s adequate application in the international legal system, some members agreed with the logic behind it, while others expressed the view that the difficulty of application would not preclude transposition. | 208. 关于结论草案6中反映的移植的第二个要素――分段(b)，即具备该原则在国际法体系中适足适用的条件，一些委员同意其背后的逻辑，而另一些委员则认为，适用方面存在困难，并不将移植排除在外。 |
| 209. It was suggested that further consideration should be given to the exact nature of the subjects to whom a given principle would apply as an element to take into account in the process of transposition. | 209. 有人建议，应进一步考虑某一特定原则的适用对象的确切性质，作为移植过程中应考虑的一个因素。 |
| The view was also expressed that the requirement of transposition, as reflected in the draft conclusions, did not account for the will of States to apply a given general principle of law to their legal relations. | 还有人认为，结论草案中反映的移植的要求没有考虑各国将某项一般法律原则适用于其法律关系的意愿。 |
| (c) Draft conclusion 7 | (c) 结论草案7 |
| 210. With respect to draft conclusion 7, some members supported the Special Rapporteur’s views concerning the existence of general principles of law formed within the international legal system, and concurred that their legal basis was in Article 38, paragraph 1 (c), of the Statute of the International Court of Justice. | 210. 关于结论草案7, 一些委员支持特别报告员关于存在国际法体系内形成的一般法律原则的观点，并同意其法律依据是《国际法院规约》第三十八条第一款(寅)项。 |
| It was stated that the need to avoid a non liquet could find answer not only in general principles of law derived from national legal systems, but also in general principles of law that had their origin in the international legal system itself. | 有人指出，要避免无法可依，答案不仅在于源自国家法律体系的一般法律原则，也存在于源自国际法体系本身的一般法律原则中。 |
| The view was also expressed that general principles of law formed within the international legal system could be seen as a sign of the increasing maturity and growing complexity of international law, which thus came to depend less on gap-filling sources from domestic law. | 还有人表示，在国际法体系内形成的一般法律原则可被视为国际法日益成熟和日益复杂的一个标志，因此，国际法越来越少依赖国内法渊源来填补空白。 |
| Some members stated that the text of Article 38, paragraph 1 (c), together with its travaux préparatoires, as well as case law, showed that the provision did not limit general principles of law to those derived from national legal systems and supported the existence of general principles of law formed within the international legal system. | 一些委员指出，第三十八条第一款(寅)项的案文及其准备工作文件以及判例表明，该条款并未将一般法律原则局限于源自国家法律体系的原则，而是支持在国际法体系内形成的一般法律原则的存在。 |
| It was noted that the existence of the category of general principles of law formed within the international legal system was clear from the need to identify certain overarching features of that system and that those principles could provide appropriate solutions to situations that did not arise in domestic legal systems, which would otherwise be left unresolved. | 有人指出，从识别国际法体系的某些总体特征的需要来看，在国际法体系内形成的一般法律原则类别的存在是显而易见的，这些原则可以为国内法律体系中没有出现的情况提供适当的解决办法，否则，这些情况将得不到解决。 |
| 211. Other members reiterated doubt as to the inclusion of such principles in the scope of the topic or as to whether the Statute of the International Court of Justice supported their existence. | 211. 另一些委员对将这类原则纳入专题范围以及《国际法院规约》是否支持这些原则的存在再次表示怀疑。 |
| A view was expressed that the travaux préparatoires of the Statute of the Court reflected that only general principles of law developed in foro domestico, that is, domestic law, were included in Article 38, paragraph 1 (c), and none of the cases made a reference to Article 38, paragraph 1 (c), which were cited as evidence for creation of general principles at the international level. | 有一种意见认为，《法院规约》的准备工作文件所反映的是，第三十八条第一款(寅)项仅纳入了从国内法律体系，即从国内法中发展出的一般法律原则，在作为国际层面创建一般原则的证据引用的案例中，没有任何案例提及第三十八条第一款(寅)项。 |
| Some members stated that the general principles described under that category in the second report of the Special Rapporteur were in fact rules of conventional or customary law, and that general principles of law under Article 38, paragraph 1 (c), were exclusively those derived from national legal systems. | 一些委员指出，特别报告员第二次报告中在这一类别下描述的一般原则实际上是协定法或习惯法的规则，根据第三十八条第一款(寅)项，一般法律原则仅指源自国家法律体系的原则。 |
| It was noted that if a principle was incorporated in an international convention or customary international law, it would become a rule of international law under the respective source and not a general principle of law. | 有人指出，如果一项原则被纳入一项国际公约或习惯国际法，它将成为各自渊源下的国际法规则，而不是一般法律原则。 |
| The view was expressed that, given the subsidiary role of general principles of law, the application of principles of the second category was subject to two preconditions: (a) the appearance of the specific matter in international law that required regulation; | 有人认为，鉴于一般法律原则的辅助作用，第二类原则的适用有两项先决条件：(a) 特定事项出现在国际法中，需要加以规范； |
| and (b) that no general principle of law derived from national legal systems was identified. | (b) 没有识别出任何源于国家法律体系的一般法律原则。 |
| Clarification was sought as to the difference between general principles of law formed within the international legal system and customary international law. | 有人要求澄清在国际法体系内形成的一般法律原则和习惯国际法之间的区别。 |
| 212. As to the method for identifying general principles of law formed within the international legal system, various concerns were expressed about the three forms of recognition suggested by the Special Rapporteur in each of the three subparagraphs of draft conclusion 7. | 212. 关于识别在国际法体系内形成的一般法律原则的方法，委员们对特别报告员在结论草案7的三个分段中提出的三种承认的形式表示出不同关切。 |
| With regard to the first form, namely principles widely recognized in treaties and other international instruments, several members questioned whether a principle recognized in such form was truly a source of obligations independent from the rules that purportedly evidenced its recognition. | 关于第一种形式，即在条约和其他国际文书中得到广泛承认的原则，一些委员质疑说，通过这种形式得到承认的原则是否真正构成义务来源，独立于所称的、证明该原则得到承认的规则。 |
| In that connection, it was questioned whether a principle identified through that form could bind States that had not yet consented to be bound by the relevant conventional rules. | 在这方面，有人质疑，通过这种形式识别的一项原则是否能够约束尚未同意受相关公约规则约束的国家。 |
| It was also noted that a general principle of law formed within the international legal system could be reflected in treaties and other instruments and not recognized in them. | 还有人指出，在国际法体系内形成的一般法律原则可能体现于条约和其他文书中，但并没有在这些文书中得到承认。 |
| Some members questioned the Special Rapporteur’s approach of considering other instruments, such as General Assembly resolutions, as potential forms of recognition. | 一些委员对特别报告员考虑将联大决议等其他文书作为潜在的承认形式的做法提出疑问。 |
| Other members queried whether a principle widely recognized in treaties and other international instruments should have special characteristics or whether any principle could become a general principle of law in that manner. | 另有一些委员询问，在条约和其他国际文书中得到广泛承认的一项原则是否应该具有特殊特征，是否任何原则都可以通过这种方式成为一般法律原则。 |
| 213. As for the second form of recognition, namely principles identified by establishing that they underlay general rules of conventional or customary international law, the view was expressed that the terminology used was not sufficiently clear to provide a basis for identification of such principles, and that the deductive approach suggested by the Special Rapporteur appeared to be too subjective. | 213. 关于第二种承认的形式，即通过确定原则是条约所定国际法或习惯国际法的一般规则的基础而识别出的原则，有人认为，使用的术语不够清晰，无法为识别这些原则提供依据，特别报告员提出的演绎方法似乎过于主观。 |
| The view was also expressed that such form of recognition confused the process of identification of rules of customary international law with that of recognition of general principles of law. | 还有意见认为，这种承认的形式混淆了识别习惯国际法规则和承认一般法律原则的过程。 |
| The point was made that it was still not clear how identifying principles recognized by treaties or underlying them was an exercise distinct from giving meaning to the treaty rules in question as part of the process of their application or interpretation. | 有人指出，一项工作是识别条约承认的原则或作为条约基础的原则，另一项工作是对有关条约规则赋予意义，作为适用或解释条约进程的一部分，尚不清楚这两项工作有何不同。 |
| A concern was also expressed regarding how the persistent objector rule would apply in that context. | 还有人对一贯反对者规则如何适用于这种情况表示关切。 |
| 214. With regard to the third form of recognition, namely principles inherent in the basic features and fundamental requirements of the international legal system, it was emphasized that there would be difficulty in identifying the content of the “basic features and fundamental requirements of the international legal system” from which the principle would be deduced. | 214. 关于第三种承认的形式，即为国际法体系基本特征和基本要求所固有的原则，有人强调，很难确定“国际法体系基本特征和基本要求”的内容，进而推导出该原则。 |
| It was also noted that the terminology appeared to confuse the process of identification of peremptory norms of general international law (jus cogens) with that of recognition of general principles of law. | 还有人指出，该说法似乎混淆了一般国际法强制性规范(强行法)的识别过程和一般法律原则的承认过程。 |
| Other members supported that form of recognition, considering that there were general principles of law inherent in the international legal system. | 另一些委员支持这种形式的承认，认为国际法体系中本身存在一些一般法律原则。 |
| 215. The view was expressed that the second category of general principles of law must not be constructed too broadly and that it must be clearly distinguished from existing rules of customary international law, to avoid the risk that it would become a shortcut to identifying customary norms where general practice had not yet emerged. | 215. 有人认为，第二类一般法律原则不应过于宽泛，必须与现有的习惯国际法规则明确区分开来，以防止其成为识别尚未出现一般惯例的习惯规范的捷径。 |
| (d) Draft conclusions 8 and 9 | (d) 结论草案8和9 |
| 216. In relation to draft conclusion 8 (decisions of courts and tribunals), several members supported the notion that subsidiary means for the determination of rules of international law, as contained in Article 38, paragraph 1 (d), of the Statute of the International Court of Justice, applied to general principles of law. | 216. 关于结论草案8 (法院和法庭所作裁判)，一些委员支持《国际法院规约》第三十八条第一款(卯)项所载确定国际法规则的辅助资料适用于一般法律原则的概念。 |
| However, a question was raised as to whether that would be equating “principles” to “rules”. | 但是，有人质疑这是否会将“原则”等同于“规则”。 |
| While several members supported maintaining consistency with the previous work of the Commission and thus using text similar to that of the conclusions on identification of customary international law, others expressed doubt regarding the formulation employed in draft conclusion 8. | 虽然一些委员支持与委员会以前的工作保持一致，因此应使用与关于识别习惯国际法的结论类似的案文，但另一些委员对结论草案8采用的措辞表示怀疑。 |
| It was noted that, in the case of general principles of law, domestic judicial decisions were not subsidiary means, but direct means for the determination of the principles in question. | 有人指出，就一般法律原则而言，国内司法裁判不是辅助资料，而是直接用于确定有关原则的资料。 |
| 217. Regarding draft conclusion 9 (teachings), it was noted that teachings of scholars had often been relied upon to prove the widespread recognition of a principle in national legal systems, rather than the existence of general principles of law. | 217. 关于结论草案9 (学说)，有人指出，学者的学说常常被作为依据，证明一项原则得到国家法律体系的广泛承认，而非用于证明一般法律原则的存在。 |
| 218. Finally, it was suggested that resolutions of the United Nations or international expert bodies could also serve as subsidiary means for the determination of general principles of law. | 218. 最后，有人建议，联合国或国际专家机构的决议也可以作为确定一般法律原则的辅助资料。 |
| (e) Future programme of work | (e) 未来的工作方案 |
| 219. Members generally supported the proposal by the Special Rapporteur to address the functions of general principles of law and their relationship with other sources of law in his third report. | 219. 委员们总体支持特别报告员关于在其第三次报告中探讨一般法律原则的作用及其与其他法律渊源的关系的提议。 |
| However, the view was expressed that it would be difficult for the Commission to address the matter if it did not consider the processes through which general principles of law emerged, changed or ceased to exist. | 但是，有意见认为，如果委员会不考虑一般法律原则产生、变化或不复存在的过程，则很难处理上述问题。 |
| 220. Several suggestions were made for the future work of the Special Rapporteur on the topic, including the relationship of general principles of law with: each other; | 220. 委员们就特别报告员今后关于这一专题的工作提出了一些建议，包括一般法律原则之间的关系； |
| the fundamental principles of international law enshrined in the Charter of the United Nations; | 一般法律原则与《联合国宪章》所载国际法基本原则之间的关系； |
| soft international law; | 与软性国际法之间的关系； |
| and peremptory norms of general international law (jus cogens). | 以及与一般国际法的强制性规范(强行法)之间的关系。 |
| The view was also expressed that the issue of general principles of law of a regional character, and whether the concept of universality of general principles would be inconsistent with such principles, should also be addressed. | 还有人指出，具有区域性质的一般法律原则问题，以及一般原则的普遍性概念是否与这些原则不一致的问题，也应予以讨论。 |
| 221. Some members suggested that there might be a need to introduce a section in the draft conclusions for definition of terms used therein. | 221. 一些委员认为，可能有必要在结论草案中增加一节，为结论草案中使用的术语提供定义。 |
| There was also support for a draft conclusion defining or describing the essential elements of general principles of law as a source of international law. | 还有委员表示支持结论草案界定或描述作为国际法渊源的一般法律原则的基本要素。 |
| 3. Concluding remarks of the Special Rapporteur | 3. 特别报告员的总结 |
| 222. In his summary of the debate, the Special Rapporteur expressed his gratitude to the members of the Commission and welcomed the interest that the topic had received. | 222. 特别报告员对辩论进行总结，他向委员会委员表示了感谢，并对该专题引起的关注表示欢迎。 |
| 223. The Special Rapporteur reiterated the agreement among members of the Commission and among States at the Sixth Committee of the General Assembly that the starting point for the work of the Commission on the topic should be Article 38, paragraph 1 (c), of the Statute of the International Court of Justice, in light of State practice, jurisprudence and relevant teachings. | 223. 特别报告员重申，委员会委员和联大第六委员会的各国一致认为，委员会关于这一专题的工作应以《国际法院规约》第三十八条第一款(寅)项作为起点，同时结合国家实践、判例和相关学说。 |
| In his view, that limited the work of the Commission to general principles of law as a source of international law, as referred to in the aforementioned article. | 他认为，这意味着将委员会的工作限定于该条款提到的作为国际法渊源的一般法律原则。 |
| 224. With regard to the terminology used in Spanish and French to refer to general principles of law, the Special Rapporteur highlighted that the Spanish formulation “principios generales del derecho” and the French formulation “principes généraux du droit”, had been used by the Commission as recently as 2018 in its conclusions on identification of customary international law. | 224. 关于提及一般法律原则时使用的西班牙文和法文术语，特别报告员强调，委员会最近在2018年关于习惯国际法的识别的结论中使用了“principios generales del derecho”这一西班牙文表述和“principes généraux du droit”这一法文表述。 |
| The Special Rapporteur also recalled that certain treaties, such as the Fourth Geneva Convention relative to the Protection of Civilian Persons in Time of War, the Rome Statute of the International Criminal Court and statutes of international criminal courts and tribunal, used “principios generales del derecho” and “principes généraux du droit” in Spanish and French, respectively. | 特别报告员还回顾说，某些条约，如《关于战时保护平民的日内瓦第四公约》，《国际刑事法院罗马规约》 和一些国际刑事法院和法庭的规约分别使用了“principios generales del derecho”的西班牙文表述和“principes généraux du droit”的法文表述。 |
| 225. The Special Rapporteur noted that a majority of members were in favour of replacing the expression “civilized nations”, as contained in Article 38, paragraph 1 (c), of the Statute of the International Court of Justice, with “community of nations” as contained in the International Covenant on Civil and Political Rights. | 225. 特别报告员注意到，大多数委员赞成将《国际法院规约》第三十八条第一款(寅)项中使用的“文明各国”一词替换为《公民及政治权利国际公约》所载“各国”一词。 |
| He also noted, however, concerns expressed by some members regarding the varied terminology used in the authentic text in different languages of that Covenant. | 然而，他也注意到，一些委员对《公约》不同语文的作准文本使用了不同术语表示关切。 |
| As to comments made by members highlighting the importance of the legal systems of indigenous, autochthonous or first peoples in the context of the methodology for the identification of general principles of law, the Special Rapporteur suggested addressing those matters in the commentaries. | 关于委员们强调土著、原住民或第一民族法律体系对一般法律原则的识别方法非常重要的评论，特别报告员建议在评注中处理这些事项。 |
| 226. Regarding comments by some members to the effect that once a general principle of law became part of customary international law, it could no longer be considered a general principle of law, the Special Rapporteur clarified that practice confirmed that a general principle of law and norms derived from other sources of international law could exist in parallel. | 226. 关于一些委员的评论，即一旦一项一般法律原则成为习惯国际法的一部分，它就不再被视为一般法律原则，特别报告员澄清说，实践证实，一项一般法律原则和源自其他国际法来源的规范有可能并列存在。 |
| 227. The Special Rapporteur also indicated that a definition of general principles of law could be useful to clarify the scope of the Commission’s work on the topic and suggested that the Commission could consider such a definition after addressing the functions of general principles of law. | 227. 特别报告员还表示，对一般法律原则赋予定义，可能有助于澄清委员会关于这一专题的工作范围，他建议委员会在讨论一般法律原则的作用后讨论这一定义。 |
| 228. Regarding the identification of general principles of law derived from national legal systems, as reflected in draft conclusion 4, he noted that there was consensus regarding an analysis in two steps: the determination that a principle was common to the principal legal systems of the world, on the one hand; | 228. 关于结论草案4中所反映的源自国家法律体系的一般法律原则的识别，他注意到，大家对于两步骤分析达成了共识：一方面是确定一项原则为世界主要法律体系的共有原则； |
| and the ascertainment of the transposition of said principle to the international legal system, on the other. | 另一方面是查明上述原则被移植到国际法律体系。 |
| 229. The Special Rapporteur observed that several members agreed with the use of the term “principal legal systems of the world” to describe the scope of the comparative analysis that must be carried out in order to identify general principles of law under draft conclusion 5. | 229. 特别报告员注意到，一些委员同意使用“世界主要法律体系”这一表述来描述必须进行的比较分析的范围，以查明结论草案5之下的一般法律原则。 |
| He agreed with the suggestion made in plenary to include in paragraph 2 of draft conclusion 5 the term “sufficiently”, as that term would allow a level of flexibility, while reflecting the fact that the analysis had to be “sufficiently wide and representative”. | 他同意有委员在全体会议上提出的建议，即在结论草案5第2段中加入“足够”一词，因为这样说可提供一定程度的灵活性，同时体现出分析必须“足够广泛和有代表性”的事实。 |
| 230. Regarding the differing views on the role of international organizations in determining the existence of a general principle of law, the Special Rapporteur stated that the relevant practice had always favoured the analysis of the legal systems of States to identify a general principle of law. | 230. 关于在确定一项一般法律原则的存在方面国际组织的作用的不同看法，特别报告员指出，有关的实践一向倾向于分析各个国家的法律体系，以识别一项一般法律原则。 |
| He noted that the rules issued by an international organization could serve as complementary and not alternative means. | 他指出，国际组织发布的规则可以作为补充而非替代资料。 |
| 231. With regard to the second step of the analysis for the identification of general principles of law derived from national legal systems, namely, transposition into the international legal system, the Special Rapporteur addressed the drafting suggestion made during the debate to replace “transposition” with “transposability”. | 231. 关于识别源自国家法律体系的一般法律原则的第二步分析，即移植到国际法体系的问题，特别报告员讨论了辩论期间提出的用“可移植”取代“被移植”的起草建议。 |
| He stated that it was not a mere terminological issue, but a substantive one. | 他指出，这不仅仅是一个术语问题，而是一个实质性问题。 |
| The Special Rapporteur explained that “transposability” would not play a role in the process of identification, rather it would describe the criteria for determining whether a recognized general principle of law could be applied in a specific case. | 特别报告员解释说，“可移植”不会对识别过程发挥作用，而是描述确定一项公认的一般法律原则是否可适用于具体案件的相关标准。 |
| The Special Rapporteur used the term “transposition” in the report to mean forming part of the process of determination of the content of general principles of law in the international legal system. | 特别报告员在报告中使用了“被移植”一词，是为了表明，在确定国际法体系中一般法律原则内容的过程中，它是一个组成部分。 |
| In certain cases, the principles found in national legal systems could be applied in the international legal system as they were identified after the comparative analysis. | 在某些情况下，经过比较分析的识别，国家法律体系当中的原则可能适用于国际法体系。 |
| In other cases, some elements of the principle identified at the domestic level were not transposed to the international legal system. | 在另一些情况下，在国内层面识别的原则的一些要素并未移植到国际法体系中。 |
| 232. The Special Rapporteur recalled the two requirements for the transposition of general principles of law set forth in draft conclusion 6. | 232. 特别报告员回顾了结论草案6中提出的一般法律原则的移植的两项要求。 |
| Pursuant to the first requirement, principles in foro domestico should be compatible with the fundamental principles of international law, which he understood as the principles enshrined in the Charter of the United Nations, developed by the Declaration on Principles of International Law concerning Friendly Relations and Co-operation among States in accordance with the Charter of the United Nations. | 根据第一项要求，国内法律体系的原则应符合国际法的基本原则，他将这些原则理解为《联合国宪章》所载原则，由《关于各国依联合国宪章建立友好关系及合作之国际法原则之宣言》 发展而来。 |
| In his view, the identification of general principles of law should not be subject to the authorization of any conventional or customary norm of international law, otherwise it would establish a hierarchy of sources. | 他认为，一般法律原则的识别不应受制于任何协定国际法或习惯国际法规范的授权，否则会在不同渊源之间建立层级关系。 |
| He added that principles on the conflict of norms, such as lex specialis would apply. | 他补充说，关于规范冲突的原则，如特别法可适用。 |
| At the same time, the Special Rapporteur acknowledged the different views that were expressed on the matter, which could be further discussed in the Drafting Committee. | 与此同时，特别报告员认识到就这个问题表达的不同意见，这些意见可以在起草委员会中进一步讨论。 |
| 233. Regarding the second requirement for transposition, namely, the existence of adequate conditions for the application of the principle in foro domestico in the international legal system, the Special Rapporteur agreed with members that draft conclusion 6, subparagraph (b), could be simplified to clarify that its purpose was to ensure that a principle could be applied without distortion or misuse in the international legal system. | 233. 关于移植的第二项要求，即在国际法体系中适用国内法律原则存在充分的条件，特别报告员同意委员们的意见，即结论草案6的(b)分段可以简化，以澄清其目的是为了确保一项原则可以在国际法体系中适用，而不被歪曲或误用。 |
| 234. With respect to the range of different views by members on general principles of law formed within the international legal system, the Special Rapporteur noted that it was part of the work of the Commission on the topic to examine in detail their possible existence. | 234. 关于委员们对国际法体系内形成的一般法律原则的各种不同看法，特别报告员指出，对可能存在这类原则进行详细审查是委员会关于这一专题的工作之一。 |
| In his view, doing so would be an important contribution to international law. | 他认为，该工作将是对国际法的一项重要贡献。 |
| With respect to the various issues raised by members on the subparagraphs of draft conclusion 7, the Special Rapporteur indicated that they could be discussed in the Drafting Committee. | 关于委员们就结论草案7的各分段提出的各种问题，特别报告员表示，可以在起草委员会中讨论这些问题。 |
| 235. The Special Rapporteur stated that he was aware that the category of general principles of law formed within the international legal system remained controversial. | 235. 特别报告员表示，他知道在国际法体系内形成的一般法律原则类别这一问题仍有争议。 |
| He also stated that he had taken note of the suggestion, made by several members, to further examine the issue in order to achieve consensus in the Commission and indicated his willingness to work with members on that issue. | 他还表示已经注意到一些委员提出的建议，即应进一步研究此问题，以便在委员会中达成共识，他表示愿意就这一问题与委员们合作。 |
| 236. As for the subsidiary means for the determination of general principles of law, the Special Rapporteur observed that members were in general agreement with the approach proposed in his second report that subsidiary means for the determination of rules of international law, as contained in Article 38, paragraph 1 (d), of the Statute of the International Court of Justice, applied to general principles of law. | 236. 关于确定一般法律原则的辅助资料，特别报告员注意到，委员们基本同意他在第二次报告中提出的办法，即《国际法院规约》第三十八条第一款(卯)项所载的确定国际法规则的辅助资料适用于一般法律原则。 |
| He reiterated that recognizing the role of international courts and tribunals in the formation of general principles of law, beyond the scope of Article 38, paragraph 1 (d), of the Statute, was a question that needed to be handled with extreme caution. | 他重申，在《规约》第三十八条第一款(卯)项的范围之外承认国际法院和法庭在形成一般法律原则方面的作用，是一个需要极其谨慎处理的问题。 |
| 237. With regard to the future programme of work, the Special Rapporteur indicated his intention to address in his third report the question of the functions of general principles of law and their relationship with norms from other sources of international law. | 237. 关于未来的工作方案，特别报告员表示，他打算在第三次报告中讨论一般法律原则的作用及其与其他国际法渊源产生的规范的关系问题。 |
| He noted, however, that the results of the analysis contained in the upcoming report could have an impact on the methodology for identifying general principles of law. | 然而，他指出，下一次报告所载的分析结果可能会对识别一般法律原则的方法产生影响。 |
| He also indicated that he would take into account the views of members on his second report and address the various issues raised during the debate. | 他还表示，他将考虑委员们对他的第二次报告的意见，并处理辩论中提出的各种问题。 |
| C. Text of the draft conclusions on general principles of law provisionally adopted by the Commission at its seventy-second session | C. 委员会第七十二届会议暂时通过的关于一般法律原则的结论草案案文 |
| 1. Text of the draft conclusions | 1. 结论草案案文 |
| 238. The text of the draft conclusions provisionally adopted by the Commission at its seventy-second session is reproduced below. | 238. 委员会第七十二届会议暂时通过的结论草案案文载录如下。 |
| Conclusion 1 Scope | 结论1 范围 |
| The present draft conclusions concern general principles of law as a source of international law. | 本结论草案涉及作为国际法渊源的一般法律原则。 |
| Conclusion 2 Recognition | 结论2 承认 |
| For a general principle of law to exist, it must be recognized by the community of nations. | 一般法律原则须为各国承认才会存在。 |
| Conclusion 4 Identification of general principles of law derived from national legal systems | 结论4 识别源自国家法律体系的一般法律原则 |
| To determine the existence and content of a general principle of law derived from national legal systems, it is necessary to ascertain: | 为确定源自国家法律体系的一般法律原则的存在和内容，有必要查明： |
| (a) the existence of a principle common to the various legal systems of the world; | (a) 存在一项世界各法律体系共有的原则； |
| and (b) its transposition to the international legal system. | (b) 其被移植到国际法律体系内。 |
| 2. Text of the draft conclusions and commentaries thereto provisionally adopted by the Commission at its seventy-second session | 2. 委员会第七十二届会议暂时通过的结论草案案文及其评注 |
| 239. The text of the draft conclusions, together with commentaries, provisionally adopted by the Commission at its seventy-second session, is reproduced below. | 239. 委员会第七十二届会议暂时通过的结论草案案文及其评注载录如下。 |
| Conclusion 1 Scope | 结论1 范围 |
| The present draft conclusions concern general principles of law as a source of international law. | 本结论草案涉及作为国际法渊源的一般法律原则。 |
| Commentary | 评注 |
| (1) Draft conclusion 1 is introductory in nature. It provides that the draft conclusions concern general principles of law as a source of international law. | (1) 结论草案1是介绍性的，规定本结论草案涉及作为国际法渊源的一般法律原则。 |
| The term “general principles of law” is used throughout the draft conclusions to refer to “the general principles of law recognized by civilized nations” listed in Article 38, paragraph 1 (c), of the Statute of International Court of Justice, analysed in the light of the practice of States, the jurisprudence of courts and tribunals, and teachings. | 本结论草案通篇使用“一般法律原则”这一表述，指的是《国际法院规约》第三十八条第一款(寅)项所列的“文明各国所承认的一般法律原则”，并结合国家实践、国际性法院和法庭的判例以及学说进行了分析。 |
| (2) Draft conclusion 1 reaffirms that general principles of law constitute one of the sources of international law. | (2) 结论草案1重申，一般法律原则是国际法的渊源之一。 |
| The legal nature of general principles of law as such is confirmed by their inclusion in Article 38, paragraph 1 (c), of the Statute of the International Court of Justice, together with treaties and customary international law, as part of the “international law” that shall be applied by the Court to decide the disputes submitted to it. | 一般法律原则与条约和习惯国际法一起被列入《国际法院规约》第三十八条第一款(寅)项，作为法院在裁判向其提交的争端时应适用的“国际法”的一部分，从而确认了一般法律原则的法律性质。 |
| The predecessor of that provision, Article 38, paragraph 3, of the Statute of the Permanent Court of International Justice, was the result of lengthy discussions in 1920 within the League of Nations, and in particular the Advisory Committee of Jurists established by the Council of the League, which sought to codify the practice that existed prior to the adoption of the Statute. | 该项规定的前身是《常设国际法院规约》第三十八条第三款，是1920年在国际联盟内部，特别是国际联盟理事会设立的法学家咨询委员会进行长时间讨论的结果，该委员会试图对《规约》通过之前存在的惯例进行编纂。 |
| Since then, general principles of law as a source of international law have been referred to in State practice, including in bilateral and multilateral treaties, as well as in the decisions of different courts and tribunals. | 自此之后，作为国际法渊源的一般法律原则在包括双边和多边条约在内的国家实践中以及在不同的法院和法庭的裁决中被提及。 |
| (3) The term “source of international law” refers to the legal process and form through which a general principle of law comes into existence. | (3) “国际法渊源”一词是指一般法律原则形成的法律过程和形式。 |
| The draft conclusions aim to clarify the scope of general principles of law, the method for their identification, and their functions and relationship with other sources of international law. | 结论草案旨在澄清一般法律原则的范围、识别方法、作用及其与其他国际法渊源的关系。 |
| Conclusion 2 Recognition | 结论2 承认 |
| For a general principle of law to exist, it must be recognized by the community of nations. | 一般法律原则须为各国承认才会存在。 |
| Commentary | 评注 |
| (1) Draft conclusion 2 reaffirms a basic element of Article 38, paragraph 1 (c), of the Statute of the International Court of Justice, namely, that for a general principle of law to exist, it must be “recognized” by the community of nations. | (1) 结论草案2重申了《国际法院规约》第三十八条第一款(寅)项的一个基本要素，即一项一般法律原则要存在，就必须得到各国的“承认”。 |
| (2) Recognition features widely in the practice of States, the jurisprudence of courts and tribunals and in teachings as the essential condition for the emergence of a general principle of law. | (2) 承认作为形成一般法律原则的基本条件，广泛存在于国家实践、国际性法院和法庭的判例以及学说中。 |
| This means that, to determine whether a general principle of law exists at a given point in time, it is necessary to examine all the available evidence showing that its recognition has taken place. | 这意味着，要确定一项一般法律原则在某一特定时间点是否存在，有必要审查所有可获得的证据，证明该原则已得到承认。 |
| The specific criteria for this determination are objective and are developed in subsequent draft conclusions. | 用来进行这一确定工作的具体标准是客观的，将在随后的结论草案中制定。 |
| (3) Draft conclusion 2 employs the term “community of nations” as a substitute for the term “civilized nations” found in Article 38, paragraph 1 (c), of the Statute of the International Court of Justice, because the latter term is anachronistic. | (3) 结论草案2用“community of nations”(各国)一词取代《国际法院规约》第三十八条第一款(寅)项中的“civilized nations”(文明各国)一词，因为后者不合时宜。 |
| The term “community of nations” is found in article 15, paragraph 2, of the International Covenant on Civil and Political Rights, a treaty to which 173 States are parties and which is thus widely accepted. | “community of nations”(各国)一词见于《公民及政治权利国际公约》第十五条第二款，该条约有173个缔约国，因此得到广泛接受。 |
| The term used in the authentic languages of the Covenant is replicated in the different language versions of draft conclusion 2. | 结论草案2的不同语文版本复制了该公约各作准文本中使用的表述。 |
| For example, “l’ensemble des nations” in French and “communidad internacional” in Spanish. | 例如，法文本使用了“l’ensemble des nations”，西班牙文本使用了“communidad internacional”的表述。 |
| By employing this formulation, the draft conclusion aims to stress that all nations participate equally, without any kind of distinction, in the formation of general principles of law, in accordance with the principle of sovereign equality set out in Article 2, paragraph 1, of the Charter of the United Nations. | 本条结论草案采用这一措辞，目的是强调所有国家根据《联合国宪章》第二条第一款规定的主权平等原则，平等地参加一般法律原则的形成过程，没有任何区别。 |
| (4) The use of the term “community of nations” is not intended to modify the scope or content of Article 38, paragraph 1 (c), of the Statute of the International Court of Justice. | (4) 使用“community of nations”(各国)一词并不是为了修改《国际法院规约》第三十八条第一款(寅)项的范围或内容。 |
| In particular, the term does not seek to suggest that there is a need for a unified or collective recognition of a general principle of law, nor does it suggest that general principles of law can only arise within the international legal system. | 具体而言，这个词并不试图表明一项一般法律原则需要得到统一或集体承认，也不表明一般法律原则只能在国际法律体系内产生。 |
| Furthermore, the term “community of nations” should not be confused with the term “international community of States as a whole” found in article 53 of the Vienna Convention on the Law of Treaties, relating to peremptory norms of general international law (jus cogens). | 此外，“community of nations”(各国)一词不应与《维也纳条约法公约》 关于一般国际法强制性规范(强行法)的第五十三条中的“国际社会全体”相混淆。 |
| (5) The use of the term “community of nations” does not preclude that, in certain circumstances, international organizations may also contribute to the formation of general principles of law. | (5) 使用“community of nations”(各国)一词并不排除在某些情况下，国际组织也可能促进一般法律原则的形成。 |
| Conclusion 4 Identification of general principles of law derived from national legal systems | 结论4 识别源自国家法律体系的一般法律原则 |
| To determine the existence and content of a general principle of law derived from national legal systems, it is necessary to ascertain: | 为确定源自国家法律体系的一般法律原则的存在和内容，有必要查明： |
| (a) the existence of a principle common to the various legal systems of the world; | (a) 存在一项世界各法律体系共有的原则； |
| and (b) its transposition to the international legal system. | (b) 其被移植到国际法律体系内。 |
| Commentary | 评注 |
| (1) Draft conclusion 4 addresses the requirements for the identification of general principles of law derived from national legal systems. | (1) 结论草案4涉及识别源自国家法律体系的一般法律原则的要求。 |
| It provides that, to determine the existence and content of a general principle of law, it is necessary to ascertain: (a) the existence of a principle common to the various legal systems of the world; | 其中规定，为确定一项一般法律原则的存在和内容，有必要查明：(a) 存在一项世界各法律体系共有的原则； |
| and (b) the transposition of that principle to the international legal system. | 以及(b) 该原则被移植到国际法律体系内。 |
| (2) This two-step analysis is widely accepted in practice and the literature and is aimed at demonstrating that a general principle of law has been “recognized” in the sense of Article 38, paragraph 1 (c), of the Statute of the International Court of Justice. | (2) 这一两步骤分析在实践和文献中被广泛接受，目的是表明一项一般法律原则得到《国际法院规约》第三十八条第一款(寅)项意义上的“承认”。 |
| It is an objective method to be applied by all those called upon to determine whether a given general principle of law exists at a specific point in time and what the content of that general principle of law is. | 这是一种客观的方法，供所有负责这项工作者用于确定某一般法律原则在某一具体时间点是否存在，以及该一般法律原则的内容是什么。 |
| (3) Subparagraph (a) addresses the first requirement for identification, that is, the ascertainment of the existence of a principle common to the various legal systems of the world. | (3) (a)分段提出了识别的第一项要求，即查明是否存在一项世界各法律体系共有的原则。 |
| This exercise, which is essentially inductive, is necessary to show that a legal principle has been generally recognized by the community of nations. | 这项工作本质上是归纳性的，对说明一项法律原则已得到各国的普遍承认是有必要的。 |
| The use of the term “the various legal systems of the world” is aimed at highlighting the requirement that a principle must be found in legal systems of the world generally. | 使用“世界各法律体系”一语的目的是强调一项要求：某一原则必须存在于世界各法律体系中。 |
| It is an inclusive and broad term, covering the variety and diversity of national legal systems of the world. | 这个说法兼容并蓄，涵盖了世界上各种各样的国家法律体系。 |
| This requirement is further developed in draft conclusion 5. | 这一要求在结论草案5中得到进一步发展。 |
| (4) Subparagraph (b) addresses the second requirement for identification, that is, the ascertainment of the transposition of the principle common to the various legal systems of the world to the international legal system. | (4) (b)分段提出了识别的第二项要求，即查明为世界各法律体系共有的原则被移植到国际法律体系中的情况。 |
| This requirement, which is further elaborated on in draft conclusion […], is necessary to show that a principle is not only recognized by the community of nations in national legal systems, but that it is also recognized as applicable within the international legal system. | 这一要求在结论草案[…]中加以进一步阐述，对表明一项原则不仅在各国国家法律体系中得到承认，而且也被承认为适用于国际法律体系是必要的。 |
| (5) Subparagraph (b) employs the term “transposition”, understood as the process of determining whether, to what extent and how a principle common to the various legal systems can be applied in the international legal system. | (5) (b)分段使用“被移植”一词，可理解为一个过程，通过此过程确定各法律体系的一项共有原则是否可以在国际法律体系中适用、在何种程度上适用以及如何适用。 |
| The use of this term is not intended to suggest that a formal or express act of transposition is required. | 使用该词并不意味着需要正式的或明示的移植行为。 |
| (6) The term “transposition” was preferred to “transposability”, which is sometimes used in this context. | (6) “被移植”比“可移植”(有时用于此上下文)更可取。 |
| Transposition necessarily encompasses transposability; | “被移植”必然包含“可移植”； |
| the latter term refers to whether or not a principle identified through the process indicated in subparagraph (a) can be applied in the international legal system, but does not cover the whole process of ascertainment of transposition. | 后者是指通过(a)分段所述程序识别的一项原则是否可在国际法律体系中适用，但并不涵盖查明移植情况的整个过程。 |
| (7) Owing to the differences between the international legal system and national legal systems, a principle or some elements of a principle identified through the process indicated in subparagraph (a) may not be suitable to be applied in the international legal system. | (7) 由于国际法律体系和国家法律体系之间存在差异，通过(a)分段所示程序识别的一项原则或一项原则的某些要素可能不适合在国际法律体系中适用。 |
| Therefore, “transposition” encompasses the possibility that the content of the general principle of law identified through this two-step analysis may not be identical to the principle found in the various national legal systems. | 因此，“被移植”包含一种可能性，即通过这个两步骤分析识别的一般法律原则的内容可能与各国法律体系中的原则并不完全相同。 |
| Chapter IX Sea-level rise in relation to international law | 第九章 与国际法有关的海平面上升 |
| A. Introduction | A. 导言 |
| 240. At its seventieth session (2018), the Commission decided to include the topic “Sea-level rise in relation to international law” in its long-term programme of work. | 240. 委员会第七十届会议(2018年)决定将“与国际法有关的海平面上升”专题列入长期工作方案。 |
| 241. In its resolution 73/265 of 22 December 2018, the General Assembly subsequently noted the inclusion of the topic in the long-term programme of work of the Commission, and in that regard called upon the Commission to take into consideration the comments, concerns and observations expressed by Governments during the debate in the Sixth Committee. | 241. 联大随后在2018年12月22日第73/265号决议中注意到委员会将这一专题列入其长期工作方案，并在这方面吁请委员会考虑各国政府在第六委员会辩论期间发表的评论以及表达的关切和意见。 |
| 242. At its seventy-first session (2019), the Commission decided to include the topic in its programme of work. | 242. 委员会第七十一届会议(2019年)决定将这一专题列入其工作方案。 |
| The Commission also decided to establish an open-ended Study Group on the topic, to be co-chaired, on a rotating basis, by Mr. Bogdan Aurescu, Mr. Yacouba Cissé, Ms. Patrícia Galvão Teles, Ms. Nilüfer Oral and Mr. Juan José Ruda Santolaria. | 委员会还决定在该专题下设立一个不限成员名额的研究组，由波格丹·奥雷斯库先生、雅库巴·西塞先生、帕特里夏·加尔旺·特莱斯女士、尼吕费尔·奥拉尔女士和胡安·何塞·鲁达·桑托拉里亚先生轮流担任共同主席。 |
| The Commission further took note of the joint oral report of the Co-Chairs of the Study Group. | 委员会还注意到研究组共同主席的联合口头报告。 |
| 243. Also during that session, the Study Group, co-chaired by Ms. Patrícia Galvão Teles and Ms. Nilüfer Oral, held a meeting on 6 June 2019. | 243. 也是在第七十一届会议期间，研究组由帕特里夏·加尔旺·特莱斯女士和尼吕费尔·奥拉尔女士担任共同主席，于2019年6月6日举行了会议。 |
| The Study Group considered an informal paper on the organization of its work containing a road map for 2019 to 2021. | 研究组审议了一份关于其工作安排的非正式文件，其中载有2019至2021年的路线图。 |
| The discussion of the Study Group focused on its composition, its proposed calendar and programme of work, and its methods of work. | 研究组重点讨论了其成员组成、拟议会议日历和工作方案，以及工作方法。 |
| 244. With regard to the programme of work, and subject to adjustment in the light of the complexity of the issues to be considered, the Study Group was expected to work on the three subtopics identified in the syllabus prepared in 2018, namely: issues related to the law of the sea, under the co-chairpersonship of Mr. Bogdan Aurescu and Ms. Nilüfer Oral; | 244. 关于工作方案，研究组打算就2018年编写的专题提纲中确定的三个分专题开展工作：在波格丹·奥雷斯库先生和尼吕费尔·奥拉尔女士的共同主持下，研究与海洋法有关的问题； |
| and issues related to statehood, as well as issues related to the protection of persons affected by sea-level rise, under the co-chairpersonship of Ms. Patrícia Galvão Teles and Mr. Juan José Ruda Santolaria. | 在帕特里夏·加尔旺·特莱斯女士和胡安·何塞·鲁达·桑托拉里亚先生的共同主持下，研究与国家地位有关的问题，以及与受海平面上升影响人员的保护有关的问题，工作方案可根据所研究的问题的复杂程度进行调整。 |
| 245. As to the methods of work, it was anticipated that approximately five meetings of the Study Group would take place at each session. | 245. 关于工作方法，预计在每届会议期间研究组将举行大约五次会议。 |
| It was agreed that, prior to each session, the Co-Chairs would prepare an issues paper. | 经商定，共同主席将在每届会议之前编写一份问题文件。 |
| The issues papers would be edited, translated and circulated as official documents to serve as the basis for the discussion and for the annual contribution of the members of the Study Group. | 问题文件将作为正式文件进行编辑、翻译和分发，作为研究组讨论和其成员作出年度贡献的基础。 |
| They would also serve as the basis for subsequent reports of the Study Group on each subtopic. | 研究组此后关于每一个分专题的报告也将以该文件为基础。 |
| Members of the Study Group would then be invited to put forward contribution papers that could comment upon, or complement, the issues paper prepared by the Co-Chairs (by addressing, for example, regional practice, case law or any other aspects of the subtopic). | 而后，将邀请研究组成员提交文章，就共同主席编写的问题文件发表评论或进行补充(例如阐述区域实践、判例或分专题的任何其他方面)。 |
| Recommendations would be made at a later stage regarding the format of the outcome of the work of the Study Group. | 将在稍后阶段就研究组工作成果的形式提出建议。 |
| 246. It was also agreed that, at the end of each session of the Commission, the work of the Study Group would be reflected in a report, taking due account of the issues paper prepared by the Co-Chairs and the related contribution papers by members, while summarizing the discussion of the Study Group. | 246. 研究组还商定，将在委员会每届会议结束时编写一份反映研究组工作的报告，并适当考虑共同主席编写的问题文件和成员的相关文章，同时概述研究组的讨论情况。 |
| That report would be agreed upon in the Study Group and subsequently presented by the Co-Chairs to the Commission, so that a summary could be included in the annual report of the Commission. | 该报告将在研究组中商定，随后由共同主席提交给委员会，以便在委员会的年度报告中列入一份摘要。 |
| B. Consideration of the topic at the present session | B. 本届会议审议此专题的情况 |
| 247. At the present session, the Commission reconstituted the Study Group on sea-level rise in relation to international law, chaired by the two Co-Chairs on issues related to the law of the sea, namely Mr. Bogdan Aurescu and Ms. Nilüfer Oral. | 247. 委员会在本届会议上重组了与国际法有关的海平面上升专题研究组，由处理与海洋法有关问题的两位共同主席博格丹·奥雷斯库先生和尼吕费尔·奥拉尔女士担任主席。 |
| 248. In accordance with the agreed programme of work and methods of work, the Study Group had before it the first issues paper on the topic (A/CN.4/740 and Corr.1), which was issued together with a preliminary bibliography (A/CN.4/740/Add.1), prepared by Mr. Aurescu and Ms. Oral. | 248. 根据商定的工作方案和工作方法，研究组收到了关于这一专题的第一份问题文件(A/CN.4/740和Corr.1)，与奥雷斯库先生和奥拉尔女士编写的初步参考书目(A/CN.4/740/Add.1)一起印发。 |
| 249. Owing to the outbreak of the COVID-19 pandemic, and the ensuing postponement of the seventy-second session of the Commission, the Co-Chairs invited the Commission’s members to transmit written comments on the first issues paper directly to them. | 249. 由于爆发2019冠状病毒病疫情，及委员会第七十二届会议因此推迟，所以共同主席请委员会委员们就第一份问题文件直接向他们发送书面评论。 |
| After the completion of the first issues paper, Antigua and Barbuda and the Russian Federation submitted information, which was posted on the Commission’s website together with the information previously received from Governments in response to the request by the Commission in chapter III of its 2019 annual report. | 在第一份问题文件完成后，安提瓜和巴布达和俄罗斯联邦提交了资料，这些资料与一些国家政府 先前按照委员会2019年年度报告第三章的要求 提交的资料一道发布在委员会的网站上。 |
| Comments from the Pacific Islands Forum relating to the first issues paper were circulated to all members of the Study Group on 31 May 2021. | 太平洋岛屿论坛对第一份问题文件的评论于2021年5月31日分发给了研究组所有成员。 |
| 250. The Study Group held eight meetings, from 1 to 4 June and on 6, 7, 8 and 19 July 2021. | 250. 研究组于2021年6月1日至4日和7月6日、7日、8日和19日举行了八次会议。 |
| 251. At its 3550th meeting, on 27 July 2021, the Commission took note of the joint oral report of the Co-Chairs of the Study Group. | 251. 在2021年7月27日第3550次会议上，委员会注意到研究组共同主席的联合口头报告。 |
| Discussions held in the Study Group | 研究组举行的讨论 |
| 252. At the first meeting of the Study Group, held on 1 June 2021, the Co-Chair (Ms. Oral) indicated that the purpose of the initial four meetings to be held during the first part of the session was to allow for a substantive exchange, in the manner of a plenary, on the first issues paper and on any relevant matters that members might wish to address. | 252. 在2021年6月1日举行的研究组第一次会议上，共同主席(奥拉尔女士)表示，第一期会议期间举行的头四次会议的目的是以全体会议的形式，就第一份问题文件和研究组成员可能希望处理的任何相关事项进行实质性交流。 |
| A summary of that exchange, in the form of an interim report, would then serve as a basis for discussion at the meetings of the Study Group scheduled for the second part of the session. | 将以临时报告的形式对交流情况进行总结，将其作为研究组定于在第二期会议期间举行讨论的基础。 |
| Following those discussions during the second part of the session, that report would be consolidated, agreed upon in the Study Group, and subsequently presented by the Co-Chairs to the Commission, with a view to being included in the annual report of the Commission. | 在第二期会议举行讨论之后，研究组将整理和商定该报告，然后由共同主席将报告提交委员会，以便将其纳入委员会的年度报告中。 |
| That procedure, agreed upon by the Study Group, was based on the 2019 report of the Commission. | 研究组商定的这一程序以委员会2019年的报告为根据。 |
| 253. With regard to the substance of the topic, as also indicated in the syllabus prepared in 2018, it was recalled that the factual consequences of sea-level rise prompt a number of important questions relevant to international law. | 253. 关于专题的实质内容，正如2018年编写的提纲也指出的那样，与会者回顾，海平面上升的实际后果引发了一些与国际法有关的重要问题。 |
| To the extent that they concern issues related to the law of the sea, these questions include that of the legal implications of the inundation of low-lying coastal areas and of islands upon their baselines, upon maritime zones extending from those baselines and upon delimitation of maritime zones, whether by agreement or adjudication. | 这些问题涉及与海洋法有关的事项，包括低洼沿海地区和岛屿被淹没对于其基线、自基线延伸的海洋区以及海洋区划界(无论是通过协议还是裁定划界)的法律影响问题。 |
| The 2018 syllabus also provided that these questions are to be examined through an in-depth analysis of existing international law, including treaty and customary international law, in accordance with the mandate of the Commission, which is the progressive development of international law and its codification. | 2018年的提纲还规定，探讨这些问题，应依照国际法委员会逐步发展和编纂国际法这项任务，深入分析包括条约和习惯国际法在内的现行国际法。 |
| This effort could contribute to the endeavours of the international community to ascertain the degree to which current international law is able to respond to these issues and where there is a need for States to develop practicable solutions in order to respond effectively to the issues prompted by sea-level rise. | 这将有助于国际社会查明现行国际法能够在多大程度上应对这些问题的工作，以及各国在哪些方面需要制定切实可行的解决办法，以便有效应对海平面上升引发的问题。 |
| (a) First issues paper | (a) 第一份问题文件 |
| 254. The first issues paper was introduced by the Co-Chairs of the Study Group (Mr. Aurescu and Ms. Oral) at the first meeting of the Study Group with a summary of key points and preliminary observations. | 254. 研究组共同主席(奥雷斯库先生和奥拉尔女士)在研究组第一次会议上介绍了第一份问题文件，概述了要点并表示了初步意见。 |
| 255. The Co-Chair (Mr. Aurescu) presented the introduction, Part One and Part Two of the first issues paper. | 255 共同主席(奥雷斯库先生)介绍了第一份问题文件的导言、第一部分和第二部分。 |
| He recalled, inter alia, that the introduction to the first issues paper contained a summary of the views expressed by Member States in the Sixth Committee, and also drew the attention of the Study Group to the comments made by delegations in the Sixth Committee, during the seventy-fifth session of the General Assembly (2020), after the issuance of the first issues paper. | 除其他外，他回顾说，第一份问题文件的导言概述了会员国在第六委员会发表的意见，他还提请研究组注意在第一份问题文件印发后，各代表团在联大第七十五届会议(2020年)期间在第六委员会发表的评论。 |
| A number of delegations had expressed appreciation for the first issues paper, while a few others had simply referred to it. | 一些代表团对第一份问题文件表示赞赏， 而另一些代表团则提到了这份文件。 |
| The scope and suggested final outcome of the topic, the limitations on the scope of the work of the Study Group, as agreed by the Commission, the focus on the practice of States and of regional and international organizations were recalled. | 与会者回顾了专题的范围和最终成果建议、委员会商定的对研究组工作范围的限制、对各国以及区域和国际组织实践的侧重。 |
| 256. The Co-Chair (Mr. Aurescu) presented the analysis of the first issues paper on the possible legal effects of sea-level rise on the baselines and outer limits of the maritime spaces that are measured from the baselines, including an analysis of the effects of the ambulation of the baselines as a result of sea-level rise. | 256. 共同主席(奥雷斯库先生)介绍了第一份问题文件关于海平面上升对基线和从基线开始测量的海域外部界限可能产生的法律影响的分析，包括对海平面上升导致基线移动的影响的分析。 |
| He then introduced the analysis of the first issues paper on the possible legal effects of sea-level rise on maritime delimitations, as well as on the issue of whether sea-level rise constituted a fundamental change of circumstances, in accordance with article 62, paragraph 2, of the 1969 Vienna Convention on the Law of Treaties. | 他随后介绍了第一份问题文件关于海平面上升对海洋划界可能产生的法律影响的分析，以及关于海平面上升是否构成1969年《维也纳条约法公约》第六十二条第二款所称的情况之基本改变的分析。 |
| The Co-Chair (Mr. Aurescu) also presented the main preliminary observations of the Co-Chairs’ analysis on the possible legal effects of sea-level rise on the baselines and outer limits of the maritime spaces measured from the baselines, as well as on maritime delimitations, effected either by agreement or by adjudication, as presented in paragraphs 104 and 141 of the first issues paper. | 共同主席(奥雷斯库先生)还介绍了共同主席就海平面上升对基线和从基线量起的海域外部界限以及对海洋划界(无论是通过协议还是裁定划界)可能产生的法律影响所作分析的主要初步意见，这些内容体现在第一份问题文件第104和第141段中。 |
| 257. The Co-Chair (Ms. Oral) then presented the structure and content of Parts Three and Four of the first issues paper and pointed, inter alia, to the two central issues addressed therein: the potential legal consequences of the landward shift of a newly drawn baseline due to sea-level rise, and the impact of sea-level rise on the legal status of islands, rocks and low-tide elevations. | 257. 然后，共同主席(奥拉尔女士)介绍了第一份问题文件第三和第四部分的结构和内容，并特别指出了其中涉及的两个核心问题：海平面上升导致新划定的基线向陆地移动的潜在法律后果，以及海平面上升对岛屿、岩礁和低潮高地的法律地位的影响。 |
| This was followed by an overview of the possible consequences on the rights and jurisdiction of the coastal State, as well as third party States, in established maritime zones where maritime zones shift because part of the internal waters become territorial sea, part of the territorial sea becomes contiguous zone and/or exclusive economic zone, and part of the exclusive economic zone becomes high seas. | 她随后概述了沿海国和第三国在既定海区内的权利和管辖权可能受到的影响。 由于部分内水变成领海，部分领海变成毗连区和/或专属经济区，部分专属经济区变成公海，这些既定海区发生了变化。 |
| The Co-Chair (Ms. Oral) also highlighted the case of an archipelagic State where, due to the inundation of small islands or drying reefs, the existing archipelagic baselines could be impacted, potentially resulting in the loss of archipelagic baseline status. | 共同主席(奥拉尔女士)还强调了群岛国家的情况，在这些国家，由于小岛屿被淹没或珊瑚礁干涸，现有的群岛基线可能受到影响，有可能导致群岛基线地位的丧失。 |
| 258. The Co-Chair (Ms. Oral) further discussed the status of islands and rocks under article 121 of the United Nations Convention on the Law of the Sea and the potential significant consequences of being reclassified as a rock due to sea-level rise, possibly becoming a rock that “cannot sustain human habitation or economic life of their own” under article 121, paragraph 3, of the Convention. | 258. 共同主席(奥拉尔女士)进一步讨论了《联合国海洋法公约》 第一二一条规定的岛屿和岩礁的地位，以及由于海平面上升而被重新归类为岩礁的潜在重大后果，如可能成为《公约》第一二一条第3款规定的“不能维持人类居住或其本身的经济生活”的岩礁。 |
| The Co-Chair (Ms. Oral) concluded by highlighting several of the preliminary observations made in the first issues paper (see paragraphs 190 and 218 thereof). | 共同主席(奥拉尔女士)最后着重介绍了第一份问题文件中提出的几项初步意见(见该文件第190和第218段)。 |
| (b) Maritime delimitation practice of African States | (b) 非洲国家海洋划界实践 |
| 259. The Co-Chair (Mr. Cissé) gave a presentation on the practice of African States regarding maritime delimitation. | 259. 共同主席(西塞先生)介绍了非洲国家在海洋划界方面的实践。 |
| Since maritime delimitation was a recent process in Africa, with high stakes for coastal States, he had examined the legislative, constitutional and conventional practice of 38 African coastal States, as well as relevant judicial decisions rendered by international courts, in order to assess whether coastal States were supportive of ambulatory or fixed maritime limits. | 由于海洋划界是非洲近些年来开展的对沿海国家关系重大的一项进程，他审查了38个非洲沿海国家的立法、宪法和公约方面的实践，以及国际性法院做出的相关司法决定， 以评估沿海国家是否支持移动或固定的海洋界限。 |
| 260. The outcome of the survey was that, while there was some African legislative and constitutional practice on baselines and maritime borders, such practice was diverse. As such, it was not possible to infer the existence of opinio juris in favour of or against permanent or ambulatory baselines or maritime boundaries. | 260. 调查的结果是，虽然非洲在基线和海洋边界方面有一些立法和宪法实践，但做法多种多样，因此无法推断存在赞成或反对永久或移动基线或海洋边界的法律确信。 |
| There was no generalized African practice since the geography of the coasts varied, such that the justification for the use of baselines, tide (high or low), ambulatory or permanent lines was dependent on the general configuration of the coasts. | 非洲没有普遍的做法，因为海岸的地理情况各不相同，使用基线、潮汐(高潮或低潮)、移动或永久线的理由取决于海岸的总体形态。 |
| 261. Nonetheless, in the view of the Co-Chair, the application of principles of public international law in the African context could favour fixed baselines or permanent maritime boundaries, for the following reasons: | 261. 尽管如此，共同主席认为，在非洲适用国际公法原则可能有利于固定基线或永久海洋边界，原因如下： |
| (a) In the light of the principle of the immutability of borders inherited from the colonial era, in accordance with the principle of uti possidetis juris, it could be assumed that a maritime boundary drawn by the former colonial powers continued to apply between newly independent States without the possibility of modification; | (a) 根据殖民时代遗留下来的边界不变原则，按照占领地保有原则，可以假定，前殖民国家划定的海洋边界在新独立国家之间继续适用，没有修改的可能性； |
| (b) The limitation on the application of the principle of rebus sic stantibus, as provided for in article 62, paragraph 2, of the Vienna Convention on the Law of Treaties, namely that boundary treaties could not be affected by a fundamental change of circumstances, seemed also applicable to maritime boundaries in the light of existing case law, which had recognized that there was no need to distinguish between land and maritime boundaries. | (b) 《维也纳条约法公约》第六十二条第二款规定的对适用情势变迁原则的限制(即边界条约不受情况发生根本变化的影响)，似乎也适用于海洋边界，因为现有判例认为没有必要区分陆地和海洋边界。 |
| As such, sea-level rise should not, in principle, have legal consequences in terms of maintaining boundaries already delimited or baselines or base points already defined. | 因此，海平面上升原则上不应对维持已经划定的边界或已界定的基线或基点产生法律后果。 |
| The freezing of baselines could address that concern; | 冻结基线可以应对这一关切； |
| (c) Given the obligation of States to cooperate when they are at an impasse or are having difficulty concluding an agreement on the delimitation of their maritime boundaries (recourse to article 83, paragraph 3, or article 74, paragraph 3, of the United Nations Convention on the Law of the Sea), the question of the unresolved maritime boundaries could be frozen in favour of other solutions, such as the establishment of joint development zones. | (c) 鉴于各国在陷入僵局或难以就其海洋边界划界达成协议时有义务进行合作(诉诸《联合国海洋法公约》第八十三条第3款或第七十四条第3款)，可冻结未决的海洋边界问题，以利于寻找其他解决办法，如建立联合开发区。 |
| (c) Summary of the general exchange of views held during the first part of the session | (c) 本届会议第一期会议期间举行的一般性交换意见摘要 |
| (i) General comments on the topic | (一) 关于专题的一般性评论 |
| 262. During the first part of the session, members of the Study Group presented comments on the first issues paper, in oral and written form. | 262. 在本届会议第一期会议期间，研究组成员以口头和书面形式就第一份问题文件发表了评论。 |
| 263. The importance of the topic and the legitimacy of the concerns expressed by those States affected by sea-level rise, together with the need to approach the topic in full appreciation of its urgency, were emphasized. | 263. 有人强调了这一专题的重要性和受海平面上升影响的国家所表达关切的正当性，还强调在处理这一专题时需要充分认识到其紧迫性。 |
| While some members stressed that sea-level rise was a modern phenomenon of the past few decades that was projected to have significant consequences – as noted in the first issues paper –, other members opined that it was not a new or a sudden phenomenon. | 有些成员强调，海平面上升是过去几十年来存在的一种现代现象，预计会产生重大后果(如第一份问题文件所述)，而另一些成员则认为这既不是新现象，也不是突发现象。 |
| It was also suggested that the existence and effects of two kinds of sea-level rise – natural and human-induced – should be identified and that coastlines may change as a result of natural sea-level rise and fall, or sea-level extremes, caused by earthquakes, tsunamis or other natural disasters. | 还有人提出，应确认存在自然的和人类活动引起的这两类海平面上升以及这两类情况的影响，并且地震、海啸或其他自然灾害造成的自然海平面升降或海平面极端现象可能导致海岸线变化。 |
| Referring to section III of the introduction of the first issues paper, on scientific findings and prospects of sea-level rise and their relationship with the topic, support was also expressed for treating sea-level rise as a scientifically proven fact of which the Commission could take notice for the limited purpose of its specific work on the international legal implications of sea-level rise. | 有人提及第一份问题文件导言第三节(关于海平面上升的科学发现和前景以及与该专题的关系)，表示支持将海平面上升视为一个经科学证明的事实，出于就海平面上升的国际法律影响开展具体工作这一有限目的，委员会可以注意这一事实。 |
| It was also noted that over time there are reasons other than sea-level rise that could cause a coastline to change location, as had been happening throughout history, and that any new rule justified by sea-level rise must have regard to practice in such cases and might need to identify the mechanism for distinguishing one case from another. | 还有人指出，除海平面上升之外，随着时间的推移也有其他原因可能导致海岸线位置发生改变，这在历史上屡屡发生，任何以海平面上升为理由的新规则都必须考虑到这些情况下的实践，并且可能需要确定区分不同情况的机制。 |
| It was also mentioned that the presumption in dealing with this topic is that this phenomenon is a result of climate change, and is as such (mainly) human-induced, while recalling that one of the limits of action by the Study Group, as outlined in the 2018 syllabus, was that the topic “does not deal with … causation”. | 还有人提到，在处理这一专题时的假定是，这一现象是气候变化的结果，因此(主要)是人为引起的，但同时回顾指出，正如2018年提纲所述，研究组行动的限制之一是该专题“不涉及…因果关系”。 |
| As a result, the Study Group ought to consider the present topic based on the premise that sea-level rise due to climate change is a fact already proven by science. | 因此，研究组应在气候变化导致海平面上升是已得到科学证明的事实这一前提下审议本专题。 |
| 264. The immense challenge of understanding and seeking solutions to complex legal and technical issues without losing sight of their human dimension, as well as the difficulty of assessing the magnitude of the phenomenon and its consequences – including from the point of view of the law of the sea – was also underlined. | 264. 还有人着重指出了在理解和寻求解决复杂的法律和技术问题的同时不忽视人的层面这一巨大挑战，以及评估这一现象的规模及其后果(包括从海洋法的角度评估)的难度。 |
| Members, however, generally considered that the topic was of particular importance, and that it raised significant issues on which the Commission could shed light. | 但是，成员们总体认为该专题特别重要，该专题提出了委员会可以阐明的重要问题。 |
| (ii) General comments on the first issues paper | (二) 关于第一份问题文件的一般性评论 |
| 265. Concerns were expressed that the first issues paper had been read as already reflecting the Commission’s views and, as a consequence of the postponement of the Commission’s seventy-second session, it had been widely discussed outside the Commission before the Commission itself had had the opportunity to consider it. | 265. 有人表示关切的是，第一份问题文件被解读为已经反映了委员会的观点，并且由于委员会第七十二届会议推迟，该文件在委员会本身有机会予以审议之前，已在委员会之外得到了广泛讨论。 |
| It was noted that it was also due to the adoption of a procedure different than that adopted by previous study groups, which was necessitated by the urgency and importance attached to this topic. | 有人指出，这也是因为，出于本专题的紧迫性和重要性所需，研究组采用了与以往的研究组不同的程序。 |
| It was noted though that this was not unique to this topic, and that reports of Special Rapporteurs being referred to as the product of the Commission was a recurring problem. | 但有人指出，这并不是本专题独有的现象，特别报告员的报告被视为委员会成果的问题曾屡屡发生。 |
| 266. Some members expressed support for the analysis, including the preliminary observations contained in the first issues paper, while other members expressed doubts regarding these preliminary observations. | 266. 一些成员表示支持有关分析，包括第一份问题文件所载的初步意见，另一些成员则对这些初步意见表示了质疑。 |
| Some members agreed on the need for stability, security, certainty and predictability, and the need to preserve the balance of rights and obligations between coastal States and other States, yet did not agree on whether the first issues paper’s preliminary observations reflected those needs. | 一些成员认为，需要稳定性、安全性、确定性和可预测性并且需要维持沿海国与其他国家之间权利和义务的平衡，但他们尚未就第一份问题文件的初步意见是否反映了这些需求达成一致。 |
| Further, some members took the view that the statements by States in favour of stability, certainty and predictability could be open to different interpretations, and called into question the first issues paper’s repeated reliance on “concerns expressed by Member States”. | 此外，一些成员认为，各国发表的支持稳定性、确定性和可预测性的声明可能会有不同的解释，对第一份问题文件反复依赖“会员国表达的关切”提出了质疑。 |
| A view was expressed that the desire of States for “stability” was not necessarily an “indication” of opinio juris, as suggested by the first issues paper, to the extent that it was difficult to qualify the preference for stability as reflecting “a sense of legal right or obligation” as stated in the Commission’s conclusions on identification of customary international law. | 有一种意见认为，各国关于“稳定性”的愿望并不一定像第一份问题文件所提出的那样，是建立法律确信的“迹象”，因为根据委员会关于习惯国际法的识别的结论草案，很难将对稳定性的偏好定性为体现了“一种法律权利或义务感”。 |
| It was noted that the terms “stability”, “certainty” and “predictability” were referred in the jurisprudence in relation to land boundary delimitation and not maritime delimitation, where the considerations are different. | 有人指出，判例中提到的“稳定性”、“确定性”和“可预测性”等术语涉及的是陆地边界的划定，而不是海洋，考虑因素不同。 |
| It was also mentioned that they do not constitute a principle as such but a description of a phenomenon. | 还有人提到，它们本身并不构成一项原则，而是对一种现象的描述。 |
| While the Study Group welcomed the suggestion that the meaning of “legal stability” in connection with the present topic needed further clarification, including by addressing specific questions to the Member States, it was noted that the statements delivered in the Sixth Committee by the delegations of States affected by sea-level rise seemed to indicate that, by “legal stability”, they meant the need to preserve the baselines and outer limits of maritime zones. | 有人提出，本专题所涉“法律稳定性”的含义需要进一步澄清，包括为此向会员国提出具体问题，研究组对此表示欢迎，但也有人指出，受海平面上升影响的国家的代表团在第六委员会所作的声明似乎表示，他们所指的“法律稳定性”是指需要保持基线和海区的外部界限。 |
| (iii) Consideration of views expressed in the Sixth Committee and State practice | (三) 审议在第六委员会发表的意见和国家实践 |
| 267. Members acknowledged that those States that had made statements on the subject had been largely supportive of the inclusion of the topic in the Commission’s programme of work. | 267. 成员们承认，已就这一主题发言的国家大多支持将该专题列入委员会的工作方案。 |
| It was observed that States seemed to be generally in agreement that the outcome of the Commission’s work on the topic should not interfere with or amend the United Nations Convention on the Law of the Sea. | 有人指出，各国总体上似乎同意，委员会关于这一专题的工作成果不应干扰或修改《联合国海洋法公约》。 |
| It was also noted that the principles of certainty, security and predictability and the preservation of the balance of rights and obligations between coastal States and other States had figured prominently in the statements delivered by States during the debate of the Sixth Committee in 2019. | 还有人指出，在2019年第六委员会辩论期间，各国发表的声明突出体现了确定性、安全性和可预测性原则，以及维持沿海国与其他国家之间权利和义务的平衡。 |
| 268. The lack of State practice, especially from certain regions of the world, was highlighted. | 268. 有人重点指出，缺乏国家实践，特别是来自世界某些地区的国家实践。 |
| Questions were also posed as to whether the statements by States and their submissions on State practice should be considered as giving rise to emerging rules, or could be considered as subsequent practice for purposes of interpretation of the relevant provisions of the United Nations Convention on the Law of the Sea. | 还有人提问，各国的声明及其提交的关于国家实践的资料是否应被视为要求产生新的规则，或者是否可将其视为出于解释《联合国海洋法公约》相关条款目的的嗣后实践。 |
| Some members questioned whether the statements by States in response to the first issues paper were adequate as evidence of State practice in favour of fixed baselines. | 一些成员质疑，各国针对第一份问题文件所作的声明是否足以证明国家实践支持固定基线。 |
| In light of the insufficient availability of State practice, the view was also expressed that such statements by States in the Sixth Committee were important and relevant. | 鉴于国家实践不足，也有人认为，各国在第六委员会的这种声明具有重要意义和相关意义。 |
| It was further suggested that, in addition to requesting information from States, the Commission should conduct research, including reviewing the legislation of all States and the maritime zone notifications circulated by the Secretary-General under the United Nations Convention on the Law of the Sea. | 还有人建议，除了请各国提供资料之外，委员会还应进行研究，包括审评所有国家的法律以及秘书长根据《联合国海洋法公约》分发的海洋区通告。 |
| (iv) Work of the International Law Association | (四) 国际法协会的工作 |
| 269. Some members highlighted the work of the International Law Association’s Committee on Baselines under the International Law of the Sea and Committee on International Law and Sea Level Rise, suggesting that the Study Group add more detail on their work and use it as a basis for analysis. | 269. 一些成员强调了国际法协会国际海洋法下的基线问题委员会以及国际法与海平面上升问题委员会的工作，建议研究组添加更多关于这些委员会的工作的详情，并基于此进行分析。 |
| They noted that in 2012 the Committee on Baselines under the International Law of the Sea concluded that the normal baseline is ambulatory and that existing law does not offer an adequate solution to a total territorial loss, due to sea-level rise for example. | 他们指出，国际海洋法下的基线问题委员会于2012年得出结论，正常基线是移动的，现行法律没有提供充足的办法以解决损失全部领土的问题，例如由海平面上升造成的损失全部领土的问题。 |
| It was also recalled that the subsequently established Committee on International Law and Sea Level Rise recommended that the International Law Association adopt a resolution containing de lege ferenda proposals that “baselines and limits should not be required to be readjusted should sea level change affect the geographic reality of the coastline”. | 还有人回顾指出，之后设立的国际法与海平面上升问题委员会建议国际法协会通过一项决议，载入拟议法提案，“如果海平面变化影响到海岸线的地理现实，则不应要求重新调整基线和界限”。 |
| This was endorsed by resolution 5/2018 of the Seventy-eighth Conference of the International Law Association in Sydney. | 该提案得到在悉尼举行的国际法协会第七十八届会议第5/2018号决议核可。 |
| There was also a suggestion that, like the International Law Association’s report of its 2018 Sydney Conference on International Law and Sea Level Rise, the Study Group should conduct an analysis of the advantages and disadvantages of the different options. | 又有人提议，研究组应效仿国际法协会2018年悉尼国际法与海平面上升问题会议的报告，对不同方案的利弊进行分析。 |
| Further, it was noted that under the United Nations Convention on the Law of the Sea, the baselines had to be in line with reality. | 此外，有人指出，根据《联合国海洋法公约》，基线必须符合实际。 |
| It was further observed that the Committee on Baselines under the International Law of the Sea did not see its 2012 findings as the last word as far as sea-level rise effects were concerned, and that these effects should accordingly continue to be examined by the Committee on International Law and Sea Level Rise, which, in 2018, proposed that, if the baselines and the outer limits of maritime zones of a coastal or an archipelagic State had been properly determined in accordance with the United Nations Convention on the Law of the Sea, those baselines and outer limits should not be required to be recalculated should sea-level changes affect the geographical reality of the coastline. | 还有人指出，国际海洋法下的基线问题委员会认为，就海平面上升的影响而言，其2012年的调查结果并非最后结论，因此，国际法与海平面上升问题委员会应继续研究这些影响，该委员会曾于2018年提议，如果已根据《联合国海洋法公约》适当确定了某一沿海或群岛国家的基线和海区外部界限，则即使海平面变化影响海岸线的地理现实，也不应要求重新计算这些基线和外部界限。 |
| The fact that the Commission employs a different methodology than the International Law Association, which includes a close relationship with the Sixth Committee, was also underlined. | 还有人强调，委员会采用的方法(包括与第六委员会保持密切关系)与国际法协会不同。 |
| (v) Interpretation of the United Nations Convention on the Law of the Sea: ambulatory or fixed baselines | (五) 对《联合国海洋法公约》的解释：移动基线或固定基线 |
| 270. Some members noted that the normal baseline in article 5 of the United Nations Convention on the Law of the Sea is the low-water line, which they viewed as inherently ambulatory. | 270. 一些成员指出，《联合国海洋法公约》第五条规定的正常基线是低潮线，他们认为低潮线本质上是移动的。 |
| Other members observed that the Convention was silent on whether baselines were ambulatory or had to be regularly updated. | 另一些成员指出，《公约》没有说明基线是移动的还是必须定期更新。 |
| Members agreed on the importance of and need for assessing State practice on questions relating to the freezing of baselines and the updating (or not) of charts. | 成员们一致认为，在与冻结基线和更新(或不更新)海图有关的问题上，分析相关国家实践既有重要性，也有必要性。 |
| Some members expressed the view that baselines were not established by charts or lists, but by the detailed rules set out in the Convention and other relevant sources, that the charts and lists referred to in article 16 of the Convention only concerned straight baselines or closing lines (not normal baselines), and that the Convention expressly required that such charts and lists be produced in accordance with the rules set forth in articles 7, 9, and 10 of the Convention. | 一些成员认为，基线不是由海图或座标表确立的，而是由《公约》和其他相关来源所载的详细规则确立的，《公约》第十六条提到的海图或座标表仅涉及直线基线或封口线(而不是正常基线)，并且《公约》明确规定，此类海图和座标表应按照《公约》第七、第九和第十条所载的规则绘制。 |
| The importance of making a distinction between base points (which are relevant for maritime delimitations if selected as relevant points on the relevant coasts) and baselines (which are relevant for establishing the outer limits of maritime zones) was also underlined, given that rising sea-level affects them differently, which entails that they may require different legal solutions. | 又有人着重指出，必须对基点(如被选为相关海岸上的相关点，则涉及海洋划界)和基线(涉及海区外部界限的确定)进行区分，因为海平面上升对二者的影响不同，因此它们可能需要不同的法律解决办法。 |
| 271. Some members regarded article 5 of the United Nations Convention on the Law of the Sea as clear on the question of whether normal baselines were ambulatory, while other members considered that article to be susceptible to a different interpretation. | 271. 一些成员认为《联合国海洋法公约》第五条在正常基线可否移动的问题上是明确的，另一些成员则认为对该条可有不同的解释。 |
| It was noted that sea-level rise had not been mentioned in the travaux préparatoires of the Convention. | 有人指出，《公约》的准备工作文件中没有提到海平面上升。 |
| Some members maintained that the Convention was fully silent on the issue of sea-level rise, including in relation to baselines and the updating of charts. | 一些成员指出，《公约》完全没有述及海平面上升问题，包括涉及基线的问题和海图更新的问题。 |
| Other members took the view that, even if sea-level rise was not discussed, the issue of change in the location of baselines was discussed, including the circumstances where a baseline could be fixed within specific contexts (such as deltas). | 另一些成员认为，《公约》即便没有讨论海平面上升的问题，但也讨论了基线位置改变的问题，包括在特定条件(例如三角洲)下可以固定基线的情况。 |
| It was however noted that not too much should be read into any silence, as it could be interpreted in different ways. | 然而，有人指出，对于任何没有述及的情况，可以有不同的解释，因此不应过度解读。 |
| The view was nonetheless also expressed that, consequently, the Convention was not dispositive of the question as to whether baselines were ambulatory or not. | 还有人表示，有鉴于此，不能依据《公约》来决定基线是否可以移动。 |
| It was also mentioned, however, that the United Nations Convention on the Law of the Sea does contemplate the change of baselines due to changes in the coast, although sea-level rise was not specifically discussed. | 不过也有人提到，《联合国海洋法公约》确实考虑了基线因海岸变化而改变的问题，但没有具体讨论海平面上升问题。 |
| 272. In response to the diverse views expressed by members as to the existence of ambulatory or fixed or permanent baselines, there was a suggestion that the Commission should conduct additional research into whether a principle of stability existed under general international law, including a study of the law of river delimitation. | 272. 对于是否存在移动或固定或永久基线的问题，成员们表达了不同意见，对此，有人建议委员会进一步研究一般国际法下是否存在稳定性原则，包括研究河流划界法。 |
| It was also deemed important to closely consider the judgment rendered by the International Court of Justice in the Maritime Delimitation in the Caribbean Sea and the Pacific Ocean (Costa Rica v. Nicaragua) case in which the Court used a moving delimitation line for maritime delimitation. | 还有人认为必须深入考虑国际法院就加勒比海和太平洋海洋划界(哥斯达黎加诉尼加拉瓜)案作出的判决， 该法院在其中使用了移动的划界线进行海洋划界。 |
| 273. Some members emphasized that, if ambulatory baselines were to be retained, landward movement could result in a significant loss of sovereignty and jurisdictional rights for coastal States. | 273. 一些成员强调，如果保留移动基线，则基线向陆地移动可能会导致沿海国严重丧失主权和管辖权。 |
| It could also give rise to a significant loss of resources and protected maritime areas, while negatively affecting the conservation of biological diversity in areas beyond national jurisdiction. | 移动基线还可能导致资源和海洋保护区的重大损失，同时对国家管辖范围以外区域的生物多样性保护工作产生不利影响。 |
| Those members commented that legal uncertainty regarding maritime boundaries would likely be a source of conflict and instability for coastal neighbouring States. | 这些成员评论称，关于海洋边界的法律不确定性很可能成为沿海邻国冲突和不稳定的根源。 |
| It was further observed that States would have to dedicate significant resources for the purpose of regularly updating maritime charts or geographical data under an ambulatory system. | 还有人指出，在移动体系下，各国必须投入大量资源，用于定期更新海图或地理数据。 |
| Some members expressed agreement with the view of the Co-Chairs that the interpretation that baselines generally had an ambulatory character did not respond to the concerns of the States facing the effects of sea-level rise. | 共同主席认为基线通常具有移动性质的这个解释没有回应面临海平面上升影响的国家的关切，部分成员表示同意共同主席的观点。 |
| It was thus suggested by some members that maintaining existing maritime baselines and limits was an optimal solution that responded to States’ interests in connection with the effects of sea-level rise. | 因此，一些成员认为，维持现有的海洋基线和界限是最佳解决办法，符合各国与海平面上升的影响有关的利益。 |
| 274. Other members were not convinced that shifting areas of maritime entitlements necessarily led to a loss of the total amount of such entitlements, as opposed to just changing their location. | 274. 改变海洋权利领域不仅仅是改变位置，必然会导致此类权利的全部丧失，对于这一观点，其他成员并不信服。 |
| It was noted, also, that fixed baselines might not be required in all situations (for example, where the land surface of a State had actually increased owing to the shift of tectonic plates). | 也有人指出，并非在所有情况下都要求固定基线(例如，一个国家的陆地面积由于构造板块的移动实际上增大的情况)。 |
| The view was expressed that if baselines were fixed, States that may have their land surface increase would not be able to move their baselines seawards and claim larger areas, if they experienced such a phenomenon in the future. | 有人认为，如果基线是固定的，那么如果未来有国家的陆地表面增加，这些国家将无法将其基线向海洋移动并主张更大的面积。 |
| It was also mentioned that there may be specific situations where States facing the threat of sea-level rise may have erected coastal fortifications and may wish them to be treated as fixed baselines. | 有人还提到，在某些特定情况下，面临海平面上升威胁的国家可能建造了沿海防御工事，并可能希望将防御工事作为固定基线。 |
| As to the situation of increased land surface due to factors other than sea-level rise, it was stressed that this aspect is outside the mandate of the Study Group, which only deals with sea-level rise effects. | 至于由海平面上升以外的其他因素造成陆地表面增加的情况，有人强调，这方面不属于研究组的任务范围，研究组只处理海平面上升的影响。 |
| It was also recalled that the final outcome of the Study Group should be clearly limited to sea-level rise due to climate change, according to the limits agreed to in the mandate of the Study Group. | 还有人回顾，根据商定的研究组的任务限制，研究组的最终成果应明确限于气候变化导致的海平面上升。 |
| 275. Some members suggested that there might be a continuum of intermediate possibilities between the two options discussed in the first issues paper – ambulatory versus permanent baselines – that deserved a full and detailed examination. | 275. 一些成员认为，在第一份问题文件中讨论的两个选项(移动基线与永久基线)之间可能有一系列中间可能性，值得进行全面和详细的研究。 |
| As the discussion was still of a preliminary nature, further in-depth analysis needed to be undertaken before the Study Group could take a position on what was a complex subject. | 由于讨论仍属初步性质，研究组需要进行进一步深入分析，才能就这一复杂问题采取立场。 |
| 276. The issue of navigational charts was also raised, a view being expressed that updating them was important in the interests of navigational safety, while another view maintained that the potential dangers to navigation might be rather exceptional given that the coast receded landward in case of sea-level rise and that satellite technology was more accessible than ever. | 276. 还有人提出了导航图的问题，有一种观点认为，更新导航图对于航行安全很重要，而另一种观点则认为，鉴于海平面上升时海岸向陆地后退，而且卫星技术比以往更容易获得，所以航行并未面临特别的潜在危险。 |
| Support was expressed for the ensuing proposal made by the Co-Chairs that the issue of navigational charts could be subject to additional study. | 有人表示支持共同主席随后提出的建议，即可以对导航图问题进行进一步研究。 |
| For example, such study could examine the different functions of navigational charts as required under the rules of the International Hydrographic Organization and of the charts that are deposited with the Secretary-General of the United Nations for purposes of registration of maritime zones. | 例如，在进行这种研究时，可以审查国际海道测量组织规则所要求的导航图的不同功能，以及为登记海洋区域目的向联合国秘书长交存的导航图的不同功能。 |
| 277. Some members suggested that the Study Group take into account the possible situation where, as a result of sea-level rise and a landward shift of the coastline, the bilaterally-agreed delimitation of overlapping areas of exclusive economic zones of opposite coastal States no longer overlapped, as such a situation would result in States being trapped in an unreasonable legal fiction. | 277. 一些成员建议，研究组应考虑可能出现的一种情况：由于海平面上升以及海岸线向陆地移动，相向沿海国专属经济区原来经双方商定划界的重叠区域现在不再重叠，这种情况可能会导致这些国家陷入不合理的法律虚构之中。 |
| Support was expressed for the examination of this hypothesis, including from the angle of concepts from the law of treaties, like obsolescence or the supervening impossibility of performance of a treaty. | 有人表示支持审查这一假设，包括从条约法的概念角度进行审查，如条约过时或发生意外不可能履行的情况。 |
| Another view expressed was that the preservation of existing baselines, when the natural baselines had shifted significantly, could lead to disproportionately large maritime zones – beyond what was permitted under the United Nations Convention on the Law of the Sea – which could benefit coastal States at the expense of the rights of other States or the international community. | 另一种观点认为，当自然基线发生重大变化时，保留现有基线可能导致海洋区域过大，超出《联合国海洋法公约》允许的范围，这可能使沿海国受益，但会损害其他国家或国际社会的权利。 |
| It was also agreed to examine in greater detail the possible loss or gain of benefits of third States, while it was noted that no State that had commented thus far on the topic had requested this analysis or mentioned the issue. | 成员们还同意应更详细地审查第三国可能丧失或获得的利益，同时指出，迄今为止，就该专题发表评论的国家都没有要求进行这一分析，也没有提及这一问题。 |
| Some members noted that, if the approach of fixed baselines were to be adopted, sea-level rise could result in large areas of internal waters that normally would be territorial sea (or even high seas), through which there would be no right of innocent passage. | 一些成员指出，如果采用固定基线的办法，海平面上升可能会导致内水面积很大，这些水域通常被视为领海(甚至是公海)，但在这种情况下就没有无害通过权。 |
| Similarly, fixed baselines could result in maintaining a straits regime in a channel that normally would not be a strait. | 同样，固定基线可能导致在通常不是海峡的通道内维持海峡制度。 |
| (vi) Other sources of international law | (六) 国际法的其他渊源 |
| 278. Some members expressed the view that, while the United Nations Convention on the Law of the Sea was a key source for its States parties, other sources should be analysed further. | 278. 一些成员认为，虽然《联合国海洋法公约》对其缔约国而言是一个关键渊源，但应进一步分析其他渊源。 |
| It was also recalled that, according to the preamble of the Convention, matters not regulated by the Convention continued to be governed by the rules and principles of general international law. | 还有人回顾说，根据《公约》序言，该《公约》未予规定的事项，应继续以一般国际法的规则和原则为准据。 |
| Since the legal problems arising as a consequence of sea-level rise could not be fully addressed within the regime of the Convention, it was suggested that other relevant rules of general international law should be considered. | 由于海平面上升引起的法律问题无法完全在《公约》体系内得到解决，有人建议考虑一般国际法的其他相关规则。 |
| Other members noted that the matter was covered by article 5 of the Convention. | 另一些成员指出，《公约》第五条涵盖了这一事项。 |
| Such other sources included, notably, customary international law, the 1958 Geneva Conventions and other multilateral and bilateral instruments concerning a whole range of aspects of the law of the sea and involving different zones that could be affected by sea-level rise. | 这些其他渊 源主要包括习惯国际法、1958年日内瓦各项公约 以及其他多边和双边文书，这些渊源涉及海洋法的各个方面，并包括可能受海平面上升影响的不同区域。 |
| Some members suggested that other principles and rules also be examined in more detail, such as the principle that the land dominates the sea and the principle of freedom of the seas, as well as the role of the principle of equity, good faith, historic rights and title, the obligation to settle disputes peacefully, the maintenance of international peace and security, the protection of the rights of coastal States and non-coastal States, and the principle of permanent sovereignty over natural resources. | 一些成员建议，还应更详细地审查其他原则和规则，例如陆地支配海洋原则，海洋自由原则，以及公平、善意、历史性权利和所有权原则的作用，和平解决争端的义务，维护国际和平与安全，保护沿海国和非沿海国的权利以及对自然资源的永久主权原则。 |
| The Study Group accordingly intends to follow up on these suggestions in its further work on the topic. | 因此，研究组打算在关于这一专题的进一步工作中跟进这些建议。 |
| (vii) Permanency of the exclusive economic zone and the continental shelf | (七) 专属经济区和大陆架的永久性 |
| 279. Some members raised specific questions concerning the relationship between the proposal of permanency of the continental shelf and the exclusive economic zone in relation to the reference, in the first issues paper, to a discrepancy that could emerge between the permanent outer limits of the continental shelf and possible ambulatory outer limits of the exclusive economic zone. | 279. 第一份问题文件提到永久标明的大陆架外部界限与专属经济区可能的移动外部界限之间可能出现差异，一些成员就此提出关于提出的大陆架永久性和专属经济区之间的关系的具体问题。 |
| A view was expressed that certain statements in the first issues paper regarding the permanency of the continental shelf were incorrect. | 有人认为，第一份问题文件中关于大陆架永久性的某些说法是不正确的。 |
| 280. According to this view, there was no permanency: the argument made in the issues paper was premised on the identification of the continental shelf based on the geographical criteria; | 280. 这一观点认为，不存在永久性：问题文件中提出的论点的前提是根据地理标准确定大陆架； |
| however, up to 200 nm, it is only the distance criteria that is applied, while, as per this view, the outer limits of the continental shelf and the exclusive economic zone depend on the location of baselines. | 但是，在200海里以内，只有距离标准是适用的，而根据这种观点，大陆架和专属经济区的外部界限取决于基线的位置。 |
| Thus, it was argued, permanency of baselines cannot be asserted based on the continental shelf being the natural prolongation of the land territory. | 因此，有人认为，不能根据大陆架是陆地领土的自然延伸来主张基线的永久性。 |
| (viii) Sea-level rise and article 62, paragraph 2, of the Vienna Convention on the Law of Treaties | (八) 海平面上升与《维也纳条约法公约》第六十二条第二款 |
| 281. Some members noted that maritime treaties and adjudicated boundaries should be final, while commenting that additional study was necessary. | 281. 一些成员指出，海洋条约和裁定的边界应具有最终效力，同时认为有必要进行更多的研究。 |
| The relevance of the principle of pacta sunt servanda was noted. | 有人指出了“条约必须遵守”之原则的相关性。 |
| Several members commented on article 62 of the Vienna Convention on the Law of Treaties and the question as to whether sea-level rise would constitute an unforeseen change of circumstances. | 若干成员对《维也纳条约法公约》第六十二条以及海平面上升是否会构成不可预料的情况变化发表了意见。 |
| A number of members noted that there should be no distinction in that regard between land and maritime boundaries, as reflected in the international jurisprudence cited in the first issues paper. | 一些成员指出，正如第一份问题文件中引用的国际判例所反映的，在这方面不应区分陆地边界和海洋边界。 |
| Other members were more reserved and considered that additional study should be undertaken on the issue, including an analysis of the pros and cons of each view. | 另一些成员则更为保留，认为应就此问题开展更多研究，包括分析每种意见的利弊。 |
| Support was expressed for this suggestion and it was recalled that on this matter doctrine and the 2018 conclusions of the International Law Association Committee on International Law and Sea Level Rise lean towards establishing that changes in land and maritime boundaries should not constitute an unforeseen change of circumstances. | 有人表示支持这一建议，并回顾称，国际法协会的国际法与海平面上升问题委员会关于这一问题的理论和2018年结论的倾向是，确定陆地和海洋边界的变化不应构成不可预见的情况变化。 |
| Some members noted that land boundaries are sometimes ambulatory, dependent upon the location of bank of a river or lake, the median point of a river or lake, or a river’s thalweg, while a view was expressed that State practice has a different trend: in the case where the river flow is changed, the agreed river boundary is kept permanently. | 一些成员指出，陆地边界有时是移动的，取决于河流或湖泊的岸边、河流或湖泊的中点或河流深泓线的位置，而有一种观点认为，国家实践有一种不同的趋势：在河流流量改变的情况下，已商定的河流边界永久保留。 |
| A view was expressed that whether maritime delimitation treaties were covered by article 62 was a matter of treaty interpretation, and that it was a matter for international courts and tribunals, and not for the Commission since that would be beyond its mandate. | 有人认为，第六十二条是否涵盖海洋划界条约是一个条约解释问题，这是国际法院和法庭的事，而不是委员会的事，因为这超出了委员会的任务范围。 |
| A point was also raised regarding the non-binding nature of bilateral maritime boundary agreements upon third States, which would therefore not be required to recognize agreements establishing or fixing maritime delimitation boundaries. | 还有人提到双边海洋边界协定对第三国不具约束力，因此不要求第三国承认确立或固定海洋边界的协定。 |
| Another view stated that maritime agreements establishing boundaries and fixing limits were treaties entered upon in accordance with the Vienna Convention on the Law of Treaties and are binding upon all States. | 另一种观点认为，确立边界和固定界限的海事协定是根据《维也纳条约法公约》缔结的条约，对所有国家都有约束力。 |
| This is without prejudice to the obligation of parties to such treaties to take due account of the legitimate rights of third States in regard to their maritime entitlements in accordance with the United Nations Convention on the Law of the Sea. | 这并不影响此类条约的缔约国根据《联合国海洋法公约》适当考虑第三国合法海洋权利的义务。 |
| It was noted that the matter needed to be further examined, including from the perspective of objective regimes in international law. | 有人指出，需要进一步审查这一事项，包括从国际法客观体系的视角进行审查。 |
| It was also suggested that the Study Group examine the issue of the consequences for a maritime boundary if an agreed land boundary terminus ended up being located out at sea because of sea-level rise. | 还有人建议，研究组应研究，如果已商定的陆地边界终点因海平面上升而位于海上，这会对海洋边界有什么影响。 |
| (ix) Islands, artificial islands and rocks | (九) 岛屿、人工岛屿和岩礁 |
| 282. Some members called for caution in addressing the topic of islands under article 121 of the United Nations Convention on the Law of the Sea. | 282. 一些成员呼吁谨慎处理《联合国海洋法公约》第一二一条下的岛屿专题。 |
| Other members expressed the view that more attention should have been given to the arbitral award in The South China Sea Arbitration between the Republic of the Philippines and the People’s Republic of China on the issue of the status of islands under article 121 and the reasons for according to them maritime entitlements, while the need for a critical analysis of that award was also expressed. | 另一些成员认为，本应更多关注菲律宾共和国和中华人民共和国之间的南海仲裁案 中关于第一二一条规定的岛屿地位问题的仲裁裁决以及给予这些岛屿海洋权利的理由，也有人表示需要对该裁决进行批判性分析。 |
| The view was expressed that artificial fortifications dedicated exclusively to preservation from sea-level rise did not render a natural island artificial. | 有意见认为，专门用于保护岛屿免受海平面上升影响的人造防御工事并没有使天然岛屿变成人造岛屿。 |
| However, a point was raised on the need for clearer guidelines to distinguish between the construction of artificial islands for the purpose of preservation from the construction of artificial islands to create artificial entitlements. | 不过，有人提出，需要更明确的准则，以区分为保护目的建造人工岛屿和为人为创造权利而建造人工岛屿的情况。 |
| A view was expressed that coastal fortifications should not be abused to make extensive maritime entitlements. | 有人认为，不应滥用沿海防御工事来扩大海洋权利。 |
| A question was posed as to whether the observations in the first issues paper were limited to sea-level rise or had a more general application. | 有人提问，第一份问题文件中的意见是仅限于海平面上升，还是有更普遍的适用性。 |
| A question was also raised as to whether “rocks” that become submerged should continue to enjoy maritime entitlements. | 还有人提问，被淹没的“岩礁”是否应继续享有海洋权利。 |
| It was suggested that freezing the status of an island should not be a general rule, given that its inundation could be the result of reasons not related to sea-level rise. | 有人认为，冻结一个岛屿的地位不应成为一般规则，因为岛屿被淹没的原因可能与海平面上升无关。 |
| The Study Group considered that additional research into this area could be conducted to ascertain whether such distinction could be made scientifically and how significant a certain factor was to its study. | 研究组认为，可以在这一领域进行更多的研究，以查明是否可以科学地作出这种区分，以及特定因素对其研究的重要性有多大。 |
| The high cost of artificial preservation of baselines and coastal areas was also highlighted. | 有人还强调，人为保护基线和沿海地区的成本很高。 |
| (d) Concluding remarks at the end of the first part of the session | (d) 第一期会议结束时的总结发言 |
| 283. Members made a number of suggestions with regard to the Study Group’s future work and working methods. | 283. 委员们就研究组今后的工作和工作方法提出了一些建议。 |
| 284. Suggestions were made regarding the title of the topic and the structure of the first issues paper. | 284. 建议涉及专题的标题 和第一份问题文件的结构。 |
| The Study Group considered that the issue regarding the title of the topic could be examined at a later stage. | 研究组认为，关于专题标题的问题可在稍后阶段研究。 |
| It also welcomed the suggestions on the structure of the first issues paper, as well as the ones on bibliography. | 研究组也欢迎大家就第一份问题文件的结构以及参考书目提出建议。 |
| The suggestion for a study of State legislation on baselines to be elaborated, with the support of the Secretariat, was also welcomed by the Study Group. | 一项建议是在秘书处的支持下详细研究国家基线立法，研究组对此也表示欢迎。 |
| It was also suggested that the first issues paper be included in volume II, Part One, of the Yearbook of the International Law Commission. | 还有人建议将第一份问题文件列入《国际法委员会年鉴》第二卷第一部分。 |
| 285. Recalling that the mandate of the Study Group was to undertake a mapping exercise of the legal implications of sea-level rise, which might require follow-up but would not lead to the development of any specific guidelines or articles, some members suggested that, to preserve its credibility, the Study Group – and the Commission – ought to be clear and transparent from the beginning in distinguishing between lex lata, lex ferenda and policy options. | 285. 一些成员回顾称，研究组的任务是对海平面上升的法律影响进行摸底调查，这可能需要采取后续行动，但最终不会制定任何具体的准则或条款，他们建议，为了保持公信力，研究组和委员会应该从一开始就以明确和透明的方式区分现行法、拟议法和政策选择。 |
| It was also suggested that the Commission should be fully guided by its own prior work relevant to the topic, such as its conclusions on identification of customary international law and its conclusions on subsequent agreements and subsequent practice in relation to the interpretation of treaties. | 同时，也有人建议委员会充分遵循其此前与该专题相关的工作，例如关于习惯国际法的识别的结论以及关于与条约解释有关的嗣后协定和嗣后惯例的结论。 |
| The preliminary character of the first issues paper and the need to respect the mandate of the Study Group to perform “a mapping exercise of the legal questions raised by sea-level rise and its interrelated issues” were stressed; it was also emphasized that only at a later stage, after the Study Group had deepened its analysis, and taking into account the views of its members, could conclusions be drawn. | 大家虽然强调第一份问题文件的初步性质，并强调有必要尊重研究组的任务，即“对海平面上升引起的法律问题及相关问题进行摸底调查”，但也强调，只有在较后的阶段，即研究组经过深入分析和考虑其成员的意见之后，才能提出结论。 |
| 286. Conversely, the view was expressed that, given the importance of the subject, the topic should be considered by a special rapporteur, rather than by a study group, to ensure transparency and to allow the Commission to take a position in relation to draft texts, rather than undertaking thematic studies. | 286. 相反，有人认为，鉴于该专题的重要性，应由一名特别报告员而不是由一个研究组审议该专题，以确保透明度，并使委员会能够就案文草案采取立场，而不是开展专题研究。 |
| In that regard, it was also suggested that co-special rapporteurs could be appointed with a view to concluding a set of draft articles that could be presented to States for the negotiation of a global framework convention on the legal consequences of sea-level rise, in accordance with article 23 of the Commission’s statute. | 在这方面，还有人建议任命共同特别报告员，以便完成一套条款草案，最终可根据《委员会章程》第23条提交各国，用于谈判一项关于海平面上升的法律后果的全球框架公约。 |
| 287. The methodological approach of the Study Group was also deemed to have important consequences for the outcome of the topic, considering that such an approach might allow the Commission to be more creative with proposing solutions for States to deliberate on a topic that would become increasingly important for the peace, security and stability of the international community. | 287. 研究组的方法也被认为对该专题的结果具有重要影响，因为这一方法可能使委员会更有创造性地提出解决方案，供各国审议一个对国际社会的和平、安全和稳定越来越重要的专题。 |
| The view was expressed that any conclusions reached by the Commission could provide States, especially those particularly affected by sea-level rise, with practical legal solutions that would preserve their rights and entitlements under the law of the sea, by explaining existing rules and proposing new ones where lacunae existed. | 有人认为，委员会得出的任何结论都可为各国，特别是为受海平面上升影响特别严重的国家提供切实可行的法律解决办法，通过解释现有规则或在存在空白的地方提出新规则，维护这些国家根据海洋法享有的权利和应享待遇。 |
| It would then be for States and the international community as a whole to decide to adopt such rules, whether through practice, negotiations, international resolutions or agreements on relevant legal instruments. | 然后将由各国和整个国际社会作出决定，以实践、谈判、国际决议还是就相关法律文书达成协议的方式，通过这些规则。 |
| 288. Some members recommended a cautious approach to avoid rushing to early conclusions. | 288. 一些成员建议采取谨慎的做法，避免仓促下结论。 |
| Referring to the chapter on scientific findings, support was expressed for treating sea-level rise as a scientifically proven fact of which the Commission could take notice for the limited purpose of its specific work on the international legal implications of sea-level rise. | 关于科学发现这一章，有人表示支持将海平面上升视为一个经科学证明的事实，出于就海平面上升的国际法律影响开展具体工作这一有限目的，委员会可以注意这一事实。 |
| In that regard, it was recalled that the mandate of the Study Group excluded causation, the premise of the work on the topic being that sea-level rise due to climate change was to be taken as a scientifically proven fact. | 在这方面，有人回顾说，研究组的任务不包括确定因果关系，气候变化造成的海平面上升应被视为经科学证实的事实，是关于这一专题的工作的前提。 |
| At the same time, if needed, the Study Group could consider inviting scientific experts to future meetings of the Study Group. | 同时，如果有必要，研究组可以考虑邀请科学专家参加研究组今后的会议。 |
| (e) Outcome of the interactive discussion held during the second part of the session | (e) 第二期会议期间举行的互动讨论的结果 |
| 289. During the first meeting of the Study Group during the second part of the session, held on 6 July 2021, the Co-Chairs responded to comments made by members of the Study Group during the first part, and introduced a draft interim report, an English version of which had been circulated to all members on 2 July 2021, followed by all other language versions on 5 July 2021. | 289. 在2021年7月6日第二期会议期间举行的研究组第一次会议上，共同主席答复了研究组成员在第一期会议期间提出的意见，并介绍了临时报告草稿，草稿的英文本已于2021年7月2日分发给所有成员，其他所有语文版本随后于2021年7月5日分发。 |
| 290. During the interactive discussion that followed, members had a debate on the working methods of the Study Group. | 290. 在随后进行的互动讨论中，各位成员就研究组的工作方法进行了辩论。 |
| Some members expressed concern that the Co-Chairs’ first issues paper (A/CN.4/740 and Corr.1 and Add.1) may have been interpreted as being of the Study Group as a whole. | 一些成员表示关切的是，共同主席的第一份问题文件(A/CN.4/740和Corr.1和Add.1)可能被解释为是由整个研究组提出的。 |
| The time constraints under which the Study Group was operating, as well as the need for a collective and consultative process, were also underlined. | 有人还强调，研究组开展工作的时间有限，需要有集体协商进程。 |
| Some members further suggested that, given the importance of the topic, it might be preferable for the Commission to consider following its regular procedure, appointing one or several special rapporteurs on the topic, so as to allow for more transparency while being in a position to take into account the position of States through a system of first and second readings of draft texts. | 一些成员还建议，鉴于这一专题的重要性，对委员会而言更可取的做法可能是考虑遵循其常规程序，任命一名或几名关于这一专题的特别报告员，以便提高透明度，同时能够通过一读和二读案文草案的方式考虑各国的立场。 |
| Questions were also raised about the foreseen outcome of the work of the Study Group. | 另有人对研究组工作的预期成果提出了疑问。 |
| 291. In that regard, the Co-Chairs expressed the view that they had proceeded in accordance with the methods of work that the Commission had agreed upon in 2019. | 291. 在这方面，共同主席表示，他们是按照委员会在2019年商定的工作方法开展工作的。 |
| In their view, these methods of work had been deliberately tailored to be more formal than those followed by previous study groups, and appeared to be hybrid between the special rapporteur format and traditional study groups. | 他们认为，这些工作方法经刻意调整，比以前的研究组所遵循的方法更为正式，似乎是特别报告员形式和传统研究组形式的混合体。 |
| They welcomed the contributions made by members and emphasized the need for a collective product. | 他们对各位成员提供的投入表示欢迎，并强调需要一个集体产品。 |
| It was noted that the current year’s debate consisted in a “mapping exercise” conducted on the basis of the first issues paper and the preliminary observations included therein, and that substantial further research was required for the Study Group to complete its task on the aspects of the law of the sea related to the topic. | 有人指出，这一年的辩论是在第一份问题文件和其中所载初步意见的基础上进行的“摸底调查”，研究组要完成与该专题有关的海洋法方面的任务，还需要作大量进一步研究。 |
| Members were accordingly invited by the Co-Chairs to take the lead on the various subjects that the Study Group would collectively investigate, some of which had already been suggested during the exchange of views held in the first part of the session. | 因此，共同主席请各位成员就研究组将进行集体研究的各项议题发挥带头作用，在本届会议第一期会议上交换意见时已经提出了其中一些议题。 |
| 292. The foreseen outcome of the Study Group’s work, as outlined during the first part of the session, was also recalled. | 292. 大家还回顾了第一期会议期间概述的研究组工作的预期成果。 |
| It was also suggested that the Study Group should, in parallel, continue to pursue progress on aspects related to the law of the sea. | 还有人建议研究组继续同时在与海洋法有关的各方面取得进展。 |
| 293. In concluding their exchange on the Study Group’s working methods, members agreed that the interim report encapsulating the main points of the debate held during the session would, once finalized and agreed upon by the Study Group, be presented to the Commission by the Co-Chairs for the purpose of inclusion as a chapter of the annual report of the Commission. | 293. 在结束关于研究组工作方法的交流时，成员们商定，载有本届会议期间辩论要点的临时报告经研究组最后定稿和同意后，由共同主席提交委员会，以便将其列入委员会年度报告，作为其中一章。 |
| 294. The Study Group then elected to have a substantive discussion on the topic on the basis of questions prepared by the Co-Chairs in follow up to the debate held during the first part of the session. | 294 研究组随后在共同主席为跟进第一期会议期间的辩论而准备的问题的基础上，就这一专题开展实质性讨论。 |
| As an outcome of this discussion, the Study Group identified the following issues as areas for further in-depth analysis on which it would focus on a priority basis in the near future. | 作为这次讨论的结果，研究组确定了以下问题，作为近期重点关注、开展进一步深入分析的领域。 |
| These studies would be undertaken on a voluntary basis by members of the Study Group: | 这些研究将由研究组成员在自愿的基础上进行： |
| (a) Sources of law: in addition to the United Nations Convention on the Law of the Sea (in particular, the genesis and interpretation of its article 5), the 1958 Geneva Conventions (and their travaux préparatoires), as well as customary international law of a universal and regional scope, the Study Group would examine other sources of law – relevant multilateral, regional and bilateral treaties or other instruments relating, for example, to fisheries management or the high seas that define maritime zones, or the 1959 Antarctic Treaty and its 1991 Protocol on Environmental Protection, the International Maritime Organization’s treaties defining pollution or search and rescue zones, or the 2001 Convention on the Protection of the Underwater Cultural Heritage, general principles of law, as well as the regulations of relevant international organizations such as the International Hydrographic Organization. | (a) 法律渊源：除了《联合国海洋法公约》 (特别是其第五条的起源和解释)、1958年日内瓦各项公约 (及其准备工作文件)以及普遍性和区域范围的习惯国际法之外，研究组还将审查其他法律渊源，包括相关的多边、区域和双边条约或其他文书，例如与渔业管理或界定海区的公海有关的文书，或1959年《南极条约》 及其1991年《环境保护议定书》、 国际海事组织界定污染或搜救区的条约，或2001年《保护水下文化遗产公约》、 一般法律原则，以及国际水道测量组织等有关国际组织的规定。 |
| The purpose of this examination would be to determine the lex lata in relation to baselines and maritime zones, without prejudice to the consideration of the lex ferenda or policy options. | 这项审查的目的是确定与基线和海区有关的现行法，但不影响对拟议法或政策选择的审议。 |
| It would also aim at assessing whether these instruments permit or require (or not) the adjustment of baselines in certain circumstances, and whether a change of baselines would entail a change of maritime zones; | 审查还旨在评估这些文书是否允许或要求(或不要求)在某些情况下调整基线，以及基线的改变是否会导致海区的改变； |
| (b) Principles and rules of international law: the Study Group would examine various principles and rules of international law in more detail, such as the principle that the land dominates the sea, the principle of the immutability of borders, the principle of uti possidetis juris, the principle of rebus sic stantibus, or the principle of freedom of navigation, as well as the role of the principle of equity, the principle of good faith, historic rights and title, the obligation to settle disputes peacefully, the maintenance of international peace and security, the protection of the rights of coastal States and non-coastal States, and the principle of permanent sovereignty over natural resources; | (b) 国际法的原则和规则：研究组将更详细地审查国际法的各种原则和规则，例如陆地支配海洋原则、边界不变原则、依法保有原则、情事变迁原则或航行自由原则，以及公平原则、善意原则、历史权利和所有权的作用、和平解决争端的义务、维护国际和平与安全、保护沿海国和非沿海国的权利，以及对自然资源的永久主权原则； |
| (c) Practice and opinio juris: the Study Group would aim to extend its study of State practice and opinio juris to regions for which scarce, if any, information had been made available, including Asia, Europe and Latin America (one member of the Study Group already assumed the task to perform such analysis for this region) and continuing the work on Africa. | (c) 实践和法律确信：研究组将致力于将其对国家实践和法律确信的研究扩大到可获得的信息很少(如果有)的区域，包括亚洲、欧洲和拉丁美洲(研究组一名成员已经承担了对该区域进行此类分析的任务)，并继续开展关于非洲的工作。 |
| In doing so, the Study Group would examine the interrelation between State practice and sources of law by assessing whether such practice is relevant to customary international law or whether it is pertinent to treaty interpretation. | 为此，研究组将通过评估国家这类实践是否与习惯国际法相关，或是否与条约解释相关，来审查国家实践与法律渊源的相互关系。 |
| The Study Group would also examine the maritime zone notifications deposited with the Secretary-General of the United Nations and the national legislation accessible on the website of the Division of the Law of the Sea and Ocean Affairs of the Office of Legal Affairs to determine whether States do – or do not – update such notifications and laws; | 研究组还将研究交存联合国秘书长的海区通知和可在法律事务厅海洋法和海洋事务司网站上查阅的国家立法，以确定各国是否更新此类通知和法律； |
| (d) Navigational charts: Further to the study mentioned in paragraph 37 above, the Study Group would also consider suggestions that take into account the operational considerations and circumstances as well as practices of States as far as the updating of navigational charts. | (d) 航海图：除上文第37段提及的研究外，研究组还将审议涉及各国在更新航海图方面的业务考量、情形及做法的相关建议。 |
| 295. Members of the Study Group also agreed that the Study Group might call upon scientific and technical experts to assist them in their task, on the understanding that they would do so in a selective, useful and limited manner. | 295. 研究组成员还一致认为，研究组可以请科学技术专家协助他们履行任务，但基于一项谅解，即他们将以有选择、有用和有限的方式这样做。 |
| (f) Future work of the Study Group | (f) 研究组今后的工作 |
| 296. With regard to the future programme of work, the Study Group will address issues related to statehood and to the protection of persons affected by sea-level rise, under the co-chairpersonship of Ms. Patrícia Galvão Teles and Mr. Juan José Ruda Santolaria, who will prepare a second issues paper as a basis for the discussion in the Study Group at the seventy-third session. | 296. 关于今后的工作方案，研究组将讨论与国家地位有关的问题和与保护受海平面上升影响的人有关的问题，由帕特里夏·加尔旺·特莱斯女士和胡安·何塞·鲁达·桑托拉里亚先生共同主持工作，他们将编写第二份问题文件，作为第七十三届会议期间研究组讨论的基础。 |
| The Study Group would then seek to finalize a substantive report on the topic, in the first two years of the following quinquennium, by consolidating the results of the work undertaken during the seventy-second and seventy-third sessions of the Commission. | 然后，研究组将整合委员会第七十二届会议和第七十三届会议的工作成果，争取在下一个五年期的头两年完成关于这一专题的实质性报告。 |
| Chapter X Other decisions and conclusions of the Commission | 第十章 委员会的其他决定和结论 |
| A. Special memorial meetings | A. 特别追悼会 |
| 297. On 3 September 2020, a virtual informal memorial meeting of members of the Commission was convened in honour of the memory of Judge Alexander Yankov, former Chair of the Commission and Special Rapporteur for the topic “Status of the diplomatic courier and the diplomatic bag not accompanied by diplomatic courier”. | 297. 2020年9月3日，委员会委员召开了一次在线非正式追悼会，悼念委员会前主席、“外交信使和没有外交信使护送的外交邮袋的地位”专题特别报告员亚历山大·扬科夫法官。 |
| 298. At its 3547th meeting, held on 22 July 2021, the Commission convened a memorial meeting in honour of the memory of Judge James Crawford, Special Rapporteur for the topic “Responsibility of States for internationally wrongful acts”. | 298. 在2021年7月22日举行的第3547次会议上，委员会召开了一次追悼会，悼念“国家对国际不法行为的责任”专题特别报告员詹姆斯·克劳福德法官。 |
| B. Programme, procedures and working methods of the Commission and its documentation | B. 委员会方案、程序和工作方法以及文件 |
| 299. On 29 April 2021, the Planning Group was constituted for the present session. | 299. 2021年4月29日，本届会议成立了规划组。 |
| 300. The Planning Group held five meetings on 29 April, 25 May and 9, 23 and 27 July 2021. | 300. 规划组于2021年4月29日、5月25日以及7月9日、23日和27日举行了五次会议。 |
| It had before it the topical summaries of the discussions held in the Sixth Committee of the General Assembly during its seventy-fourth (A/CN.4/734) and seventy-fifth (A/CN.4/734/Add.1) sessions, prepared by the Secretariat; | 规划组收到了秘书处编写的关于联大第七十四届(A/CN.4/734)和第七十五届(A/CN.4/734/Add.1)会议期间第六委员会讨论情况的专题摘要； |
| General Assembly resolutions 74/186 of 18 December 2019 and 75/135 of 15 December 2020, relating to the work of the Commission; | 联大关于国际法委员会工作的2019年12月18日第74/186号决议和2020年12月15日第75/135号决议； |
| and General Assembly resolutions 74/191 of 18 December 2019 and 75/141 of 15 December 2020 on the rule of law at the national and international levels. | 以及联大关于国内和国际的法治的2019年12月18日第74/191号决议和2020年12月15日第75/141号决议。 |
| 1. Working Group on the long-term programme of work | 1. 长期工作方案工作组 |
| 301. At its 1st meeting, on 29 April 2021, the Planning Group decided to reconvene the Working Group on the long-term programme of work, with Mr. Mahmoud D. Hmoud as Chair. | 301. 规划组2021年4月29日第1次会议决定再次召集长期工作方案工作组，由马哈茂德·哈穆德先生担任主席。 |
| The Chair of the Working Group presented an oral report on the work of the Working Group at the current session to the Planning Group, at its 5th meeting, on 27 July 2021. | 工作组主席在2021年7月27日第5次会议上向规划组口头汇报了工作组本届会议的工作。 |
| The Planning Group took note of the oral report. | 规划组注意到口头报告。 |
| 302. At the present session, the Commission, on the recommendation of the Working Group, decided to recommend the inclusion of the topic “Subsidiary means for the determination of rules of international law” in the long-term programme of work of the Commission. | 302. 委员会本届会议根据工作组的建议，决定建议将“确定国际法规则的辅助手段”专题纳入委员会的长期工作方案。 |
| In the selection of the topic, the Commission was guided by its recommendation at its fiftieth session (1998) regarding the criteria for the selection of the topics, namely: (a) the topic should reflect the needs of States in respect of the progressive development and codification of international law; | 在选择专题时，委员会遵循第五十届会议(1998年)关于专题选择标准的建议：(a) 专题应反映各国在逐渐发展和编纂国际法方面的需要； |
| (b) the topic should be at a sufficiently advanced stage in terms of State practice to permit progressive development and codification; | (b) 专题应在国家实践方面处于足够成熟阶段，从而允许逐渐发展和编纂； |
| and (c) the topic should be concrete and feasible for progressive development and codification. | (c) 专题应具体可行，宜于逐渐发展和编纂。 |
| The Commission further agreed that it should not restrict itself to traditional topics, but could also consider those that reflect new developments in international law and pressing concerns of the international community as a whole. | 委员会还议定，它不应局限于传统专题，也可考虑反映国际法新动态和整个国际社会紧迫关切事项的专题。 |
| The Commission considered that work on the topic would constitute a useful contribution to the progressive development of international law and its codification. | 委员会认为，关于这一专题的工作可对国际法的逐渐发展和编纂作出有益贡献。 |
| The syllabus of the topic selected appears as an annex to the present report. | 所选择的专题的大纲载于本报告附件。 |
| 2. Working Group on methods of work of the Commission | 2. 委员会工作方法工作组 |
| 303. At its 1st meeting, on 29 April 2021, the Planning Group decided to re-establish the Working Group on methods of work of the Commission, with Mr. Hussein A. Hassouna as Chair. | 303. 规划组2021年4月29日第1次会议决定重新设立委员会工作方法工作组，由侯赛因·哈苏纳先生担任主席。 |
| The Chair of the Working Group presented an oral report on the work of the Working Group at the current session to the Planning Group, at its 4th meeting, on 23 July 2021. | 工作组主席在2021年7月23日第4次会议上向规划组口头汇报了工作组本届会议的工作。 |
| The Planning Group took note of the oral report. | 规划组注意到口头报告。 |
| 3. Consideration of General Assembly resolutions 74/191 of 18 December 2019 and 75/141 of 15 December 2020 on the rule of law at the national and international levels | 3. 审议联大关于国内和国际的法治的2019年12月18日第74/191号决议和2020年12月15日第75/141号决议 |
| 304. The General Assembly, in resolutions 74/191 of 18 December 2019 and 75/141 of 15 December 2020 on the rule of law at the national and international levels, inter alia, reiterated its invitation to the Commission to comment, in its report to the General Assembly, on its current role in promoting the rule of law. | 304. 联大在关于国内和国际的法治的2019年12月18日第74/191号决议和2020年12月15日第75/141号决议中特别重申，邀请委员会在提交联大的报告中就委员会目前在促进法治方面发挥的作用发表评论。 |
| Since its sixtieth session (2008), the Commission has commented at each of its sessions on its role in promoting the rule of law. | 委员会自第六十届会议(2008年)以来，每年就其在促进法治方面的作用发表了评论。 |
| The Commission notes that the comments contained in paragraphs 341 to 346 of its 2008 report remain relevant and reiterates the comments made at its previous sessions. | 委员会指出，2008年报告 第341至第346段所载评论依然适用，并重申了在历届会议发表的评论。 |
| 305. The Commission recalls that the rule of law is of the essence of its work. | 305. 委员会回顾说，法治是其工作的精髓。 |
| The Commission’s purpose, as set out in article 1 of its statute, is to promote the progressive development of international law and its codification. | 委员会的宗旨一如其《章程》第1条所申明的，是促进国际法的逐渐发展和编纂。 |
| 306. Having in mind the principle of the rule of law in all its work, the Commission is fully conscious of the importance of the implementation of international law at the national level, and aims at promoting respect for the rule of law at the international level. | 306. 委员会在所有工作中都铭记法治原则，充分意识到在国家层面实施国际法的重要性，并以在国际上促进尊重法治为目标。 |
| 307. In fulfilling its mandate concerning the progressive development of international law and its codification, the Commission will continue to take into account, where appropriate, the rule of law as a principle of governance and the human rights that are fundamental to the rule of law, as reflected in the preamble and in Article 13 of the Charter of the United Nations and in the Declaration of the high-level meeting of the General Assembly on the rule of law at the national and international levels. | 307. 委员会在履行逐渐发展和编纂国际法的任务过程中，将继续视情况将法治作为一项治理原则加以考虑，而人权又是法治的基石，《联合国宪章》的序言和第十三条及《国内和国际的法治问题大会高级别会议宣言》都揭示了这一点。 |
| 308. In its current work, the Commission is aware of “the interrelationship between the rule of law and the three pillars of the United Nations (peace and security, development, and human rights)”, without emphasizing one at the expense of the other. | 308. 委员会在当前工作中，意识到“法治与联合国三大支柱(和平与安全、发展、人权)之间相互关系”， 不会顾此失彼。 |
| In this context, the Commission is cognizant that the 2030 Agenda for Sustainable Development recognizes the need for an effective rule of law and good governance at all levels. | 因此，委员会深知，《2030年可持续发展议程》确认需要在各级实行有效的法治和良政。 |
| 309. In fulfilling its mandate concerning the progressive development and codification of international law, the Commission is conscious of current challenges for the rule of law. | 309. 委员会在履行关于国际法的逐渐发展和编纂任务时，认识到法治目前面临的挑战。 |
| Recalling that the General Assembly has stressed the importance of promoting the sharing of national best practices on the rule of law, the Commission wishes to recall that much of its work consists of collecting and analysing national practices related to the rule of law with a view to assessing their possible contribution to the progressive development and codification of international law. | 鉴于联大强调必须促进分享各国在法治方面的最佳做法， 委员会谨回顾指出，其大部分工作就是收集和分析各国与法治有关的实践，以评估这些实践对国际法的逐渐发展和编纂可能作出的贡献。 |
| 310. Bearing in mind the role of multilateral treaty processes in advancing the rule of law, the Commission recalls that the work of the Commission on different topics has led to several multilateral treaty processes and to the adoption of a number of multilateral treaties. | 310. 委员会铭记多边条约进程对推进法治的作用， 回顾委员会围绕不同专题开展的工作已经促成了若干多边条约进程，使一些多边条约得以通过。 |
| 311. In the course of the present session, which followed a postponement of its session in 2020 due to the COVID-19 pandemic, the Commission has continued to make its contribution to the promotion of the rule of law, including by working on the topics in its current programme of work, “Protection of the atmosphere” (adopted on second reading at the current session), “Provisional application of treaties” (adopted on second reading at the current session), “Immunity of State officials from foreign criminal jurisdiction”, “Sea-level rise in relation to international law”, “Succession of States in respect of State responsibility”, and “General principles of law”. | 311. 由于COVID-19大流行，委员会推迟了2020年届会。 在本届会议期间，委员会继续为促进法治作出贡献，包括就其目前工作方案内的专题开展工作，这些专题包括“保护大气层”(本届会议二读通过)、“条约的暂时适用”(本届会议二读通过)、“国家官员的外国刑事管辖豁免”、“与国际法有关的海平面上升”、“国家责任方面的国家继承”和“一般法律原则”。 |
| 312. The Commission reiterates its commitment to the promotion of the rule of law in all of its activities. | 312. 委员会重申在其所有活动中致力于促进法治。 |
| 4. Hybrid format of the International Law Commission at the present session | 4. 国际法委员会本届会议的混合形式 |
| 313. The Commission expresses its appreciation to the bureaux of its seventy-first and seventy-second sessions, together with the Secretariat, for the organizational arrangements put in place that allowed the Commission to be convened at its seventy-second session, in 2021, in a hybrid format. | 313. 委员会感谢第七十一届和第七十二届会议主席团和秘书处做出的组织安排，使委员会能够在2021年第七十二届会议上召开混合形式会议。 |
| The hybrid format enabled members to participate either in person at the Palais des Nations or online through a platform (Zoom) with remote simultaneous interpretation into all official languages of the United Nations. | 混合形式使委员能够选择在万国宫现场参加会议，或通过配有联合国所有正式语文远程同声传译的在线平台(Zoom)参加会议。 |
| The Commission also expresses its appreciation to the Government of Switzerland, the host of the Commission, for taking the necessary measures that allowed the convening of the hybrid session and facilitated travel to Geneva for members who attended the session in person and the staff of the Secretariat. | 委员会还感谢委员会东道国瑞士政府采取了必要措施，使混合形式会议得以召开，并为现场参加会议的委员和秘书处工作人员前往日内瓦提供便利。 |
| The Commission notes that the convening of the session in the hybrid format and the functionality of the online platform used (Zoom) were crucial to the successful outcome of the session. | 委员会指出，以混合形式召开会议和所使用的在线平台(Zoom)的功能对会议的成功至关重要。 |
| The session of the Commission would have been impossible without the presence of some members and the staff of the Secretariat in Geneva. | 如果没有一些委员和秘书处的工作人员在日内瓦开会时在场，委员会届会是不可能举行的。 |
| Their presence allowed for the smooth functioning of the Commission, whose work could otherwise have been adversely affected. | 他们在场使委员会能够顺利运作，否则委员会的工作可能会受到不利影响。 |
| 314. The Commission also notes that the session was held in accordance with the health regulations and COVID-19 mitigation measures in place at the United Nations Office in Geneva. | 314. 委员会还指出，本届会议遵循联合国日内瓦办事处现有的卫生条例和COVID-19风险减轻措施。 |
| This meant, for example, that the staff of the Secretariat were not permitted to distribute any paper copies of documentation. | 这意味着不允许秘书处工作人员分发任何纸质文件副本。 |
| Documents required for participation in the meetings of the Commission were made available online through a dedicated drive set up by the Secretariat and through other electronic means. | 参加委员会会议所需的文件通过秘书处设立的专用网盘和其他电子手段在线提供。 |
| 315. The Commission acknowledges the extraordinary efforts made to ensure the smooth conduct of the Commission’s deliberations, which enabled the Commission to complete its session. | 315. 委员会感谢为确保委员会顺利进行审议所做的非凡努力，使委员会能够完成届会。 |
| However, the Commission wishes to note that the normal work of the Commission was disrupted significantly despite every effort and measures taken to ameliorate the issues. | 但是，委员会谨指出，尽管采取了一切努力和措施来改善各种问题，委员会的正常工作还是受到了严重干扰。 |
| A variety of challenges were encountered, particularly during the first segment, including: (a) reduced hours of operation, especially for decision-making and negotiation, because of members being in different time zones; | 特别是在第一期会议期间，遇到各种困难，包括：(a) 由于委员们位于不同时区，会议时间缩短，特别是决策和谈判的时间缩短； |
| under the special conditions for the organization of the session, interpretation was assured for shorter periods than the usual three hours, thereby allowing the Commission to meet for fewer hours a day than the usual six; | 在组织会议的特殊条件下，保证为会议提供口译的时间短于通常的三个小时，从而导致委员会每天会议时间缩短，而不是通常的六个小时； |
| and, moreover, there was insufficient flexibility, as the meeting time not spent in plenary could not, under the circumstances, be used by the Drafting Committee, as would ordinarily have been the case, even though the members of the Commission did make use of that time for informal consultations; | 此外，灵活性不足，因为在这种情况下，全体会议未用完的会议时间不能像通常那样由起草委员会使用，尽管委员会委员们确实将这些时间用在了非正式磋商； |
| (b) members of the Commission having to work in different time zones meant a lot of adjustments to their work schedule, creating fatigue and additional stresses, particularly for those members who were continuously online either very early in the morning or very late at night; | (b) 委员会委员不得不在不同的时区工作，这意味着他们要对工作时间表进行大量调整，造成疲倦和额外的压力，特别是对那些清晨或深夜持续在线的委员而言； |
| (c) given that collegiality is central to the functioning of the Commission and even though an attempt was made to ensure equality of members and to level the playing field, the impact was more glaring in the Drafting Committee, whose ability to work in the usual manner, including through informal contacts and exchanges, was affected; | (c) 鉴于合议精神是委员会运作的核心，尽管曾试图确保委员平等并保持公平，但起草委员会受到的影响较为明显，因为它以正常方式开展工作的能力受到了影响，包括通过非正式接触和交流开展工作的能力； |
| (d) it was challenging to engage in detailed drafting in a virtual setting and this was not helped by the restriction on the circulation of paper copies of documents; | (d) 在虚拟环境中进行详细的起草工作具有挑战性，而限制纸质文件副本的分发对这项工作无益； |
| (e) there were occasions during which Internet connectivity problems were encountered, sound was poor because of the equipment used, such that it was hard to understand what was being said and interpretation was rendered impossible; | (e) 有时会遇到互联网连接问题，所使用的设备音效不佳，因而很难理解发言人说的话，无法进行口译； |
| (f) access to Library facilities for members participating online proved to be a challenge, despite the improved availability of online resources and the bibliographical packages for members made available by the United Nations Library at Geneva; | (f) 尽管联合国日内瓦图书馆为委员们提供了更多的在线资源和书目资料包，但实践证明，对在线与会的委员们而言，使用图书馆设施是一项挑战； |
| (g) the absence of the members’ assistants from the Palais des Nations and from Geneva reduced the ability of members to involve them in their work, to the disadvantage of both; | (g) 委员们的助理不在万国宫、不在日内瓦，不利于委员们让助理参与工作，对双方都不利； |
| and (h) for the second year running, the International Law Seminar could not take place, which meant the loss of valuable interaction between members of the Commission and Seminar participants, who are usually young jurists and professors, specializing in international law, or government officials pursuing an academic or diplomatic career in posts in the civil service of their respective countries. | (h) 国际法讲习班连续第二年无法举行，委员会委员和讲习班参与者之间失去了宝贵的互动机会，这些参与者通常是专门研究国际法的年轻法学家和教授或在各自国家的公务员系统中从事学术或外交工作的政府官员。 |
| Some of these challenges were to a slight extent overcome during the second part of the session; | 第二期会议在一定程度上克服了其中一些困难； |
| for example, there was flexibility in the working hours, more members attended in person and assistants were also able to attend in person. | 例如，工作时间有弹性，有更多委员亲自出席，助理也可以亲自出席。 |
| 316. Overall, the capacity of the Commission was reduced and, above all, the detailed negotiation of texts was rendered difficult. | 316. 总体而言，委员会的能力受到削弱，最关键的是，关于案文细节的谈判变得困难。 |
| The Commission nevertheless notes that the convening of the session was worthwhile and that some lessons may be learned that could be useful for adapting the working methods of the Commission. | 然而，规划组指出，召开本届会议是值得的，可以吸取一些经验教训，有助于调整委员会的工作方法。 |
| 5. Honoraria | 5. 酬金 |
| 317. The Commission reiterates its views concerning the question of honoraria, resulting from the adoption by the General Assembly of its resolution 56/272 of 27 March 2002, which have been expressed in the previous reports of the Commission. | 317. 委员会重申对联大通过2002年3月27日第56/272号决议所引起的酬金问题的意见，委员会以前的报告已表明了这些意见。 |
| The Commission emphasizes that resolution 56/272 especially affects Special Rapporteurs, as it compromises support for their research. | 委员会强调，第56/272号决议尤其影响到特别报告员，因为该决议缩减了对他们研究工作的支持。 |
| 6. Documentation and publications | 6. 文件和出版物 |
| 318. The Commission underscored once more the unique nature of its functioning in the progressive development of international law and its codification, in that it attaches particular relevance to State practice and the decisions of national and international courts in its treatment of questions of international law. | 318. 委员会再次强调，委员会在国际法的逐渐发展和编纂方面的工作具有独特性，因为委员会在处理国际法问题时，认为国家实践及国家法院和国际性法院的裁决尤为重要。 |
| The Commission reiterated the importance of providing and making available all evidence of State practice and other sources of international law relevant to the performance of the function of the Commission. | 委员会重申，必须提供并开放一切与委员会履行职能有关的国家实践和其他国际法渊源的证据。 |
| The reports of its Special Rapporteurs require an adequate presentation of precedents and other relevant data, including treaties, judicial decisions and doctrine, and a thorough analysis of the questions under consideration. | 特别报告员的报告需要充分介绍判例和其他有关资料，包括条约、司法裁决和理论学说，并对审议的问题展开透彻分析。 |
| The Commission stresses that it and its Special Rapporteurs are fully conscious of the need to achieve economies whenever possible in the overall volume of documentation and will continue to bear such considerations in mind. | 委员会强调，委员会及其特别报告员都充分意识到，有必要尽可能缩减文件总量，并将继续铭记这类考虑因素。 |
| While the Commission is aware of the advantages of being as concise as possible, it reiterates its strong belief that an a priori limitation cannot be placed on the length of the documentation and research projects relating to the work of the Commission. | 尽管委员会意识到尽可能简洁的好处，但仍重申，委员会坚信，不应预先限定与委员会工作有关的文件和研究项目的篇幅。 |
| It follows that Special Rapporteurs cannot be asked to reduce the length of their report following submission to the Secretariat, irrespective of any estimates of their length made in advance of submission by the Secretariat. | 委员会还指出，无论秘书处在报告提交之前所作的篇幅预估如何，都不能要求特别报告员在报告提交秘书处后缩短篇幅。 |
| Word limits are not applicable to Commission documentation, as has been consistently reiterated by the General Assembly. | 联大已一再重申，字数限制的规定不适用于国际法委员会的文件。 |
| The Commission stresses also the importance of the timely preparation of reports by Special Rapporteurs and their submission to the Secretariat for processing and submission to the Commission sufficiently in advance so that the reports are issued in all official languages ideally four weeks before the start of the relevant part of the session of the Commission. | 委员会还强调，特别报告员必须及时编写报告，并充分提前提交秘书处，供其处理并提交委员会，以便最好在委员会届会有关部分开始之前四周以所有正式语文印发报告。 |
| In this respect, the Commission reiterated its request that: (a) Special Rapporteurs submit their reports within the time limits specified by the Secretariat; | 在这方面，委员会重申其要求：(a) 特别报告员应在秘书处规定的时限内提交报告； |
| and (b) the Secretariat continue to ensure that official documents of the Commission are published in due time in the six official languages of the United Nations. | (b) 秘书处应继续确保按时以联合国的六种正式语文印发委员会的正式文件。 |
| 319. The Commission reiterated its firm view that the summary records of the Commission, constituting crucial travaux préparatoires in the progressive development and codification of international law, cannot be subject to arbitrary length restrictions. | 319. 委员会重申，委员会坚定地认为其简要记录是国际法逐渐发展和编纂过程中的重要准备工作，不能受到任意的篇幅限制。 |
| The Commission once more noted with satisfaction that the measures introduced at its sixty-fifth session (2013) to streamline the processing of its summary records had resulted in the more expeditious transmission to members of the Commission of the English version for timely correction and prompt release. | 委员会再次满意地指出，第六十五届会议(2013年)实行的简化简要记录处理程序的措施，加快了向委员会委员传送英文本和法文本的速度，方便及时改错和迅速印发。 |
| The Commission once more called on the Secretariat to resume the practice of preparing provisional summary records in both English and French, and to continue its efforts to sustain the measures in question, in order to ensure the expeditious transmission of the provisional records to members of the Commission. | 委员会再次吁请秘书处恢复以英文和法文编写简要记录的做法，并继续努力保持有关措施，以确保向委员会委员迅速传送临时记录。 |
| The Commission further noted that the more recent practice of submitting the provisional records electronically for changes to be made in track changes was working smoothly. | 委员会还指出，最近提交电子版临时记录、以显示修改的方式进行修改的做法进展顺利。 |
| The Commission also welcomed the fact that those working methods had led to the more rational use of resources and called on the Secretariat to continue its efforts to facilitate the preparation of the definitive records in all official languages, without compromising their integrity. | 委员会还欢迎这些工作方法使资源得到了更合理的利用，并吁请秘书处继续努力，便利以所有正式语文编写简要记录定本，同时不影响其完整性。 |
| 320. The Commission expressed its gratitude to all Services involved in the processing of documentation, both in Geneva and in New York, for their efforts in seeking to ensure timely and efficient processing of the Commission’s documents, often under narrow time constraints. | 320. 委员会感谢日内瓦和纽约参与文件处理的所有部门努力确保及时、高效地处理委员会文件，而且经常在时间紧迫的情况下完成工作。 |
| It emphasized that timely and efficient processing of documentation was essential for the smooth conduct of the Commission’s work. | 委员会强调，及时、高效地处理文件对委员会顺利开展工作至为重要。 |
| The work done by all Services was all the more appreciated under the current conditions. | 在目前情况下，所有部门所做的工作都更加值得赞赏。 |
| 321. The Commission reaffirmed its commitment to multilingualism and recalls the paramount importance to be given in its work to the equality of the six official languages of the United Nations, which had been emphasized in General Assembly resolutions 69/324 of 11 September 2015 and 73/346 of 16 September 2019. | 321. 委员会重申对使用多种语文的承诺，并回顾应在工作中高度重视联大2015年9月11日第69/324号决议和2019年9月16日第73/346号决议所强调的联合国六种正式语文地位平等。 |
| 322. The Commission once again expressed its warm appreciation to the United Nations Library at Geneva, which continued to assist members of the Commission very efficiently and competently. | 322. 委员会再次感谢联合国日内瓦办事处图书馆继续十分高效、称职地向委员会委员提供协助。 |
| It welcomed the bibliographic package that the Library prepared for the Commission. | 委员会欢迎图书馆为委员会准备的书目资料包。 |
| The Commission also wished to note that the Library continued to provide valuable services even under the limitations imposed by the COVID-19 pandemic at the present session. | 委员会还指出，在本届会议期间，即使受COVID-19大流行的限制，图书馆仍继续提供有价值的服务。 |
| 7. Yearbook of the International Law Commission | 7. 《国际法委员会年鉴》 |
| 323. The Commission reiterated that the Yearbook of the International Law Commission was critical to the understanding of the Commission’s work in the progressive development of international law and its codification, as well as in the strengthening of the rule of law in international relations. | 323. 委员会重申，《国际法委员会年鉴》对于了解委员会在国际法的逐渐发展和编纂，以及在国际关系中加强法治方面的工作具有关键意义。 |
| The Commission took note that the General Assembly, in its resolutions 74/186 and 75/135, expressed its appreciation to Governments that had made voluntary contributions to the trust fund on the backlog relating to the Yearbook, and encouraged further contributions to the trust fund. | 委员会注意到，联大在第74/186号决议和第75/135号决议中表示赞赏有关国家政府为帮助解决《年鉴》工作积压问题的信托基金提供自愿捐款，并鼓励各方进一步为该信托基金捐款。 |
| 324. The Commission recommends that the General Assembly, as in its resolutions 74/186 and 75/135, express its satisfaction with the remarkable progress achieved in the past few years in catching up with the backlog of the Yearbook in all six languages, and welcome the efforts made by the Division of Conference Management of the United Nations Office at Geneva, especially its Editing Section, in effectively implementing relevant resolutions of the General Assembly calling for the reduction of the backlog; | 324. 委员会建议联大如在第74/186号决议和第75/135号决议中那样，对过去几年在减少所有六种语文版《年鉴》积压方面取得的显著进展表示满意，并欢迎联合国日内瓦办事处会议管理司，特别是其编辑科作出努力，切实执行联大要求减少文件积压的有关决议； |
| and encourage the Division of Conference Management to continue providing all necessary support to the Editing Section in advancing work on the Yearbook. | 鼓励会议管理司继续向编辑科提供一切必要支持，推动《年鉴》的相关工作。 |
| 8. Assistance of the Codification Division | 8. 编纂司的协助 |
| 325. The Commission expressed its appreciation for the invaluable assistance of the Codification Division of the Secretariat in its substantive servicing of the Commission and the ongoing assistance provided to Special Rapporteurs and the preparation of in-depth research studies pertaining to aspects of topics presently under consideration, as requested by the Commission. | 325. 委员会感谢秘书处编纂司在向委员会提供实质性服务方面提供宝贵协助，以及一直向特别报告员提供协助，并应委员会的要求就目前审议的专题的各方面编写深入的研究报告。 |
| In particular, the Commission expressed its appreciation to the Secretariat for its efforts in 2020 and 2021, which enabled the Commission to meet informally and formally even against the backdrop of the COVID-19 pandemic. | 委员会特别感谢秘书处在2020年和2021年所作的努力，使委员会能够在COVID-19大流行背景下举行非正式和正式会议。 |
| 9. Websites | 9. 网站 |
| 326. The Commission expressed its deep appreciation to the Secretariat for the website on the work of the Commission, and welcomed its continuous updating and improvement. | 326. 委员会对秘书处维护关于委员会工作的网站深表感谢，并欢迎不断更新和完善该网站。 |
| The Commission reiterated that the website and other websites maintained by the Codification Division constituted an invaluable resource for the Commission and for researchers of the work of the Commission in the wider community, thereby contributing to the overall strengthening of the teaching, study, dissemination and wider appreciation of international law. | 委员会重申，这个网站以及由编纂司维护的其他网站 是委员会和广大社会中研究委员会工作的学者的宝贵资源，有助于全面加强国际法的教学、研究、传播以及对国际法的更广泛理解。 |
| The Commission welcomed the fact that the website on the work of the Commission included information on the current status of the topics on the agenda of the Commission, as well as links to the advance edited versions of the summary records of the Commission and the audio and video recording of the plenary meetings of the Commission. | 委员会欣见关于委员会工作的网站还介绍了委员会议程上各个专题的现状，并收录了委员会简要记录的预先编辑版和委员会全体会议录音的链接。 |
| 10. United Nations Audiovisual Library of International Law | 10. 联合国国际法视听图书馆 |
| 327. The Commission once more noted with appreciation the extraordinary value of the United Nations Audiovisual Library of International Law in promoting a better knowledge of international law and the work of the United Nations in the field, including the work of the Commission. | 327. 委员会再次赞赏地指出，联合国国际法视听图书馆 对于增进对国际法和联合国在该领域的工作(包括委员会的工作)的了解，意义非凡。 |
| C. Date and place of the seventy-third session of the Commission | C. 委员会第七十三届会议的日期和地点 |
| 328. The Commission decided that its seventy-third session would be held in Geneva from 18 April to 3 June and from 4 July to 5 August 2022. | 328. 委员会决定其第七十三届会议将于2022年4月18日至6月3日和7月4日至8月5日在日内瓦举行。 |
| D. Budgetary resources concerning the convening of future sessions of the International Law Commission | D. 国际法委员会召开未来届会的预算资源 |
| 329. The Commission stresses the importance of ensuring that the necessary budgetary resources are provided for all of its members to be able to attend the annual session, and for attendance by the full substantive Secretariat team that is necessary for the Commission’s effective functioning. | 329. 委员会强调，必须确保为其所有委员提供必要的预算资源，使他们能够出席年度届会，并确保委员会有效运作所需的秘书处全部实务人员参加会议。 |
| The Commission is concerned that budgetary constraints in recent years have reduced the budgeted amounts to below these levels. | 委员会表示关切的是，近年来的预算限制已使预算金额降至此水平以下。 |
| Given its function in the progressive development of international law, and its codification, the Commission considers it essential that all of its members are able to attend its meetings, as this ensures the representation of the main forms of civilization and of the principal legal systems of the world in the Commission as a whole. | 鉴于委员会在国际法逐渐发展和编纂方面的作用，委员会认为所有委员都能出席其会议是至关重要的，因为这能确保世界主要文明形式和主要法律制度在整个委员会中的代表性。 |
| The Commission has on numerous occasions reiterated its views concerning the question of honoraria, as well as the extent to which the research of Special Rapporteurs is affected by lack of resources. | 委员会曾多次重申其对酬金问题的看法，以及特别报告员的研究因资源缺乏而受影响的程度。 |
| It stresses the importance of ensuring that the necessary budgetary resources are allocated for the functioning of the Commission and its Secretariat, including the need for Special Rapporteurs (particularly those from developing regions) to obtain the necessary assistance to undertake the research required for the preparation of their reports. | 委员会强调必须确保为委员会及其秘书处的运作分配必要的预算资源，包括特别报告员(特别是来自发展中区域的特别报告员)需要获得必要的协助，以便开展编写报告所需的研究工作。 |
| The Commission welcomes all efforts made under the relevant programme budget to address these concerns. | 委员会欢迎在有关方案预算下为解决这些问题所作的一切努力。 |
| The Commission proposes that consideration be given to the establishment of a trust fund to support the Special Rapporteurs and to address any budgetary shortfalls in provision for full attendance of its Secretariat. | 委员会建议考虑设立一个信托基金，以支持特别报告员的工作，并解决其秘书处人员充分参与所需经费方面的任何预算短缺问题。 |
| E. Cooperation with other bodies | E. 与其他机构的合作 |
| 330. At the 3548th meeting, on 22 July 2021, Judge Joan E. Donoghue, President of the International Court of Justice, addressed the Commission and briefed it on the recent judicial activities of the Court. | 330. 国际法院院长琼·多诺霍法官在委员会2021年7月22日第3548次会议上发言，通报了国际法院最近的司法活动。 |
| An exchange of views followed. | 随后交换了意见。 |
| 331. In view of the limited arrangements available due to the COVID-19 pandemic, the Commission was regrettably unable to have an exchange of views with the African Union Commission on International Law, the Asian-African Legal Consultative Organization, the Committee of Legal Advisers on Public International Law of the Council of Europe or the Inter-American Juridical Committee. | 331. 鉴于COVID-19大流行导致现有安排有限，委员会很遗憾无法与非洲联盟国际法委员会、亚非法律协商组织、欧洲委员会国际公法法律顾问委员会和美洲法律委员会交换意见。 |
| The Commission continues to value its cooperation with such bodies and expresses the hope that the exchanges of views can be organized at future sessions. | 委员会继续重视与这些机构的合作，并表示希望能够在今后的届会上组织意见交流。 |
| 332. On 15 July 2021, an informal exchange of views was held between members of the Commission and the International Committee of the Red Cross (ICRC) on topics of mutual interest. | 332. 2021年7月15日，委员会委员与红十字国际委员会(红十字会)就共同关心的问题非正式地交换了意见。 |
| Welcoming remarks were made by Mr. Gilles Carbonnier, Vice-President, ICRC and opening remarks by Ms. Cordula Droege, Chief Legal Officer, Head of the Legal Division, ICRC, and Mr. Dire D. Tladi, First Vice-Chair of the Commission. | 红十字会副主席吉勒·卡尔博尼耶先生致欢迎辞，红十字会首席法务官兼法律司司长科尔杜拉·德勒格女士和委员会第一副主席迪雷·特拉迪先生致开幕词。 |
| Presentations were made on the topics, “ICRC position on autonomous weapon systems”, by Mr. Neil Davison, Scientific and Policy Adviser, ICRC, and “Sea-level rise in relation to international law”, by Ms. Patrícia Galvão Teles and Ms. Nilüfer Oral, Co-Chairs of the Study Group of the Commission on the topic. | 红十字会科学和政策顾问尼尔·戴维森先生就“红十字会对自主武器系统的立场”这一专题作了发言，委员会“与国际法有关的海平面上升”专题研究组共同主席帕特里夏·加尔旺·特莱斯女士和尼吕费尔·奥拉尔女士就该专题作了发言。 |
| There was also a discussion moderated by Ms. Helen Durham, Director, International Law and Policy Department, ICRC, on “The protection of the environment in armed conflict” between Ms. Marja Lehto, Special Rapporteur on the topic “Protection of the environment in relation to armed conflicts” and Ms. Helen Obregón Gieseken, Legal Adviser, ICRC. | 红十字会国际法与政策部主任海伦·达勒姆女士还主持了与武装冲突有关的环境保护专题特别报告员玛丽亚·莱赫托女士与红十字委员会法律顾问海伦·奥布雷贡·吉塞肯女士之间关于“武装冲突中的环境保护”的讨论。 |
| Concluding remarks were made by Ms. Durham. | 达勒姆女士作了总结发言。 |
| F. Representation at the seventy-sixth session of the General Assembly | F. 出席联大第七十六届会议的代表 |
| 333. The Commission decided that it should be represented at the seventy-sixth session of the General Assembly by its Chair, Mr. Mahmoud D. Hmoud. | 333. 委员会决定由主席马哈茂德·哈穆德先生代表委员会出席联大第七十六届会议。 |
| G. International Law Seminar | G. 国际法讲习班 |
| 334. The Commission stresses the importance it attaches to the International Law Seminar, which enables young lawyers, especially those from developing countries, to familiarize themselves with the work of the Commission and the activities of the many international organizations based in Geneva. | 334. 委员会强调它对国际法讲习班的重视，讲习班使年轻法律工作者，特别是发展中国家的年轻法律工作者，能够熟悉委员会的工作和设在日内瓦的众多国际组织的活动。 |
| Owing to the COVID-19 pandemic, the Seminar was not convened in 2020 or 2021. | 由于COVID-19大流行，2020年和2021年都没有举行讲习班。 |
| The Commission expresses the hope that the Seminar will be convened in 2022. | 委员会表示希望能在2022年举行讲习班。 |
| 335. The Commission is grateful to those States that have continued to make voluntary contributions to the United Nations Trust Fund for the International Law Seminar and recommends that the General Assembly should again appeal to States to make voluntary contributions in order to secure the organization of the Seminar in 2022 with as broad participation as possible, and an adequate geographical distribution. A/76/10 | 335. 委员会感谢那些继续向联合国国际法讲习班信托基金提供自愿捐款的国家，并建议联大再次呼吁各国提供自愿捐款，以确保能在2022年举办讲习班，实现尽可能广泛的参与和适当的地域分配。 |
| A/76/10 GE.21-11083 | GE.21-11083 |
| GE.21-11083 | 附件 |
| Annex Subsidiary means for the determination of rules of international law by Charles C. Jalloh | 确定国际法规则的辅助手段 查尔斯·贾洛编写 |
| I. Introduction | 一. 导言 |
| 1. The International Court of Justice (“ICJ”/“the Court”), whose function is to decide in accordance with international law such disputes as are submitted to it by States, is required to apply Article 38 (1) of the Statute of the International Court of Justice. | 1. 国际法院的职能是按照国际法裁决各国提交给它的争端，它必须适用《国际法院规约》第三十八条第一款。 |
| Though formally only directed to the ICJ judges, the provision is widely considered one of the most, if not the most, authoritative statement of the sources of international law. | 这一款规定虽然在形式上只是对国际法院法官作出的，但被普遍认为是关于国际法渊源的最权威的表述之一，如果不是唯一最权威的表述的话。 |
| Article 38(1) provides, in relevant part, that the Court in resolving disputes submitted to it shall apply: | 第三十八条第一款在相关部分里规定，法院在解决提交给它的争端时应适用： |
| (a) international conventions, whether general or particular, establishing rules expressly recognized by the contesting states; | (子) 不论普通或特别国际协约，确立诉讼当事国明白承认之规条者。 |
| (b) international custom, as evidence of a general practice accepted as law; | (丑) 国际习惯，作为通例之证明而经接受为法律者。 |
| (c) the general principles of law recognized by civilized nations; | (寅) 一般法律原则为文明各国所承认者。 |
| (d) subject to the provisions of Article 59, judicial decisions and the teachings of the most highly qualified publicists of the various nations, as subsidiary means for the determination of rules of law. | (卯) 在第五十九条规定之下，司法判例及各国权威最高之公法学家学说，作为确定法律原则之补助资料者。 |
| [Emphasis added]. | [强调是后加的]。 |
| 2. Unsurprisingly, given the centrality of sources to the international legal system, the International Law Commission (“the Commission”) has devoted significant time to studying the sources identified in Article 38 (1) of the ICJ Statute, namely international conventions, and more recently, international custom as well as general principles of law. | 2. 不令人意外的是，鉴于渊源问题在国际法律体系的中心地位，国际法委员会(“委员会”)花了大量时间研究《国际法院规约》第三十八条第一款所列的渊源，即国际公约和(近些时候)国际习惯以及一般法律原则。 |
| Indeed, arguably forming the Commission’s most important contribution to date has been its work on the law of treaties which culminated into the 1969 Vienna Convention on the Law of Treaties but also continued afterwards. | 实际上可以说，委员会迄今为止最重要的贡献是它在条约法方面所做的工作，这些工作最终形成了1969年的《维也纳条约法公约》， 但这项工作后来仍继续进行。 |
| The Commission’s initial work on the law of treaties has subsequently given risen to increasingly more specialized Commission studies on the same subject. | 委员会关于条约法的初步工作后来引发委员会对同一主题进行越来越专门的研究。 |
| These include on the question of treaties concluded between States and international organizations or between two or more international organizations, reservations to treaties, the effects of armed conflict on treaties, unilateral acts of States, subsequent agreements and subsequent practice in relation to the interpretation of treaties, provisional application of treaties, and peremptory norms of general international law (jus cogens). | 这些研究的题目包括：国家和国际组织间或两个或两个以上国际组织相互间缔结的条约问题、 对条约的保留、 武装冲突对条约的影响、 国家的单方面行为、 与条约解释相关的嗣后协定和嗣后实践、 条约的暂时适用 以及一般国际法的强制性规范(强行法)。 |
| 3. With regard to Article 38, paragraph 1(b) of the ICJ Statute, which refers to international custom as evidence of a general practice accepted as law, the Commission took the topic “Formation and evidence of customary international law” into the programme of work at its sixty-fourth session (2012) though the title was later amended to “Identification of customary international law” during the sixty-fifth session (2013). | 3. 关于《国际法院规约》第三十八条第一款(丑)项，其中提到国际习惯是公认为法律的一般惯例的证据，委员会曾在第六十四届会议(2012年)上将“习惯国际法的形成和证据”专题纳入其第六十四届会议(2012年)的工作方案，但后来在第六十五届会议(2013年)上将标题改为“习惯国际法的识别”。 |
| At its seventieth session (2018), the Commission adopted a set of draft conclusions on the identification of customary international law, on second reading, with commentaries and forwarded them with a final recommendation pursuant to article 23 of the Statute of the Commission. | 委员会第七十届会议(2018年)二读通过了一套附有评注的关于习惯国际法的识别的结论草案，并根据《委员会章程》第二十三条转交给联大并提出了最后建议。 |
| The General Assembly, at its seventy-third session (2018), welcomed the completion of the work on the topic and took note of the draft conclusions on the identification of customary international law which were annexed to its resolution. | 联大第七十三届会议(2018年)欢迎这一专题工作的完成，并注意到其决议所附的关于习惯国际法的识别的结论草案。 |
| It commended them to States and encouraged their wider dissemination. | 联大向各国推荐这些结论，并鼓励广泛传播。 |
| 4. Continuing with its efforts to clarify the foundational sources of international law, during its seventieth session (2018), the Commission decided to add the topic “General principles of law” to its current programme of work and appointed a special rapporteur. | 4. 在第七十届会议(2018年)期间，委员会继续努力澄清国际法的基本渊源，决定将“一般法律原则”专题列入其当前工作方案，并任命了一名特别报告员。 |
| General principles of law have given rise to several questions in practice, and of course, are also a source of law in Article 38(1)(c) of the ICJ Statute. | 一般法律原则在实践中引起了几个问题，当然，也是第三十八条第一款(寅)项提及的法律渊源。 |
| During its seventy-first session (2019), the Special Rapporteur on the topic of general principles of law presented his first report to the Commission, and in 2020, the second report. | 在第七十一届会议(2019年)期间，一般法律原则专题特别报告员向委员会提交了第一份报告，并于2020年提交了第二份报告。 |
| Due to the COVID-19 global pandemic, however, the session was exceptionally postponed by a year. | 然而由于新冠肺炎全球大流行，会议破例推迟了一年。 |
| The debate on the latter report could therefore only take place during the seventy-second session in 2021. | 因此，关于后一份报告的辩论只能在2021年第七十二届会议期间进行。 |
| 5. The Commission’s focus on the elucidation of the sources of international law appears to have been well received by States and the international legal community. | 5. 委员会对阐明国际法渊源的重视似受到了各国和国际法律界的欢迎。 |
| To date, it has completed studies aimed at clarifying treaties and customary law. | 迄今为止，它已经完成了旨在澄清条约和习惯法的研究。 |
| It is also well on track with its study of the sometimes neglected and sometimes misunderstood source of general principles of law. | 对于有时被忽视、有时被误解的一般法律原则这一渊源，研究也进展顺利。 |
| At this stage, the Commission has undertaken systematic consideration of the first three sub-paragraphs of Article 38, paragraph 1. But one last sub-paragraph of Article 38 (1) concerning “subsidiary means” for determining rules of international law remains largely unaddressed. | 到目前为止，委员会对第三十八条第一款前三项进行了系统的审议，但是第三十八条第一款关于确定国际法规则的“补助资料”的最后一项基本上仍未得到处理。 |
| 6. The subject matter has, of course, come up in the Commission’s work over the years. These include during the plenary debate of the first report on General principles of law during the seventy-first session exposing the lack of clarity regarding subsidiary means. | 6. 当然，这个主题在委员会这些年的工作中出现过，这包括在第七十一届会议期间在关于一般法律原则的第一次报告的全体辩论中，暴露了辅助手段不明确的问题。 |
| However, the topic has not been separately examined for its potential value, even if by its own express terms, it is merely a “subsidiary means for the determination of rules of law. | 然而对这一专题的潜在价值并未单独审查过，即使从其本身明确措辞来看，它只是“确定法律原则之补助资料”。 |
| ” In any case, there are aspects of these subsidiary means and their interaction and relationship to the sources that are uncertain, confusing, and arguably even unsettled. | 无论怎么说，这些辅助手段的某些方面以及它们与国际法渊源的相互作用和关系是不确定的、令人困惑的，甚至可以说是尚未得到解决的。 |
| Consequently, in order not to leave a gap in the clarity, predictability and uniformity of international law, it is proposed that the Commission consider completing its systematic study of Article 38(1) by also examining the subsidiary means for the determination of rules of international law listed in sub-paragraph (d), that is to say, judicial decisions and the teachings of the most highly qualified publicists of the various nations. | 因此，为了在国际法的明确性、可预测性和统一性方面不留下空白，建议委员会考虑完成其对第三十八条第一款的系统研究，也审查(卯)项中所列的确定国际法规则的辅助手段，也就是说，审查“司法判例及各国权威最高之公法学家学说”。 |
| 7. “Judicial decisions” as well as “the teachings of the most highly qualified publicists of the various nations” have played a vital role in the development of international law. | 7. “司法判例”和“各国权威最高之公法学家学说”在国际法的发展中发挥了至关重要的作用。 |
| This is particularly evident in, but not limited to, the formative years of international law. | 这一点在国际法形成时期尤其明显，但不限于那个时期。 |
| The weight of judicial decisions and scholarly works vary, depending on the tribunal and relevant field of international law. | 司法判决和学术著作的份量各不相同，取决于所涉及的法庭和国际法具体相关领域。 |
| The Commission, given its previous as well as more recent work on sources of international law and its specific mandate as a general international law expert body, seems particularly well placed to provide clarification on several aspects of the subsidiary means for the determination of rules of law. | 鉴于委员会以前和最近所做的关于国际法渊源的工作及它作为一般国际法专家机构的具体任务，委员会似特别适合澄清确定法律规则的辅助手段的几个方面。 |
| This would include the nature, scope and functions of subsidiary means vis-à-vis the sources of international law. | 这将包括相对于国际法渊源而言辅助手段所具有的性质、范围和功能。 |
| 8. As with other recent sources-related topics, and without prejudice to a different outcome that may emerge from the needs of this study, the outcome on the topic could be a set of draft conclusions accompanied with commentaries. | 8. 如同与渊源有关的最近其他专题一样，在不影响本研究可能因需要而会产生不同的结果的情况下，本专题的结果可以是一套附有评注的结论草案。 |
| The preference for draft conclusions will thus parallel the approach of the Commission on the topics “Identification of customary international law” and “General principles of law. | 因此，倾向于结论草案这种结果，这将与委员会在“习惯国际法的识别”专题 和“一般法律原则”专题 上的做法相类似。 |
| ” There is, as of yet, no single definition of “draft conclusions” in the practice of the Commission. | 迄今为止，在委员会的实践中，“结论草案”尚没有单一的定义。 |
| In the meaning used here, it is proposed that the outcome of the study on the topic would represent the outcome of a process of reasoned deliberation and a restatement of the rules and practices found in relation to subsidiary means in determination of the rules of international law. | 按照此处使用的含义，这里提议，关于这一专题的研究结果将代表着理性审议过程的结果，并代表着对确定国际法规则的辅助手段方面发现的规则和做法的再次阐述。 |
| Thus, the content of such draft conclusions, in line with the statute and settled practice of the Commission, could be presumed to reflect both the codification and progressive development of international law. | 因此，这种结论草案的内容符合委员会的章程和既有惯例，可以推定为反映了国际法的编纂和逐渐发展。 |
| II. The topic fulfils the Commission’s criteria for new topics | 二. 该专题符合委员会关于新专题的标准 |
| 9. The topic meets the criteria for selection of new topics set by the Commission in 1996 and again reiterated in 1998. | 9. 该专题符合委员会1996年确定并于1998年再次重申的选择新专题的标准。 |
| The requirements are that the topic should: (a) reflect the needs of States in respect of the progressive development of international law and its codification; | 对新专题的要求是：(a) 专题应反映各国在逐渐发展和编纂国际法方面的需要； |
| (b) be sufficiently advanced in stage in terms of State practice to permit progressive development and codification; | (b) 专题在国家实践方面应处于足够成熟阶段，从而允许逐渐发展和编纂； |
| and (c) be concrete and feasible for progressive development and codification. | (c) 专题应具体可行，宜于逐渐发展和编纂； |
| Though not applicable in this instance, since this would be a classic general international law topic, the Commission also agreed not to restrict itself to traditional topics but to also consider those that reflect new developments in international law and pressing concerns of the international community. | 虽然对于目前情况不适用，因为目前所议的是一个典型的一般国际法专题，但委员会也曾商定不局限于传统专题，也可考虑那些反映国际法新动态和国际社会紧迫关切的专题。 |
| 10. The Commission’s topic selection criteria mentioned immediately above are fulfilled in the present case. | 10. 这个专题符合上面所说的委员会专题选择标准。 |
| The topic is important for States by promoting a more comprehensive understanding of judicial decisions and the teachings of the most highly qualified publicists of the various nations and the underlying practical and theoretical approaches to them by different courts and tribunals at the national and international levels. | 该专题对各国很重要，因为它能够促进对司法判例及各国权威最高之公法学家学说以及各国和国际各级不同法院和法庭对这些判例和学说采取的实际和理论处理方法的更全面理解。 |
| A legion of international and national jurisprudence and an extensive body of scholarly literature refers to judicial decisions and teachings of publicists, though not always expressly as subsidiary means, in the process of determining the applicable rules of international law. | 大量的国际和国家判例以及学术文献在确定适用的国际法规则时提及司法判例和公法学家学说，尽管并不总是明确地作为辅助手段来提及。 |
| Studying the approaches and diverging views on the use of subsidiary means in Article 38(1)(d) could thus provide an authoritative methodological guide and would likely aid the determinations of the weight to attach to them in the process of determining the existence of the rules of international law in paragraphs 1(a) to 1(c) of Article 38 of the ICJ Statute. | 因此，通过研究第三十八条第一款(卯)项中关于使用辅助手段的方法和各种不同意见，可以提供一个权威性的方法指南，在确定是否存在着《国际法院规约》第三十八条第一款(子)项至(寅)项所说的国际法规则时，有可能帮助确定应给予判例和学说多大的权重。 |
| 11. The topic is also sufficiently advanced in terms of State practice to permit codification and progressive development. | 11. 这一专题在国家实践方面也足够成熟，允许编纂和逐步发展。 |
| This is because there is a voluminous body of national and international judicial decisions. | 这是因为这方面存在着数量众多的国家和国际司法判例。 |
| There has also been a dramatic increase in the number of international courts and tribunals over the past half century, as well as ample academic writings and other scholarly literature referring to subsidiary means of determining the rules of law. | 在过去半个世纪里，国际性法院和法庭的数量也急剧增加，同时有足够多的学术著作和其他学术文献也提到确定法律规则的辅助手段。 |
| 12. The topic is also both concrete and feasible given the particular focus on Article 38(1)(d), and taken together with previous works of the Commission, offers it an opportunity to complete its contribution on the clarification of the role of subsidiary means in the identification of the sources of international law. | 12. 因专门侧重于第三十八条第一款(卯)项，这一专题也是具体和可行的。 将这一专题与委员会以前的工作结合在一起，委员会便有机会完成其贡献，澄清辅助手段在确定国际法渊源方面的作用。 |
| The work may thus serve as a useful complement to the ongoing work on Article 38(1)(c), regarding general principles of law, and depending on when it is taken up by the Commission, could allow potential synergies between it and Article 38(1)(d) to be further explored. | 因此，这项工作可以是目前围绕关于一般法律原则的第三十八条第一款(寅)项正在进行的工作的有益补充； 视委员会何时处理而定，还可使第三十八条第一款(寅)项工作与第一款(卯)项工作之间的潜在协同作用得到进一步探讨。 |
| III. Brief overview of Article 38(1) and doubts about subsidiary means | 三. 第三十八条第一款简要概述和关于辅助手段的疑问 |
| 13. The place of judicial decisions and the writings of the most highly qualified publicists of the various nations in Article 38(1) remains the subject of debate among writers. | 13. 第三十八条第一款中司法判例及各国权威最高之公法学家学说的地位仍然是作者们争论的话题。 |
| There seems to be even a divergence of scholarly views on whether Article 38(1) establishes one or two lists. | 甚至对于第三十八条第一款确立了一份还是两份清单，学术观点似乎都存在分歧。 |
| Some view the judicial decisions referred to in sub-paragraph (d) as a source of law much like the other sources of law listed in sub-paragraphs (a) to (c) of the article, and describe the language of Article 38 “… as essential in principle and see no great difficulty in seeing a subsidiary means for the determination of rules of law as being a source of the law, not merely by analogy but directly…. ” The second, and perhaps more prominent approach, asserts that the article establishes two lists. | 一些人认为(卯)项中提到的司法判例是与该条(子)项至(寅)项中列出的其他法律渊源十分相似的一种法律渊源，并认为第三十八条的措词“…在原则上非常重要，并认为将确定法律规则的辅助手段(不仅通过类比，而是直接)视为一种法律渊源没有什么大的困难…” 第二种观点或许更引人注目，认为该条确定了两份清单。 |
| Sub-paragraphs (a) to (c) provide the “formal sources from which legally valid rules of international law may emerge,” while sub-paragraph (d) is said to provide alternative or additional means by which the existing “rules of law may be determined. | (子)项至(寅)项提供了“可产生具有法律效力的国际法规则的正式来源”，而(卯)项被认为提供了可据以“确定现有的法律规则”的替代或补充手段。 |
| ” In other words, the subsidiary means are seen as solely a vehicle for the determination or ascertainment of the existence or content of the sources rather than themselves being sources as such. | 换言之，辅助手段仅被视为确定或查明法律渊源存在或其内容的工具，而不是渊源本身。 |
| The opportunity to study this matter might enable the Commission to clarify the existing legal situation based on practice and to offer guidance on the status and use of subsidiary means across different areas of international law. | 有机会研究这一问题或能使委员会根据实践澄清现有的法律状况，并就国际法不同领域辅助手段的状况和使用提供指导。 |
| 14. Furthermore, within the discussion of the wide category of “judicial decisions,” there are questions concerning the status of decisions of national courts and tribunals in contrast to the decisions of international courts and tribunals. | 14. 此外，在关于“司法判例”这一广泛类别的讨论中，存在着国家法院和法庭的判例相对于国际性法院和法庭的判例的地位问题。 |
| While judicial decisions cannot in and of themselves be sources of law, the findings of judicial bodies when interpreting and applying treaties, custom and general principles of law determining rules of international law can identify binding legal obligations for States, international organizations and other bodies. | 虽然司法判例本身不能成为法律渊源，但司法机构在解释和适用决定国际法规则的条约、习惯和一般法律原则时得出的结论可以确定对各国、国际组织和其他机构具有约束力的法律义务。 |
| 15. As regards the relationship of subsidiary means to the different sources of international law, judicial decisions seem to play different roles, sometimes clarifying general treaty rules or purposively interpreting them to apply to new situations that might not have been previously contemplated. | 15. 关于辅助手段与不同国际法渊源的关系，司法判例似乎发挥着不同的角色，有时澄清一般条约规则，或有目的地解释这些规则，使其适用于以往或许未考虑到的新情况。 |
| In this regard, the ICJ, as the principal judicial organ of the United Nations, has through its judgments made substantial contributions to the development of various fields of international law, inter alia, on the law governing the use of force, law of the sea, maritime boundary delimitation, State responsibility, law of treaties, consular relations, asylum, international environmental law, decolonization, self-determination, etc. | 在这方面，国际法院作为联合国的主要司法机关，通过其判决为国际法各领域的发展作出了重大贡献，特别是在关于使用武力的法律、海洋法、海洋划界、国家责任、条约法、领事关系、庇护、国际环境法、非殖民化、自决等方面。 |
| The Court, in turn, often applies the substantive rules elucidated in its prior decisions. | 反过来，国际法院经常适用其先前判例中阐明的实质性规则。 |
| In the process of doing so, by fiat of its judicial decisions explicating rules of international law, it also makes contributions to the consolidation if not the development of international law. | 在这样做的过程中，它通过其解释国际法规则的司法判例，也为巩固甚至发展国际法作出了贡献。 |
| 16. Regarding customary international law, as explained in the Memorandum prepared by the Secretariat of the Commission in the topic “Identification of customary international law,” “decisions of national courts have two general functions in the determination of customary international law. | 16. 关于习惯国际法，正如委员会秘书处在“习惯国际法的识别”专题中编写的备忘录所解释的那样，“国家法庭的裁决在确定习惯国际法方面具有两项一般职能”。 |
| ” One function they serve is as evidence of State practice. | 一项职能是作为国家实践的证据。 |
| Another is as an aid to the determination of rules of law. | 另一项是帮助确定法律规则。 |
| This duality was recognized in the Commission’s final conclusions on identification of customary international law. | 委员会关于习惯国际法的识别的最后结论承认了这种双重性。 |
| Accordingly, building on that prior work and the ongoing work on general principles of law, it might be beneficial for the analysis under this topic to consider the role that judicial decisions of both national and international courts play in the interpretation and application of international law rules articulated in treaties, custom and general principles of law as envisioned by Article 38. | 因此，在这一先前工作和正在进行的关于一般法律原则的工作的基础上，思考国家和国际性法院的司法裁决在解释和适用第三十八条所设想的条约、习惯和一般法律原则中阐述的国际法规则方面发挥的作用，可能有益于该专题下的分析。 |
| 17. Article 38 of the ICJ Statute did not, of course, develop in a vacuum. | 17. 《国际法院规约》第三十八条当然不是在真空中发展的。 |
| Writing in 1908, Oppenheim provided an insight into the state of affairs prior to the drafting of Article 38: | 奥本海在1908年就第三十八条起草之前的情况提供了一种深刻见解： |
| Apart from the International Prize Court agreed upon by the Second Hague Peace Conference but not yet established, there are no international courts in existence which can define these customary rules and apply them authoritatively to cases which themselves become precedents binding upon inferior courts. | 除了第二次海牙和平会议商定但尚未成立的国际捕获法院之外，目前没有任何国际法院能够界定这些习惯规则，并以权威的方式将其适用于案件，而这些案件本身将成为对下级法院具有约束力的先例。 |
| The writers on international law, and in especial the authors of treatises, have in a sense to take the place of the judges and have to pronounce whether there is an established custom or not, whether there is a usage only in contradistinction to a custom, whether a recognised usage has now ripened into a custom, and the like … . | 国际法的著述者，特别是条约的作者，在某种意义上必须扮演法官的角色，必须宣布是否存在既定的习惯，是否存在仅有别于一种习惯的用法，是否一种得到认可的用法现已发展成熟，成为一种习惯，诸如此类…。 |
| It is for this reason that textbooks of international law have so much more importance for the application of law than text-books of other branches of the law. | 正因如此，对法律的适用而言，国际法教科书比其他法律分支的教科书更为重要。 |
| 18. Current Article 38(1)(d) is based on the Permanent Court of International Justice (PCIJ) Statute. | 18. 目前的第三十八条第一款(卯)项基于《常设国际法院规约》。 |
| The 1920 Advisory Committee of Jurists, specifically President Descamps, proposed a text which read: international jurisprudence as a means for the application and development of law. | 1920年法学家咨询委员会，特别是德斯坎普斯主席，提出了一份案文，读作：国际法判例作为适用和发展法律的一种手段。 |
| This faced some opposition. | 这遭到了一些人的反对。 |
| In subsequent debates, President Descamps stated that “[d]octrine and jurisprudence no doubt do not create law; | 在随后的辩论中，德斯坎普斯主席指出，“学说和判例无疑不会创造法律； |
| but they assist in determining rules which exist. | 但是它们有助于确定存在的规则。 |
| A judge should make use of both jurisprudence and doctrine, but they should only serve as elucidation. | 法官应同时利用判例和学说，但它们只能充当解释说明”。 |
| ” The initial Descamps proposal was not adopted. | 德斯坎普斯最初的建议没有被采纳。 |
| During subsequent discussions, Mr. Root and Mr. Phillimore submitted an alternative draft. | 在随后的讨论中，鲁特先生和菲利莫尔先生提交了另一版本的草案。 |
| “Faced with continued opposition, Descamps [] suggested … the following wording: ‘[t]he Court shall take into consideration judicial decisions and the teachings of the most highly qualified publicists of the various nations as a subsidiary means for the determination of rules of law’. | “面对持续的反对，德斯坎普斯[]于是建议…如下措辞：‘法院应考虑司法判例和各国权威最高之公法学家学说，作为确定法律原则之补助资料’。 |
| ” Descamps himself also proposed adding “as subsidiary means for the determination of rules of law. | ” 德斯坎普斯自己也建议加上“作为确定法律原则之补助资料”。 |
| ” This language was adopted without change. | 这种说法未经修改获得通过。 |
| Thus, as part of the proposed study, it is expected that a close review of the drafting history of the provision could prove useful to clarifying the intended role and current place of subsidiary means in the determination of rules of international law. | 因此，作为拟议研究的一部分，仔细审查该条款的起草历史应能有助于澄清辅助手段在确定国际法规则方面的预期作用和当前地位。 |
| IV. Judicial decisions | 四. 司法判例 |
| 19. The first paragraph of Article 38 of the ICJ Statute makes clear that “judicial decisions” are “subsidiary means for the determination of rules of law. | 19. 《国际法院规约》第三十八条第一款明确指出，“司法判例”是“确定法律原则之补助资料”。 |
| ” That said, as one commentator has argued, “[t]his formula underestimates the role of decisions of international courts in the norm creating process. | 尽管如此，正如一位评论者所说，“这种说法低估了国际法院判例在规范制定过程中的作用。 |
| Convincingly elaborated judgments often have a most important influence on the norm-generating process, even if in theory courts apply existing law and do not create new law. | 令人信服的详细判决往往对规范制定过程产生非常重要的影响，即便在理论上法院适用现有法律而不制定新法律”。 |
| ” In principle, of course, decisions of the ICJ carry no binding force, except between the parties, and even then, only in respect of that particular case (Article 59, ICJ Statute). | 当然，原则上，国际法院的判例除对当事国外不具有约束力，即使在当事国之间，也只对本案具有约束力(《国际法院规约》第五十九条)。 |
| Thus, although there is no stare decisis before the Court similar to that found in Common Law legal systems, with a hierarchy of judicial precedents from higher courts being binding on lower courts, the ICJ does in practice rely on its own prior decisions. | 因此，尽管国际法院不像普通法体系那样依照先例，即按照等级，上级法院的司法先例对下级法院具有约束力，但国际法院在实践中确实依赖其自身先前的裁决。 |
| This enhances predictability and consistency in the application of international law. | 这提高了国际法适用的可预测性和一致性。 |
| It also serves to advance legal security for States and international organizations. | 这还有助于增强国家和国际组织的法律保障。 |
| The Court departs from prior decisions only for serious reasons, and where it does so, it often provides the rationale for doing so. | 国际法院只有出于严重的理由才会背离先前的判例，而且在此时往往会提供这样做的理由。 |
| 20. At times, it can be challenging to determine how narrowly or broadly Article 38(1) is to be interpreted. | 20. 有时，确定对第三十八条第一款应作狭义的还是广义的解释可能很困难。 |
| The Court also naturally relies on the work of its predecessor, the PCIJ. | 国际法院也自然地依赖其前身常设国际法院的工作。 |
| The parties pleading before it do so as well. | 在国际法院申辩的当事方也这样做。 |
| The parties and any interveners often also refer extensively to both judicial decisions and teachings or scholarly works. | 当事方和任何加入方常常也会广泛提及司法判例和学说或学术著作。 |
| In the result, perhaps unsurprisingly, the Court also usually refers to the decisions of other international and national courts and tribunals. | 在判决中，国际法院也通常会提及其他国际性和国家法院和法庭的判例，这或许在意料之中。 |
| It has only, in a relatively small number of cases, cited the works of individual scholars in its main judgments though the work of expert bodies such as the Commission seem prominent when it is deciding cases or rendering advisory opinions. | 国际法院仅在数目较少的案件中的主要判决中引用了个别学者的著作，尽管在国际法院裁决案件或提供咨询意见时，委员会等专家机构的工作成果似乎发挥着重要作用。 |
| 21. The ICJ now increasingly refers to judicial decisions from other courts in a pattern that could only be expected to increase as international law becomes more specialized. | 21. 国际法院现在越来越多地参考其他法院的司法判例，这种模式只会随着国际法的日益专业化而增加。 |
| For example, it has cited the International Tribunal for the Law of the Sea, the Central American Court of Justice, the Court of Justice of the European Communities (now Court of Justice of the European Union), some arbitral awards, and to regional human rights bodies, such as the Inter-American Court of Human Rights, the European Court of Human Rights, and the African Commission on Human and Peoples’ Rights. | 例如，国际法院曾援引国际海洋法法庭、中美洲法院、欧洲共同体法院 (现为欧洲联盟法院)、一些仲裁裁决 以及区域人权机构，如美洲人权法院、欧洲人权法院 和非洲人权和民族权委员会。 |
| In relation to the latter, in its 2010 Diallo judgment, the ICJ referred to the African Commission on Human and Peoples’ Rights interpretation of article 12(4) of the African Charter on Human and People’s Rights. | 关于后者，在其2010年对迪亚洛案判决中，国际法院提到非洲人权和民族权委员会对《非洲人权和民族权宪章》第12条第4款的解释。 |
| The Court stated: | 国际法院指出： |
| [w]hen the court is called upon […] to apply a regional instrument for the protection of human rights, it must take due account of the interpretation of that instrument adopted by the independent bodies which have been specifically created, if such has been the case, to monitor the sound application of the treaty in question. | 当法院被要求[…]适用保护人权的区域文书时，它必须适当考虑到为监测有关条约的正确适用专门设立的独立机构(如果有)对该文书的解释。 |
| 22. Furthermore, the ICJ has frequently referred to the work of specialized tribunals, including the International Criminal Tribunal for the former Yugoslavia (ICTY) and the International Criminal Tribunal for Rwanda (ICTR) on issues of international criminal and international humanitarian law. | 22. 此外，国际法院经常参考专门法庭的工作，包括前南斯拉夫问题国际刑事法庭 和卢旺达问题国际刑事法庭 在国际刑法和国际人道法问题上的工作。 |
| In some cases, as those cited in the preceding paragraph, it has given a measure of deference to rulings of specialized courts. | 在某些情况下，如前一段所述，国际法院对专门法庭的裁决给予了一定程度的尊重。 |
| Similarly, given that every field of international law is part of a wider international legal system, for their part, those tribunals also often refer to the ICJ for authoritative guidance on the status of international law on key issues alongside the sources mentioned in Article 38. | 同样，鉴于国际法的每个领域都是更广泛的国际法律体系的一部分，这些法庭自己也经常参考国际法院的判例，在第三十八条提到的渊源之外寻求关于在关键问题上的国际法现状的权威指导。 |
| 23. The practice of specialized and national courts in following the rulings of the ICJ on matters of general international law could also be interesting to examine as part of what is often referred to as judicial dialogue between different courts and tribunals. | 23. 作为所谓不同法院和法庭之间的一种司法对话，专门法院和国家法院如何遵循国际法院关于一般国际法事项的裁决也可能值得研究。 |
| For example, the ICTY has referred to such subsidiary means as envisioned by Article 38(1)(d) of the ICJ Statute. | 例如，前南斯拉夫问题国际刑事法庭提到了《国际法院规约》第三十八条第一款(卯)项设想的辅助手段。 |
| To illustrate, in Kupreškić et al., the ICTY Trial Chamber stated that “[b]eing international in nature …, the Tribunal [could not] but rely upon the well-established sources of international law and, within this framework, upon judicial decisions. | 例如，前南斯拉夫问题国际刑事法庭审判分庭在Kupreškić等人案中指出，“由于本法庭具有国际性…只能依靠国际法的既定渊源，并在此框架内依靠司法判例”。 |
| ” Regarding the value that should be given to such decisions, the Trial Chamber held the view that they “should only be used as a ‘subsidiary means for the determination of rules of law’”. | 关于应赋予这些判例多大的价值，审判分庭认为，这些判例“只能作为‘确定法律原则之补助资料’”。 |
| The Tribunal further clarified that “judicial precedent is not a distinct source of law in international criminal adjudication. | 法庭进一步澄清，“在国际刑事审判中，司法先例并非明确的法律渊源”。 |
| ” Relatedly, Article 20(3) of the Statute of the Special Court for Sierra Leone (SCSL) specifies that “[t]he judges of the Appeals Chamber of the Special Court shall be guided by the decisions of the Appeals Chamber of the [ICTY and ICTR]. | 与此相关的是，《塞拉利昂问题特别法庭规约》第20条第3款规定，“特别法庭上诉分庭的法官应以前南斯拉夫问题和卢旺达问题国际法庭上诉分庭的裁判为指导”。 |
| ” However, the SCSL underscored that this provision does not imply that the decisions of those international tribunals constitute direct sources or are binding on the SCSL. | 然而，塞拉利昂问题特别法庭强调，这一规定并不意味着这些国际法庭的判例构成直接渊源或对塞拉利昂问题特别法庭具有约束力。 |
| 24. A similar position can be seen at the International Criminal Court (ICC) whose body of applicable law in Article 21 of the Rome Statute mirrors, to a great extent, the sources listed in Article 38 of the ICJ Statute. | 24. 在国际刑事法院也可以看到类似的立场，《罗马规约》第二十一条中规定的适用法律 在很大程度上反映了《国际法院规约》第三十八条所列的渊源。 |
| In addition to applying its own statute as well as applicable treaties and other principles and rules of international law as well as general principles derived from the national laws of legal systems of the world, including the laws of States that would normally exercise jurisdiction over the various crimes within its jurisdiction, the ICC may apply principles and rules of law as interpreted in its previous decisions. | 国际刑事法院除了适用自己的规约、可适用的条约和其他国际法原则和规则以及从世界各法系国内法、包括通常对其管辖范围内的各种犯罪行使管辖权的国内法得出的一般原则之外，还可以适用其以前的裁判所阐释的法律原则和规则。 |
| 25. While the question of the place of judicial decisions, including those from other courts and tribunals would depend on the relevant constitutive statutes or instruments of those tribunals and even their jurisprudence, a wide variety of practice can be found in the use of judicial decisions to ascertain the applicable rules of law to apply in a given case as subsidiary means for the determination of the law. | 25. 虽然司法判例，包括其他法院和法庭的司法判例的地位问题将取决于这些法庭的相关组织法或文书，甚至其法理学，但在使用司法判例作为确定法律的辅助手段确定适用于特定案件的法律规则方面，可以找到各种各样的实践。 |
| This begs the question: what is a “judicial decision”? | 这便引出了一个问题：什么是“司法判例”？ |
| Moreover, the phrase “judicial decisions” in Article 38(1) of the ICJ Statute was not qualified by the words “international” or “national”, and for that matter, “regional”. | 此外，《国际法院规约》第三十八条第一款中的“司法判例”一词没有被“国际”或“国家”一词限定，也没有被“区域”一词限定。 |
| This appears to suggest that a more comprehensive understanding of “judicial” and “decisions” may be required. | 这似乎表明，可能需要对“司法”和“判例”有更全面的理解。 |
| 26. Questions also persist regarding the relevance and weight of decisions of national courts, as opposed to international courts, as well as those of regional judicial courts and quasi-judicial tribunals in the determination of the rules of international law in the context of sources. | 26. 在关于渊源的讨论中，与国际性法院相比，国家法院的裁决以及区域法院和准司法法庭的裁决在确定国际法规则方面的相关性和重要性也一直存在问题。 |
| Legitimate questions can also be asked whether, in the context of determining specific rules, the works of specialized ad hoc panels or arbitrators established by one or two disputing parties ought to carry the same weight as decisions of judicial bodies established by international or regional courts created by States especially those of a universal or quasi universal character. | 还可以提出的合理问题包括，在确定具体规则时，由一两个争议当事方设立的专门特设小组或仲裁员的工作成果是否应与各国设立的国际性或区域性法院特别是具有普遍性或准普遍性的法院设立的司法机构的判例具有同样的分量。 |
| This is particularly so in areas such as international investment law or where the decision of such arbitral bodies departs from existing rules of international law. | 在国际投资法等领域，或当此类仲裁机构的决定偏离现有国际法规则时，这个问题尤为相关。 |
| 27. In some instances, concerns have also arisen that different international courts and tribunals might concurrently address the same dispute, or might reach conflicting conclusions with respect to the same international rule, leading to questions as to their respective institutional competences and their hierarchical relations inter se. | 27. 在某些情况下，也有人担心，不同的国际性法院和法庭可能同时处理同一争端，或可能就同一国际规则得出相互矛盾的结论，从而引发关于它们各自的机构管辖权及其彼此之间的等级关系问题。 |
| While those concerns and questions may be of some importance, they fall outside the scope of the present topic. | 虽然这些关切和问题可能有一定意义，但它们不属于本专题的范围。 |
| 28. Against this wider backdrop, it should be possible to determine a methodology that can assist in ascertaining the value and weight to be given to judicial decisions as subsidiary means for determination of the applicable rules of international law. | 28. 在这种更广泛的背景下，应该有可能确定一种方法，协助查明司法判例作为确定国际法适用规则的辅助手段的价值和权重。 |
| This could enable the Commission to set out a consistent approach that could be useful to States, international organizations, courts and tribunals, as well as legal scholars and practitioners of international law. | 如此，委员会将能够确定一种对各国、国际组织、法院和法庭以及法律学者和国际法从业人员有用的一致做法。 |
| V. The teachings of the most highly qualified publicists | 五. 权威最高之公法学家的学说 |
| 29. The second prong of Article 38, paragraph 1(d), of the ICJ Statute affirms that “the teachings of the most highly qualified publicists of the various nations” are also “subsidiary means for the determination of rules of law. | 29. 《国际法院规约》第三十八条第一款(卯)项第二部分确认，“各国权威最高之公法学家学说”亦是“确定法律原则之补助资料”。 |
| ” True, as a historical matter, the work of the most well-known scholars was of greater importance in the clarification of the applicable rules of international law. | 的确，历史上，最知名学者的著述在澄清适用的国际法规则方面曾具有更重大的意义。 |
| This stature appears to have somewhat diminished, no doubt in part, because States have increasingly regulated matters using international conventions, and where such may not exist or prove to be insufficient, may themselves resort to customary international law and general principles of law although the process of determining the existence and content of the applicable rules from those sources also usually benefit from consulting scholarly works. | 这样的地位似乎已有些式微，在部分程度上无疑已经式微，因为各国越来越多地利用国际公约来规范事务，而在可能不存在国际公约或事实证明国际公约不足以对事务进行规范的情况下，各国可能会自行诉诸习惯国际法和一般法律原则，尽管确定上述渊源中是否存在适用规则以及适用规则的内容这一过程通常也会得益于查阅学者的著述。 |
| Courts and tribunals, independently of “the teachings” of “the most highly qualified publicists,” can also access with electronic means the extensive body of State practice through digests and other credible sources compiling such information. | 除“权威最高之公法学家”的“学说”之外，各法院和法庭也可借助电子手段，通过查阅文摘和汇编此类信息的其他可靠信息源来了解大量的国家实践。 |
| This appears to thereby limit the need for reliance on the work of “publicists.” | 这似乎抑制了依赖“公法学家”著述的必要性。 |
| 30. Different courts and legal systems at the national and international levels take different approaches to the teachings of publicists or doctrine in the context of determination of rules of law whether national or international in nature. | 30. 国家和国际层面的不同法院和法律体系在确定法律规则时，不论是国家法律规则还是国际法律规则，会对公法学家的学说或法律理论采取不同的处理方法。 |
| Whereas the teachings of publicists are only somewhat present in the judgements of the ICJ, with a relatively small number of main judgments referring to them, scholarly works are quite prominent in the separate opinions of individual judges as well as in the rulings and judgments of numerous other international courts and tribunals. They are also common in decisions of regional and other international tribunals. | 公法学家的学说在国际法院的判决中仅略有体现，主判决书中提及公法学家学说的情况较少。 但尽管如此，学者的著述在法官个人的个别意见以及众多其他国际级法院和法庭的裁决和判决中却相当突出，在区域级和另一些国际级法庭的判决中也很常见。 |
| These include, out of many possible examples, the African Court of Human and Peoples’ Rights, the European Court of Human Rights, the International Tribunal for the Law of the Sea, the Inter-American Court of Human Rights as well as the International Criminal Tribunals including the International Criminal Court as well as others such as the World Trade Organization. | 可举的例子很多，其中包括非洲人权和民族权法院、欧洲人权法院、国际海洋法法庭、美洲人权法院、包括国际刑事法院在内的国际刑事类法庭，以及诸如世界贸易组织等其他机构。 |
| Some courts and tribunals at the municipal and international levels even frequently receive, or invite, the views of scholars acting as amicus curiae on specific legal issues. | 国内和国际层面的某些法院和法庭甚至频频收到或邀请学者以法庭之友身份就具体的法律问题提交意见。 |
| 31. If the works of individual scholars or publicists carry some weight, at least as an aid to interpretation, it appears that those originating from groups of scholars and certain expert bodies could be seen as even more authoritative. | 31. 若学者或公法学家个人的著述有些分量，至少作为解释法律的辅助资料有些分量的话，那么学者团体或某些专家机构的著述似可视作更具权威性。 |
| A threshold question would be whether the collective works of experts can be seen as forming part of the teachings of publicists. | 一个门槛性质的问题是，专家的集体著述是否能被视为公法学家学说的组成部分？ |
| Furthermore, and if so, a distinction might also need to be drawn between the outcomes of the work of purely private expert bodies and those expert bodies created by States or international organizations. | 此外，若可以视为的话，可能还要在纯私营性质的专家机构的工作成果和国家或国际组织创建的专家机构的工作成果之间作出区分。 |
| The pronouncements of groups of international lawyers, engaged in scientifically assessing the status of the law such as codification or progressive development, could certainly prove useful and influential. | 参与诸如编纂或逐渐发展等对法律的地位进行科学评估工作的国际律师团体所发表的意见，肯定会证明是有助益且有影响的。 |
| They could thus fall within the category of “teachings. | 上述意见因而可属于“学说”范畴。 |
| ” Examples of such expert groups would include both ad hoc and permanent groups such as the Harvard Research in International Law (1929–1932), the Institut de Droit International and the International Law Association. | 此类专家团体的例子既包括临时性团体，也包括常设性团体，例如哈佛国际法研究部(1929-1932年)、国际法学会和国际法协会。 |
| All these private bodies, at different times in history, have made useful contributions to the clarification and advancement of certain areas of international law. | 这些私营机构均在不同历史时期为澄清和推进国际法的特定领域作出过有益贡献。 |
| 32. State created bodies, for example those established by and tasked with specific roles under a treaty such as the Human Rights Committee, the Committee against Torture and the International Committee of the Red Cross may carry, depending on the issue, some authority in the determinations of the applicable rules of international law. | 32. 由各国创立的机构，例如人权事务委员会、禁止酷刑委员会和红十字国际委员会等根据某项条约设立并承担特定职责的机构，取决于所涉问题，可能在确定适用的国际法规则方面具有一些权威性。 |
| At least in so far as it concerns interpretations of legal areas within their areas of competence. | 至少在其职权范围内法律领域的解释问题上是如此。 |
| Similarly, the works of legal or regional codification bodies such as that of the Asian-African Legal Consultative Organization, the African Union Commission on International Law, the Council of Europe Committee of Legal Advisers of Public International Law, the Inter-American Juridical Committee, being linked to States or State created organizations, albeit at the regional level, may also hold a similar place. | 同样，诸如亚非法律协商组织、非洲联盟国际法委员会、欧洲委员会国际公法法律顾问委员会、美洲法律委员会等法律编纂机构或区域性编纂机构的工作成果与国家或由国家创建的组织存在关联，尽管是在区域一级存在关联，但也可享有类似的地位。 |
| The Commission’s prior work has acknowledged this in the context of, for example, the draft conclusions addressing the pronouncement of expert bodies in the topic subsequent agreements and subsequent practice in relation to the interpretation of treaties. | 委员会曾在此前的工作中承认这一点，例如在与条约解释相关的嗣后协定和嗣后实践专题关于专家机构声明的结论草案当中。 |
| A further examination in relation to Article 38(1) would therefore seem to be warranted. | 由此可见，似应对第三十八条第一款作进一步的仔细研究。 |
| 33. In a similar vein, consideration could be given to the work of the Commission in the discharge of its unique General Assembly mandate to assist States with the promotion of the progressive development of international law and its codification under Article 13 of the Charter of the United Nations. | 33. 同样，可以考虑委员会在履行其独特的联大任务即协助各国根据《联合国宪章》第十三条促进逐渐发展和编纂国际法时所做的工作。 |
| Indeed, the Commission and its special rapporteurs and members, not only refer extensively to judicial decisions, they also routinely refer to the “teachings” of scholars. This includes in their reports and commentaries to adopted articles, principles and guidelines, as well as during plenary debates and drafting committees. | 实际上，委员会及其特别报告员和委员们不仅大量援引司法判例，而且还经常援引学者的“学说”，包括在其报告和所通过的条款、原则、指南的评注当中，在全体会议的辩论过程中，以及在各起草委员会当中。 |
| The Commission, under its Statute, may even enjoy closer relations with such authorities as it can also formally consult with “scientific institutions and individual experts” (Article 16). | 根据其《章程》，委员会甚至可能愿意与此类权威建立更密切的联系，因为委员会也可正式地咨询“科学研究机构和个别专家”(第16条)。 |
| It is furthermore expressly required to present its draft articles to the General Assembly accompanied by “adequate presentations of precedents, and other relevant data, including treaties, judicial decisions and doctrine. | 此外，还明确要求委员会向联大提交条款草案，并辅之以“充分说明判例和其他有关资料，包括：条约、司法判决和学说”(第20条(a)项)。 |
| ” (Article 20(a)). 34. With regard to codification, as it evaluates State practice, the Commission could request from governments “laws, decrees, judicial decisions… ” (Article 19(2)). | 34. 就编纂而言，委员会在对国家实践进行评价时，可要求相关政府提供“法律、法令、司法判决…”(第19条第2款)。 |
| Similarly, in identifying the ways and means of making the evidence of customary international law more readily available, the Commission is to have due regard to collections and publications of “documents concerning State practice and the decisions of national and international courts on questions of international law” (Article 24). | 同样，在确定使习惯国际法的依据更便于查阅的方式和方法时，委员会应对收集和发布“有关国家惯例的文件以及各国法庭和国际法庭作出的国际法问题的判决”给予应有的考虑(第24条)。 |
| These statutory provisions appear to demonstrate the relevance of those decisions, not just for judicial bodies, but also for international legal expert bodies that assist with the codification and progressive development of international law. | 上述章程规定似乎表明，这些判例不仅对于司法机构而言具有相关性，对于协助编纂和逐渐发展国际法的国际法律专家机构而言亦具有相关性。 |
| That said, the Commission has, quite understandably, refrained from claiming a special status or authority for its own work even though some courts and some academics tend to ascribe a measure of authority to it. | 但尽管如此，很可以理解的是，委员会并未自诩其工作成果具有某种特殊地位或权威性，尽管一些法院和一些学者倾向于赋予其一定程度的权威性。 |
| 35. In the end, though pervasive in national and international courts and the work of experts and the Commission at least as aids to interpretation of the law, the works of individual legal experts, groups of legal experts and other learned bodies has attracted more limited attention as subsidiary means for the determination of rules of international law. | 35. 说到底，法律专家个人、法律专家团体以及其他学术机构的著述尽管普遍存在于国内和国际法院、专家以及委员会的工作当中，至少是作为解释法律的辅助资料而普遍存在，但其作为确定国际法规则的补助资料所吸引到的关注却较为有限。 |
| Nonetheless, as stated by the United States Supreme Court in the Paquete Habana Case, “such works are resorted to by judicial tribunals, not for the speculations of their authors concerning what the law ought to be, but for trustworthy evidence of what the law really is. | 但尽管如此，正如美国最高法院在Paquete Habana号渔船一案中所指出的那样，“司法法庭诉诸于此类著述，不是为了探寻其作者就法律应当是什么所作的思考，而是为了探寻法律到底是什么的可信依据。 |
| ” The quality, objectivity and thoroughness of the work is therefore vital to its authoritativeness. | ” 所以说，著述质量如何、是否客观以及是否透彻，对于其权威性而言至关重要。 |
| Questions of how to assess the influence of scholars and their works through empirical and or other approaches could be of interest. | 如何通过实证和/或其他方法对学者及其著述的影响力进行评估，这一问题可能会引起兴趣。 |
| 36. Interestingly, since the Paquete Habana decision in 1900, there does not appear to have been many attempts to systematize the category of “judicial decisions” and the “teachings of the most highly qualified publicists. | 36. 耐人寻味的是，自Paquete Habana号渔船一案于1900年作出判决以来，在系统地确定“司法判例”和“权威最高之公法学家学说”的范畴方面，似乎未作出多少尝试。 |
| ” Ultimately, perhaps due to the nature of the topic, it remains inconsistent how judicial decisions and the teachings of the most highly qualified publicists of the various nations are methodologically assessed and weight assigned to them in the determination of the applicable rules of law. | 其结果是，也许是由于该专题的性质，在如何采用系统方法对司法判例和不同国家权威最高之公法学家的学说进行评估，以及在确定适用的法律规则时如何赋予其权重方面，仍未能一致。 |
| Questions may also exist, in a multicultural and pluralistic world, how the language of international law is used to ensure the construction of understandings of international law by publicists can be truly representative of a universal system of international law. | 在多文化、多元的世界中，可能还存在如下问题：在使用国际法语言以确保公法学家在构建对国际法的理解时能真正代表一个具有普遍性的国际法体系方面，情况如何？ |
| VI. Scope of the topic and potential issues to be addressed | 六. 该专题的范围以及可能需要处理的问题 |
| 37. Taking the foregoing into account, it is proposed that the Commission study could cover some underlying issues regarding Article 38(1)(d), to determine how “subsidiary means” have been used by States, by international courts and tribunals, and by international organizations as well as by private and governmental expert bodies and scholars in the process of determining the applicable rules of (international) law. | 37. 综上所述，建议委员会的研究可涵盖与第三十八条第一款(卯)项有关的一些基本问题，以确定各国、国际级法院和法庭、国际组织以及私营和政府背景的专家机构和学者在确定适用的(国际)法律规则过程中是如何利用“补助资料”的。 |
| 38. Without excluding other questions, or aspects which may arise in the course of the topic, it can be suggested that the Commission could in the main analyze the following topics: | 38. 在不排除该专题研究过程中可能出现的其他问题或其他方面的情况下，可建议委员会主要分析以下问题： |
| (i) Description of the topic, aims, methodology. | (一) 该专题及其目标和系统方法的阐述； |
| (ii) The nature and scope of subsidiary means for determination of rules of law: | (二) 用以确定法律规则的补助资料的性质和范围： |
| (a) The origins of subsidiary means, including drafting history during the establishment of the Permanent Court of International Justice, and the functional role played in different areas of international law such as international human rights law, international criminal law, international economic law, etc.; | (a) 补助资料的起源，包括设立常设国际法院期间的起草历史； 补助资料在诸如国际人权法、国际刑法、国际经济法等国际法不同领域所发挥的功用； |
| (b) Scope and terminology regarding “subsidiary means”, including the meaning of “subsidiary”, “means”, “judicial” “decisions”, “determination”, “rules of law”, “teachings”, “most highly qualified”, “publicists”, and “various nations”; | (b) “补助资料”的范围和相关术语，包括“补助”、“资料”、“司法”、“判例”、“确定”、“法律规则”、“学说”、“权威最高”、“公法学家”以及“各国”的含义； |
| (c) The status and use of subsidiary means by States, in particular in international adjudication, as well as eventually in judicial decisions and in the writings of publicists, as evidence of international law; | (c) 补助资料的地位及各国作为国际法的依据利用补助资料的情况，尤其是在国际裁定当中，以及最终在司法判例和公法学家的著述当中； |
| (d) The functions and relationship between the subsidiary means for the determination of rules of law, including in national and international courts and differences in that regard, if any, between various legal systems; | (d) 补助资料在国内和国际级法院确定法律规则方面的功能及其彼此之间的关系； 各种不同法律体系在这方面若有区别的话，有何区别； |
| (iii) The relationship of subsidiary means with the sources of international law: i.e. treaties, custom and general principles of law; | (三) 补助资料与国际法渊源(即条约、习惯以及一般法律原则)之间的关系； |
| (iv) The various methods of ascertaining the weight and value assigned to judicial decisions and the weight of teachings of the publicists of the various nations as subsidiary means for determining the rules of law and the difference between the weight assigned to the works of individual scholars versus groups of scholars and official or other expert bodies including as between various legal systems; | (四) 查明以下问题的各种不同方法：作为确定法律规则的补助资料，赋予司法判例的权重和价值，以及赋予各国公法学家学说的权重； 赋予学者个人著述的权重与赋予学者团体以及官方或其他专家机构著述的权重之间的区别，包括在各种不同司法体系之间的区别； |
| (v) Bibliography containing multilingual list of works on subsidiary means under Article 38(1)(d) collected in the course of the study and invited from States; | (五) 载有研究过程中收集到的和邀请各国提供的第三十八条第一款(卯)项所指补助资料相关多语种著述清单的参考目录； |
| (vi) Potential outcomes of the study (conclusions); | (六) 研究可能取得的成果(结论)； |
| and (vii) | 以及 |
| Any other/miscellaneous issues. | (七) 任何其他/杂项问题。 |
| VII. Proposed method of work on the topic | 七. 提议采用的该专题工作方法 |
| 39. The method of work on the topic will rely on both primary and secondary materials and literature on the topic. | 39. 该专题的工作方法将既依赖第一手和第二手材料，又依赖相关文献。 |
| Primarily, the work will be guided by the extensive State practice, treaties, other international instruments, judicial decisions from relevant national, regional and international courts as well as national laws, decrees and other documents. | 工作将主要以大量的国家实践、条约、其他国际文书、相关国家、区域和国际级法院的司法判例，以及国家的法律、法令及其他文件为指导。 |
| Scholarly works, including those of individual experts and those of expert bodies and relevant international organizations will also be taken into account. | 学者的著述也将被纳入考虑，包括专家个人的著述以及专家机构和相关国际组织的著述在内。 |
| This is particularly so given the nature of the present topic and the letter and spirit of Article 38(1)(d). | 考虑到本专题的性质以及第三十八条第一款(卯)项的文字和精神，尤其如此。 |
| VIII. Conclusion | 八. 结论 |
| 40. Overall, it appears that judicial decisions and the teachings of the most highly qualified publicists are a form of evidence of international law and are routinely referred to by international and national courts and tribunals. | 40. 总的来说，司法判例以及权威最高之公法学家的学说似乎是一种形式的国际法依据，经常被国际和国内的法院和法庭援引。 |
| By their express terms, they are only “subsidiary means” for the “determination” of the rules of law. | 就其明确表述的地位而言，它们只是用以“确定”法律规则的“补助资料”。 |
| Nonetheless, in the face of confusion and divergent judicial approaches in national and international courts and tribunals, there appears to be room for greater clarity regarding which judicial decisions and teachings are included and their potential legal and other effects in the system of modern international law. | 但尽管如此，在存在困惑且国内和国际的法院和法庭所采取的司法处理方法各异的情况下，似乎存在着对现代国际法体系中纳入了哪些司法判例和学说及其可能产生的法律影响和其他影响作出进一步澄清的空间。 |
| Against that backdrop, a comprehensive study of Article 38(1)(d) could help complement the Commission’s primary work on the identification of rules of international law and recent topics it has undertaken in this significant area of general international law. | 在上述背景下，就第三十八条第一款(卯)项开展全面研究，可能有助于补充委员会在确定国际法规则方面的主要工作及其最近在一般国际法这一重要领域着手开展的专题。 |
| In so doing, the Commission could significantly contribute to the codification and progressive development of international law in relation to the classical topic of sources of international law. | 委员会开展上述研究，有望在国际法渊源这一经典专题方面对编纂和逐渐发展国际法作出重大贡献。 |
| Preliminary/Selected Bibliography | 初步/精选参考目录 |
| 1. Legal instruments: | 1. 法律文书： |
| 2. International Law Commission Documents: | 2. 国际法委员会文件： |
| 3. Jurisprudence: | 3. 判例： |
| 4. Literature: | 4. 文献： |
| Mr. Ernest Petrič, Mr. Pavel Šturma and Mr. Eduardo Valencia-Ospina. | 埃内斯特·彼得里奇先生、帕维尔·斯图尔马先生和爱德华多·巴伦西亚－奥斯皮纳先生。 |
| Ms. Concepción Escobar Hernández, Mr. Juan Manuel Gómez Robledo, Ms. Marja Lehto, Mr. Shinya Murase, Mr. Pavel Šturma, Mr. Dire D. Tladi and Mr. Marcelo Vázquez-Bermúdez. | 康塞普西翁·埃斯科瓦尔·埃尔南德斯女士、胡安·曼努埃尔·戈麦斯－罗夫莱多先生、玛丽亚·莱赫托女士、村濑信也先生、帕维尔·斯图尔马先生、迪雷·特拉迪先生和马塞洛·巴斯克斯－贝穆德斯先生。 |
| Mr. Bogdan Aurescu, Mr. Yacouba Cissé, Ms. Patrícia Galvão Teles, Ms. Nilüfer Oral and Mr. Juan José Ruda Santolaria. | 波格丹·奥雷斯库先生、雅库巴·西塞先生、帕特里夏·加尔旺·特莱斯女士、尼吕费尔·奥拉尔女士和胡安·何塞·鲁达·桑托拉里亚先生。 |
| Official Records of the General Assembly, Seventy-fourth Session, Supplement No. 10 (A/74/10), paras. 29 and 30, respectively. | 《大会正式记录，第七十四届会议，补编第10号》(A/74/10)，分别见第29和第30段。 |
| Ibid., para. 32. | 同上，第32段。 |
| At its 3197th meeting, on 9 August 2013 (Yearbook … 2013, vol. II (Part Two), para. 168). | 在2013年8月9日第3197次会议上(《2013年…年鉴》，第二卷(第二部分)，第168段)。 |
| The Commission included the topic in its programme of work on the understanding that: “(a) work on the topic will proceed in a manner so as not to interfere with relevant political negotiations, including on climate change, ozone depletion, and long-range transboundary air pollution. | 委员会将此专题列入工作方案时有以下谅解：“(a) 此专题工作的进行方式不会影响有关的政治谈判，包括就气候变化、臭氧层消耗、远距离跨界空气污染进行的政治谈判。 |
| The topic will not deal with, but is also without prejudice to, questions such as: liability of States and their nationals, the polluter-pays principle, the precautionary principle, common but differentiated responsibilities, and the transfer of funds and technology to developing countries, including intellectual property rights; | 此专题不会处理，但也不妨碍诸如下述问题：国家及其国民的赔偿责任、污染者付费原则、谨慎原则、共同但有区别的责任、向发展中国家转让资金和技术，包括知识产权； |
| (b) the topic will also not deal with specific substances, such as black carbon, tropospheric ozone, and other dual-impact substances, which are the subject of negotiations among States. | (b) 这一专题也不会处理具体物质，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。 |
| The project will not seek to ‘fill’ gaps in the treaty regimes; | 这一专题不会试图“弥补”条约制度存在的缺陷； |
| (c) questions relating to outer space, including its delimitation, are not part of the topic; | (c) 与外层空间有关的问题，包括外层空间的划界问题，不在此专题的范围之内； |
| (d) the outcome of the work on the topic will be draft guidelines that do not seek to impose on current treaty regimes legal rules or legal principles not already contained therein. | (d) 此专题的工作结果将是指南草案，但这种指南草案不会试图给现行条约制度强加条约制度尚不具有的法律规则或法律原则。 |
| The Special Rapporteur’s reports would be based on such understanding. | 特别报告员的报告将以上述谅解为基础”。 |
| ” The General Assembly, in paragraph 6 of its resolution 68/112 of 16 December 2013, took note of the decision of the Commission to include the topic in its programme of work. | 联大2013年12月16日第68/112号决议第6段注意到委员会将本专题列入其工作方案的决定。 |
| The topic had been included in the long-term programme of work of the Commission during its sixty-third session (Yearbook … 2011, vol. II (Part Two), para. 365), on the basis of the proposal contained in annex II to the report of the Commission on its work at that session (ibid., p. 189). | 委员会第六十三届会议(《2011年…年鉴》，第二卷(第二部分)，第365段)以委员会该届会议报告附件二所载的建议(同上，第189页)为基础，将此专题列入长期工作方案。 |
| A/CN.4/667, A/CN.4/681 and Corr.1 (Chinese only), A/CN.4/692, and A/CN.4/705 and Corr.1, A/CN.4/711, respectively. | 分别为A/CN.4/667、A/CN.4/681和Corr.1 (仅有中文)、A/CN.4/692以及A/CN.4/705和Corr.1、A/CN.4/711。 |
| Official Records of the General Assembly, Seventieth Session, Supplement No. 10 (A/70/10), paras. 53–54; | 《大会正式记录，第七十届会议，补编第10号》(A/70/10)，第53-54段； |
| ibid., Seventy-first Session, Supplement No. 10 (A/71/10), paras. 95–96; | 同上，《第七十一届会议，补编第10号》(A/71/10)，第95-96段； |
| ibid., Seventy-second Session, Supplement No. 10 (A/72/10), paras. 66–67; | 同上，《第七十二届会议，补编第10号》(A/72/10)，第66-67段； |
| and ibid., Seventy-third Session, Supplement No. 10 (A/73/10), paras. 77–78. | 同上，《第七十三届会议，补编第10号》(A/73/10)，第77-78段。 |
| See footnote 6 above. | 见上文脚注6。 |
| The inclusion of “atmospheric resources” among “other natural resources” by the former Committee on Natural Resources was first mentioned in the Committee’s report on its first session, Official Records of the Economic and Social Council, Fiftieth Session, Supplement No. 6 (E/4969-E/C.7/13), section 4 (“other natural resources”), para. 94 (d). | 原自然资源委员会将“大气资源”列为“其他自然资源”，最初提及是该委员会第一届会议报告，《经济及社会理事会正式记录，第五十届会议，补编第6号》(E/4969-E/C.7/13)，第4节(“其他自然资源”)，第94(d)段。 |
| The work of the Committee (later the Committee on Energy and Natural Resources for Development) was subsequently transferred to the Commission on Sustainable Development. | 该委员会(后改名为能源和自然资源促进发展委员会)的工作以后又转给可持续发展委员会。 |
| “The natural resources of the earth including the air … must be safeguarded for the benefit of present and future generations through careful planning or management, as appropriate” (adopted at Stockholm on 16 June 1972, see Report of the United Nations Conference on the Human Environment, Stockholm, 5–16 June 1972 (United Nations publication, Sales No. E.73.II.A.14 (A/CONF.48/14/Rev.1 and Corr.1), part one, chap. I, principle 2). | “地球上的自然资源，包括空气…，必须为今世后代的利益，酌量情形，通过仔细的设计或管理，加以保护。 ”(1972年6月16日在斯德哥尔摩通过，见《一九七二年六月五日至十六日在斯德哥尔摩举行的联合国人类环境会议报告书》(联合国出版物，出售品编号E.73.II.A.14 (A/CONF.48/14/Rev.1和Corr.1)，第一部分，第一章，原则二)。 |
| “[A]tmospheric resources that are utilized by [humankind], shall be managed to achieve and maintain optimum sustainable productivity” (World Charter for Nature, General Assembly resolution 37/7 of 28 October 1982, annex, general principles, para. 4). | “对人类所利用的…大气资源，应设法使其达到并维持最适宜的持续生产率”(《世界自然宪章》，联大1982年10月28日第37/7号决议，一般原则，第4段)。 |
| Ibid., second preambular paragraph, subpara. (a). | 同上，序言部分第二段，(a)分段。 |
| See, for example, the World Trade Organization (WTO) Panel and Appellate Body, which recognized in the Gasoline case of 1996 that clean air was an “exhaustible natural resource” that could be “depleted”. | 例如见，世界贸易组织(世贸组织)专题小组及上诉机构在1996年汽油案中确认，空气是可“耗尽的自然资源”。 |
| Report of the Appellate Body, United States-Standards for Reformulated and Conventional Gasoline (1996), WT/DS2/AB/R. | 上诉机构的报告，美国－新配方汽油和常规汽油标准案(1996年)，WT/DS2/AB/R。 |
| See the 2001 Stockholm Convention on Persistent Organic Pollutants, United Nations, Treaty Series, vol. 2256, No. 40214, p. 119 (noting in the preamble that “persistent organic pollutants, … are transported, through air … across international boundaries and deposited far from their place of release, where they accumulate in terrestrial and aquatic ecosystems”). | 见2001年《关于持久性有机污染物的斯德哥尔摩公约》，联合国，《条约汇编》，第2256卷，第40214号，第119页(在序言里指出：“持久性有机污染物…通过空气…作跨越国际边界的迁移并沉积在远离其排放地点的地区，随后在那里的陆地生态系统和水域生态系统中蓄积起来”)。 |
| The 2012 amendment to the Gothenburg Protocol to the 1979 Convention on Long-Range Transboundary Air Pollution to Abate Acidification, Eutrophication and Ground-level Ozone (Gothenburg, 30 November 1999, United Nations, Treaty Series, vol. 2319, p. 81) indicates in the third preambular paragraph: “Concerned … that emitted [chemical substances] are transported in the atmosphere over long distance and may have adverse transboundary effects”. | 《〈1979年远距离越境空气污染公约〉减少酸化、富营养化和地面臭氧哥德堡议定书》(哥德堡，1999年11月30日，联合国，《条约汇编》，第2319卷，第81页)2012年修正案在序言第三段里指出：“关注…排放的[化学物质]在大气层里长距离输送，可产生不利的跨界影响”。 |
| The 2013 Minamata Convention on Mercury (Kumamoto, Japan, 10 October 2013, ibid., vol. 3013, No. 54669 (volume number has yet to be determined), available from https://treaties.un.org) recognizes mercury as “a chemical of global concern owing to its long-range atmospheric transport” (first preambular para.); | 2013年《关于汞的水俣公约》(日本熊本县，2013年10月10日，同上，第3013卷，第54669号(卷号待定)，可查阅：https://treaties.un.org)认识到汞因“可在大气中作远距离迁移”，因而“此种化学品已成为全球性关注问题”(序言部分第1段)； |
| see, J.S. Fuglesvedt et al., “Transport impacts on atmosphere and climate: metrics”, Atmospheric Environment, vol. 44 (2010), pp. 4648–4677; | 见J.S. Fuglesvedt et al., “Transport impacts on atmosphere and climate: metrics”, Atmospheric Environment, vol. 44 (2010), pp. 4648–4677; |
| D.J. Wuebbles, H. Lei and J.-T Lin, “Inter-continental transport of aerosols and photochemical oxidants from Asia and its consequences”, Environmental Pollution, vol. 150 (2007), pp. 65–84; | D.J. Wuebbles, H. Lei and J.-T Lin, “Inter-continental transport of aerosols and photochemical oxidants from Asia and its consequences”, Environmental Pollution, vol. 150 (2007), pp. 65–84; |
| J.-T Lin, X.-Z Liang and D.J. Wuebbles, “Effects of inter-continental transport on surface ozone over the United States: Present and future assessment with a global model”, Geophysical Research Letters, vol. 35 (2008). | J.-T Lin, X.-Z Liang and D.J. Wuebbles, “Effects of inter-continental transport on surface ozone over the United States: Present and future assessment with a global model”, Geophysical Research Letters, vol. 35 (2008)。 |
| See T. Koivurova, P. Kankaanpää and A. Stepien, “Innovative environmental protection: lessons from the Arctic,” Journal of Environmental Law, vol. 27 (2015), pp. 285–311, at p. 297. | 见T. Koivurova, P. Kankaanpää and A. Stepien, “Innovative environmental protection: lessons from the Arctic,” Journal of Environmental Law, vol. 27 (2015), pp. 285–311, at p. 297。 |
| New York, 9 May 1992, United Nations, Treaty Series, vol. 1771, No. 30822, p. 107. | 1992年5月9日，纽约，联合国，《条约汇编》，第1771卷，第30822号，第107页。 |
| United Nations Framework Convention on Climate Change, first preambular para. | 《联合国气候变化框架公约》，序言部分第一段。 |
| Paris Agreement (Paris, 12 December 2015), United Nations, Treaty Series, No. 54113 (volume number has yet to be determined), available from https://treaties.un.org, eleventh preambular para. | 《巴黎协定》(2015年12月12日，巴黎)，联合国，《条约汇编》，54113号(卷号待定)，可查阅https://treaties.un.org，序言部分第十一段。 |
| Convention on Biological Diversity (Rio de Janeiro, 5 June 1992, United Nations, Treaty Series, vol. 1790, No. 30619, p. 79: the third preambular paragraph: “common concern of humankind”); | 《生物多样性公约》(1992年6月5日，里约热内卢，联合国，《条约汇编》，第1790卷，30619号，第79页：序言部分第三段：“全人类的共同关切事项”)； |
| Convention to Combat Desertification in Those Countries Experiencing Serious Drought and/or Desertification, Particularly in Africa (Paris, 14 October 1994, ibid., vol. 1954, No. 33480, p. 3: the first preambular paragraph: “centre of concerns”; | 《在发生严重干旱和/或荒漠化的国家特别是在非洲防治荒漠化的公约》(1994年10月14日，巴黎，同上，1954年卷，33480号，第3页：序言部分第一段：“受关注的中心”； |
| second preambular paragraph: “urgent concern of the international community”; fourth preambular paragraph: “problems of global dimension”); | 序言部分第二段：“国际社会…迫切关注”，序言部分第四段：“全球范围问题”)； |
| Minamata Convention on Mercury (the first preambular paragraph: mercury as “a chemical of global concern”). | 《关于汞的水俣公约》(序言部分第一段：汞这种化学品已成为“全球性关注问题”)。 |
| One of the first attempts to incorporate such a principle was the Washington Conference of the International Labour Organization in 1919, at which delegations from Asia and Africa succeeded in ensuring the adoption of differential labour standards, on the basis of article 405, paragraph 3, of the 1919 Treaty of Versailles (Treaty of Peace between the Allied and Associated Powers and Germany, 28 June 1919, British and Foreign State Papers, 1919, vol. CXII, London, HM Stationery Office, 1922, p. 1), which became article 19, paragraph 3, of the International Labour Organization Constitution (9 October 1946, United Nations, Treaty Series, vol. 15, No. 229, p. 35) (labour conventions “shall have due regard” to the special circumstances of countries where local industrial conditions are “substantially different”). | 纳入公平原则的最早尝试之一是亚洲和非洲代表团在1919年国际劳工组织华盛顿会议上成功促使会议通过了差异性劳工标准，其依据是成为《国际劳工组织章程》(1946年10月9日，联合国，《条约汇编》，第15卷，第229号，第35页)第19条第3款的1919年《凡尔赛条约》(《协约国和参战各国对德和约》，1919年6月28日，《英国和外国国家文件》，1919年，第一百一十二卷，伦敦，皇家印务局，1922年，第1页)第405条第3款(劳工公约“应适当考虑到”当地产业条件“有很大差异”的各国的特殊情况)。 |
| The same principle also appeared in some of the conventions approved by the Organization in 1919 and in several conventions adopted afterwards. | 同一原则还见于劳工组织1919年批准的一些公约以及后来通过的几项公约。 |
| See I.F. Ayusawa, International Labor Legislation (New York, Columbia University, 1920), chap. VI, pp. 149 et seq. | 见I.F. Ayusawa, International Labor Legislation (New York, Columbia University, 1920), chap. VI, pp. 149 et seq。 |
| Another example is the Generalized System of Preferences elaborated under the United Nations Conference on Trade and Development in the 1970s, as reflected in draft article 23 of the Commission’s 1978 draft articles on most-favoured-nation clauses. | 另一个例子是1970年代联合国贸易和发展会议拟订的普遍优惠制，如委员会1978年《关于最惠国条款的条款草案》第23条草案所反映的那样。 |
| See article 23 (The most-favoured-nation clause in relation to treatment under a generalized system of preferences) and article 30 (New rules of international law in favour of developing countries) of the draft articles on the most-favoured-nation clauses adopted by the Commission at its thirtieth session in 1978, Yearbook … 1978, vol. II (Part Two), para. 74, see also paras. 47–72. | 见1978年国际法委员会第三十届会议通过的《关于最惠国条款的条款草案》的第23条(最惠国条款与普遍优惠制待遇的关系)和第30条(有利于发展中国家的国际法新规则)，《1978年…年鉴》，第二卷(第二部分)，第74段，另见第47至72段。 |
| See S. Murase, Economic Basis of International Law (Tokyo, Yuhikaku, 2001), pp. 109–179 (in Japanese). | 见S. Murase, Economic Basis of International Law (Tokyo, Yuhikaku, 2001), pp. 109–179 (in Japanese)。 |
| And see the earlier exceptions for developing countries specified in art. XVIII of the 1947 General Agreement on Tariffs and Trade (Geneva, 30 October 1947), United Nations, Treaty Series, vol. 55, No. 814, p. 194. | 又见1947年《关税及贸易总协定》(1947年10月30日，日内瓦)(联合国，《条约汇编》，第55卷，第814号，第194页)第十八条所述早先给予发展中国家的例外待遇。 |
| Report of the United Nations Conference on the Human Environment, Stockholm, 5-16 June 1972 (A/CONF.48/14/Rev.1), Part One, chap. 1. | 《一九七二年六月五日至十六日在斯德哥尔摩举行的联合国人类环境会议报告书》(A/CONF.48/14/Rev.1)，第一部分，第一章。 |
| See L.B. Sohn, “The Stockholm Declaration on the Human Environment”, Harvard International Law Journal, vol. 14 (1973), pp. 423–515, at pp. 485–493. | 见L.B. Sohn, “The Stockholm Declaration on the Human Environment”, Harvard International Law Journal, vol. 14 (1973), pp. 423–515, at pp. 485–493。 |
| Adopted at Rio de Janeiro on 14 June 1992, see Report of the United Nations Conference on Environment and Development, Rio de Janeiro, 3-14 June 1992 (A/CONF.151/26/Rev.1 (vol. I) and Corr.1), resolution I, p. 3. | 1992年6月14日在里约热内卢通过，见《联合国环境与发展会议报告，1992年6月3日至14日，里约热内卢》(A/CONF.151/26/Rev.1 (vol. I)和Corr.1)，第1号决议，第3页。 |
| Report of the World Summit on Sustainable Development, Johannesburg, South Africa, 26 August–4 September 2002 (A/CONF.199/20; | 《可持续发展问题世界首脑会议的报告，2002年8月26日至9月4日，南非约翰内斯堡》(A/CONF.199/20； |
| United Nations publication, Sales No. E.03.II.A.1 and corrigendum), chap. I, resolution 1, annex. | 联合国出版物，出售品编号：E.03.II.A.1和更正)，第一章，决议1，附件。 |
| Johannesburg Declaration, para. 24. | 《约翰内斯堡宣言》，第24段。 |
| See also Outcome document of the United Nations Conference on Sustainable Development, “The future we want”, contained in General Assembly resolution 66/288 of 27 July 2012, annex. | 另见联大2012年7月27日第66/288号决议附件所载联合国可持续发展大会成果文件，“我们希望的未来”。 |
| Convention on the Law of the Non-Navigational Uses of International Watercourses (New York, 21 May 1997), Official Records of the General Assembly, Fifty-first session, Supplement No. 49 (A/51/49), vol. III, resolution 51/229, annex. | 《国际水道非航行使用法公约》(1997年5月21日，纽约)，《大会正式记录，第五十一届会议，补编第49号》(A/51/49)，第三卷，第51/229号决议，附件。 |
| The Convention entered into force on 17 August 2014. | 《公约》于2014年8月17日生效。 |
| R.A. Duce et al., “The atmospheric input of trace species to the world ocean”, Global Biogeochemical Cycles, vol. 5 (1991), pp. 193–259; | R.A. Duce et al., “The atmospheric input of trace species to the world ocean”, Global Biogeochemical Cycles, vol. 5 (1991), pp. 193–259; |
| T. Jickells and C.M. Moore, “The importance of atmospheric deposition for ocean productivity”, Annual Review of Ecology, Evolution, and Systematics, vol. 46 (2015), pp. 481–501. | T. Jickells and C.M. Moore, “The importance of atmospheric deposition for ocean productivity”, Annual Review of Ecology, Evolution, and Systematics, vol. 46 (2015), pp. 481–501. |
| See Intergovernmental Panel on Climate Change (IPCC), “Climate change 2014 synthesis report: summary for policymakers”, p. 4. | 见政府间气候变化专门委员会(气专委)“气候变化2014综合报告：决策者摘要”，第4页。 |
| Because of the rise in ocean temperatures, many scientific analyses suggest risk of severe and widespread drought in the twenty-first century over many land areas. | 许多科学分析指出，由于海洋温度升高，21世纪很多陆地地区将有出现严重和广泛干旱的风险。 |
| See Ø. Hov, “Overview: oceans and the atmosphere” and T. Jickells, “Linkages between the oceans and the atmosphere”, in “Summary of the informal meeting of the International Law Commission: dialogue with atmospheric scientists (third session), 4 May 2017”, paras. 4–12 and 21–30, respectively. Available from http://legal.un.org/docs/?path=../ilc/sessions/69/pdfs/english/informal_ dialogue_4may2017.pdf&lang=E. | 见Ø. Hov, “Overview: oceans and the atmosphere” and T. Jickells, “Linkages between the oceans and the atmosphere”, in “Summary of the informal meeting of the International Law Commission: dialogue with atmospheric scientists (third session), 4 May 2017”, paras. 4–12 and 21–30, respectively. Available from http://legal.un.org/docs/?path=../ilc/sessions/69/pdfs/english/informal_ dialogue_4may |
| General Assembly resolution 75/239 of 31 December 2020 on oceans and the law of the sea, parts IX and XI. | 2017.pdf&lang=E。 联大2020年12月31日关于海洋和海洋法的第75/239号决议，第九和第十一部分。 |
| See also General Assembly resolutions 71/257 of 23 December 2016; | 另见联大2016年12月23日第71/257号决议； |
| 72/73 of 5 December 2017; | 2017年12月5日第72/73号决议； |
| 73/124 of 11 December 2018; | 2018年12月11日第73/124号决议； |
| 74/19 of 10 December 2019. | 2019年12月10日第74/19号决议。 |
| IPCC, Climate Change and Land: An IPCC Special Report on Climate Change, Desertification, Land Degradation, Sustainable Land Management, Food Security, and Greenhouse Gas Fluxes in Terrestrial Ecosystems (2019). | 气专委，《气候变化与土地：气专委关于气候变化、荒漠化、土地退化、可持续土地管理、粮食安全及陆地生态系统温室气体通量的特别报告》(2019年)。 |
| Available at www.ipcc.ch/srccl/. | 可查阅www.ipcc.ch/srccl/。 |
| United Nations Division for Ocean Affairs and the Law of the Sea, “First Global Integrated Marine Assessment (first World Ocean Assessment)”. Available from www.un.org/depts/los/global_reporting/WOA_RegProcess.htm (see, in particular, chap. 20 on “Coastal, riverine and atmospheric inputs from land”). | 联合国海洋事务和海洋法司，“第一次全球海洋综合评估(第一次世界海洋评估)”，可查阅www.un.org/depts/los/global_reporting/WOA_RegProcess.htm (特别见第20章，“来自陆地的沿海、沿江和大气层输入物”)。 |
| The summary of the report was approved by the General Assembly at its seventieth session: see General Assembly resolution 70/235 of 23 December 2015 on oceans and the law of the sea. | 联大第七十届会议核准了该报告的摘要：见联大2015年12月23日关于海洋和海洋法的第70/235号决议。 |
| General Assembly resolution 70/1 of 25 September 2015, Transforming our world: the 2030 Agenda for Sustainable Development, para. 14. | 联大2015年9月25日第70/1号决议，变革我们的世界：2030年可持续发展议程，第14段。 |
| See also “Oceans and the law of the sea: report of the Secretary-General” (A/71/74/Add.1), chap. VIII (“Oceans and climate change and ocean acidification”), paras. 115–122. | 另见“海洋和海洋法：秘书长的报告”(A/71/74/Add.1)，第八章(“海洋与气候变化和海洋酸化”)，第115-122段。 |
| The 2009 study by the International Maritime Organization (IMO) on greenhouse gas emissions, Ø. Buhaug et al., Second IMO GHG Study 2009 (London, IMO, 2009), p. 23. | 2009年国际海事组织(海事组织)温室气体排放研究，Ø. Buhaug等人，《2009年海事组织第二次温室气体排放研究》(伦敦，海事组织，2009年)，第23页。 |
| See also T.W.P. Smith et al., Third IMO GHG Study (London, IMO, 2014), executive summary, table 1. | 另见T.W.P. Smith等人，《海事组织第三次温室气体排放研究》(伦敦，海事组织，2014年)，执行摘要，表1。 |
| M. Righi, J. Hendricks and R. Sausen, “The global impact of the transport sectors on atmospheric aerosol in 2030 – Part 1: land transport and shipping”, Atmospheric Chemistry and Physics, vol. 15 (2015), pp. 633–651. | M. Righi, J. Hendricks and R. Sausen, “The global impact of the transport sectors on atmospheric aerosol in 2030 — Part 1: land transport and shipping”, Atmospheric Chemistry and Physics, vol. 15 (2015), pp. 633–651. |
| IPCC, Climate Change 2013: The Physical Science Basis. | 气专委，《气候变化2013：自然科学基础》。 |
| Working Group I Contribution to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change (Cambridge, Cambridge University Press, 2013), p. 1180. | 《政府间气候变化专门委员会第五次评估报告第一工作组的部分报告》(剑桥，剑桥大学出版社，2013年)，第1180页。 |
| See also chapter IX on sea-level rise in relation to international law. | 另见关于与国际法有关的海平面上升的第九章。 |
| Ibid., p. 1140. | 同上，第1140页。 |
| See also IPCC, IPCC Special Report on the Ocean and Cryosphere in a Changing Climate (2019). | 另见，气专委，《气专委气候变化中的海洋和冰冻圈特别报告》(2019年)。 |
| Available at www.ipcc.ch/srocc/. | 可查阅www.ipcc.ch/srocc/。 |
| See A.H.A. Soons, “The effects of a rising sea level on maritime limits and boundaries”, Netherlands International Law Review, vol. 37 (1990), pp. 207–232; | 见A.H.A. Soons, “The effects of a rising sea level on maritime limits and boundaries”, Netherlands International Law Review, vol. 37 (1990), pp. 207–232; |
| See para. (9) of the commentary to draft guideline 9 below. | 见下文指南草案9的评注第(9)段。 |
| See paras. (16) to (18) of the commentary to draft guideline 9 below. | 见下文指南草案9的评注第(16)至(18)段。 |
| Principle 1 of the Declaration refers to the “solemn responsibility to protect and improve the environment for present and future generations”. | 《宣言》的原则一提及“为今代和后世保护和改善环境的神圣责任”。 |
| Report of the World Commission on Environment and Development, Our Common Future (Oxford, Oxford University Press, 1987). | 世界环境与发展委员会的报告，《我们共同的未来》(牛津，牛津大学出版社，1987年)。 |
| It emphasized the importance of “development that meets the needs of the present without compromising the ability of future generations” (p. 43). | 报告强调了“满足当代需求而又不危及后代能力的发展”的重要性(第43页)。 |
| General Assembly resolution 70/1 of 25 September 2015, which emphasizes the need to protect the planet from degradation so that it can “support the needs of present and future generations”. | 联大2015年9月25日第70/1号决议强调必须阻止地球的退化，使地球能够“满足今世后代的需求”。 |
| The preamble of the Convention provides for the “benefit of present and future generations” in conservation and sustainable use of biological diversity. | 《公约》序言规定，为“今世后代的利益”，保护和持久使用生物多样性。 |
| Article 4 (vi) of the Joint Convention on the Safety of Spent Fuel Management and on the Safety of Radioactive Waste Management (Vienna, 5 September 1997, United Nations, Treaty Series, vol. 2153, No. 37605, p. 303) provides that parties shall “strive to avoid actions that impose reasonably predictable impacts on future generations greater than those permitted for the current generation”. | 《乏燃料管理安全和放射性废物管理安全联合公约》(1997年9月5日，维也纳，联合国，《条约汇编》，第2153卷，第37605号，第303页)第4条第(vi)款规定，缔约方应“努力避免那些对后代产生的能合理预计到的影响大于对当代人允许的影响的行动”。 |
| Legality of the Threat or Use of Nuclear Weapons, Advisory Opinion, I.C.J. Reports 1996, p. 226, at p. 244, para. 36. | 以核武器进行威胁或使用核武器的合法性，咨询意见，《1996年国际法院案例汇编》，第226页起，见第244页，第36段。 |
| There have been national court decisions that recognize intergenerational equity, see Australia, Gray v. Minister for Planning, [2006] NSWLEC 720; | 有一些国内法院的裁决承认代际公平，见澳大利亚：Gray诉规划部长，[2006] NSWLEC 720； |
| India, Vellore Citizens’ Welfare Forum and State of Tamil Nadu (joining) v. Union of India and others, original public interest writ petition, 1996 5 SCR 241, ILDC 443 (IN 1996); | 印度：韦洛尔公民福利论坛和泰米尔纳德邦(联合)诉印度联邦等，最初的公共利益上诉状，1996 5 SCR 241, ILDC 443 (IN 1996)； |
| Kenya, Waweru, Mwangi (joining) and others (joining) v. Kenya, miscellaneous civil application, Case No. 118 of 2004, Application No. 118/04, ILDC 880 (KE 2006); | 肯尼亚：Waweru、Mwangi (参加诉讼)及其他人(参加诉讼)诉肯尼亚，杂项民事诉讼，2004年第118号案件，申诉号：118/04, ILDC 880 (KE 2006)； |
| South Africa, Fuel Retailers Association of South Africa v. Director-General, Environmental Management, Department of Agriculture, Conservation and Environment, Mpumalanga Province, and others, [2007] ZACC 13, 10 BCLR 1059; | 南非：南非燃料零售商协会诉姆普马兰加省农业、养护和环境部环境管理总干事等人，[2007] ZACC 13, 10 BCLR 1059； |
| Pakistan, Rabab Ali v. Federation of Pakistan, petition filed 6 April 2016 (summary available at www.ourchildrenstrust.org/pakistan). | 巴基斯坦：Rabab Ali诉巴基斯坦联邦，2016年4月6日提出的申诉(摘要见www.ourchildrenstrust.org/pakistan)。 |
| For commentary, see C. Redgwell, “Intra- and inter-generational equity”, in C.P. Carlarne, K.R. Gray and R.G. Tarasofsky, eds., The Oxford Handbook of International Climate Change Law (Oxford, Oxford University Press, 2016), pp. 185–201, at p. 198. See also, E. Brown Weiss, In Fairness to Future Generations: International Law, Common Patrimony, and Intergenerational Equity (Tokyo, United Nations University Press, 1989), p. 96; | 有关评论，见 C. Redgwell, “Intra- and inter-generational equity”, in C.P. Carlarne, K.R. Gray and R.G. Tarasofsky, eds., The Oxford Handbook of International Climate Change Law (Oxford, Oxford University Press, 2016), pp. 185–201, at p. 198. See also, E. Brown Weiss, In Fairness to Future Generations: International Law, Common Patrimony, and Intergenerational Equity (Tokyo, United Nations University Press, 1989), p. 96; |
| M. Bruce, “Institutional aspects of a charter of the rights of future generations”, in S. Busuttil et al., eds., Our Responsibilities Towards Future Generations (Valetta, UNESCO and Foundation for International Studies, University of Malta, 1990), pp. 127–131; | M. Bruce, “Institutional aspects of a charter of the rights of future generations”, in S. Busuttil et al., eds., Our Responsibilities Towards Future Generations (Valetta, UNESCO and Foundation for International Studies, University of Malta, 1990), pp. 127–131; |
| T. Allen, “The Philippine children’s case: recognizing legal standing for future generations”, Georgetown International Environmental Law Review, vol. 6 (1994), pp. 713–741 (referring to the judgment of the Philippine Supreme Court in Minors Oposa et al. v. Factoran (30 July 1993), International Legal Materials, vol. 33 (1994), p. 168). | T. Allen, “The Philippine children’s case: recognizing legal standing for future generations”, Georgetown International Environmental Law Review, vol. 6 (1994), pp. 713–741 (referring to the judgment of the Philippine Supreme Court in Minors Oposa et al. v. Factoran (30 July 1993), International Legal Materials, vol. 33 (1994), p. 168)。 |
| Standing to sue in some proceedings was granted on the basis of the “public trust doctrine”, which holds governments accountable as trustees for the management of common environmental resources. | 有些诉讼根据“公共信托论”给予起诉资格，这种理论要求政府作为受托人承担管理共同的环境资源的责任。 |
| See M.C. Wood and C.W. Woodward IV, “Atmospheric trust litigation and the constitutional right to a healthy climate system: judicial recognition at last”, Washington Journal of Environmental Law and Policy, vol. 6 (2016), pp. 634–684; | 见 M.C. Wood and C.W. Woodward IV, “Atmospheric trust litigation and the constitutional right to a healthy climate system: judicial recognition at last”, Washington Journal of Environmental Law and Policy, vol. 6 (2016), pp. 634–684; |
| C. Redgwell, Intergenerational Trusts and Environmental Protection (Manchester, Manchester University Press, 1999); | C. Redgwell, Intergenerational Trusts and Environmental Protection (Manchester, Manchester University Press, 1999); |
| K. Coghill, C. Sampford and T. Smith, eds., Fiduciary Duty and the Atmospheric Trust (London, Routledge, 2012); | K. Coghill, C. Sampford and T. Smith, eds., Fiduciary Duty and the Atmospheric Trust (London, Routledge, 2012); |
| M.C. Blumm and M.C. Wood, The Public Trust Doctrine in Environmental and Natural Resources Law, 2nd ed. (Durham, North Carolina, Carolina Academic Press, 2015); | M.C. Blumm and M.C. Wood, The Public Trust Doctrine in Environmental and Natural Resources Law, 2nd ed. (Durham, North Carolina, Carolina Academic Press, 2015); |
| and K. Bosselmann, Earth Governance: Trusteeship of the Global Commons (Cheltenham, Edward Elgar Publishing, 2015). | and K. Bosselmann, Earth Governance: Trusteeship of the Global Commons (Cheltenham, Edward Elgar Publishing, 2015)。 |
| In a judgment on 13 December 1996, the Indian Supreme Court declared the public trust doctrine “the law of the land”; | 印度最高法院在1996年12月13日的一项判决中，宣布公共信托论为“国内法”； |
| M.C. Mehta v. Kamal Nath and Others, (1997) 1 Supreme Court Cases 388, reprinted in C.O. Okidi, ed., Compendium of Judicial Decisions in Matters Related to the Environment: National Decisions, vol. I (Nairobi, United Nations Environment Programme/United Nations Development Programme, 1998), p. 259. | M.C. Mehta诉Kamal Nath等，(1997) 1最高法院第388号案件，重新刊登于C.O. Okidi编辑的《环境相关问题的司法判决简编：国家判决》，第一卷(内罗毕，联合国环境规划署/联合国开发计划署，1998年)，第259页。 |
| See J. Razzaque, “Application of public trust doctrine in Indian environmental cases”, Journal of Environmental Law, vol. 13 (2001), pp. 221–234. | 见 J. Razzaque, “Application of public trust doctrine in Indian environmental cases”, Journal of Environmental Law, vol. 13 (2001), pp. 221–234。 |
| Yearbook … 2013, vol. II (Part Two), para. 168. | 《2013年…年鉴》，第二卷(第二部分)，第168段。 |
| Fifth Assessment Report, Working Group III, annex I. IPCC, Climate Change 2014: Mitigation of Climate Change, O. Edenhofer et al., eds. (Cambridge, Cambridge University Press, 2014), p. 1252, available at www.ipcc.ch/report/ar5/wg3/. | 《第五次评估报告》，第三工作组，附件一。 气专委，《气候变化2014：减缓气候变化》，O. Edenhofer等人编(剑桥，剑桥大学出版社，2014年)，第1252页，可查阅 www.ipcc.ch/report/ar5/wg3/。 |
| The American Meteorology Society defines the “atmospheric shell” (also called atmospheric layer or atmospheric region) as “any one of a number of strata or ‘layers’ of the earth’s atmosphere” (available at http://glossary.ametsoc.org/wiki/Atmospheric_shell). | 美国气象学会将“大气壳层”(也称为大气层或大气区)界定为“地球大气不同层级中的任何一层或‘若干层’”(可查阅http://glossary.ametsoc.org/wiki/Atmospheric_shell)。 |
| Physically, water vapour, which accounts for roughly 0.25 per cent of the mass of the atmosphere, is a highly variable constituent. | 从物理角度而言，约占大气层质量0.25%的水蒸气是一个极为易变的组成部分。 |
| In atmospheric science, “because of the large variability of water vapor concentrations in air, it is customary to list the percentages of the various constituents in relation to dry air”. | 在大气科学中，“因为空气中水蒸气浓度变化幅度很大，所以习惯做法是列出不同组成部分相对于干燥空气的比例”。 |
| Ozone concentrations are also highly variable. Over 0.1 ppmv (parts per million by volume) of ozone concentration in the atmosphere is considered hazardous to human beings. | 臭氧的浓度也时常变化，大气中的臭氧浓度超过0.1ppmv(体积百万分比)，被视为对人体有害。 |
| See J.M. Wallace and P.V. Hobbs, Atmospheric Science: An Introductory Survey, 2nd ed. (Boston, Elsevier Academic Press, 2006), p. 8. | 见 J.M. Wallace and P.V. Hobbs, Atmospheric Science: An Introductory Survey, 2nd ed. (Boston, Elsevier Academic Press, 2006), p. 8。 |
| Ibid. | 同上。 |
| The American Meteorological Society defines the “lower atmosphere” as “generally and quite loosely, that part of the atmosphere in which most weather phenomena occur (i.e., the troposphere and lower stratosphere); | 美国气象学会对“低层大气”的界定是：“一般粗略而言，指的是大气层中发生大多数天气现象的部分(即对流层和平流层下部)； |
| hence used in contrast to the common meaning for the upper atmosphere” (available at http://glossary.ametsoc.org/wiki/Lower_atmosphere). | 因而用于与高层大气的一般含义形成对照”(可查阅http://glossary.ametsoc.org/wiki/Lower_atmosphere)。 |
| The “upper atmosphere” is defined as residual, that is “the general term applied to the atmosphere above the troposphere” (available at http://glossary.ametsoc.org/wiki/Upper_atmosphere). | “高层大气”被界定为剩余部分，即“用于指对流层以上的大气层的广义概念”(可查阅http://glossary.ametsoc.org/wiki/Upper_atmosphere)。 |
| The thickness of the troposphere is not the same everywhere; | 对流层的厚度并非在所有地方都相同； |
| it depends on the latitude and the season. | 其厚度取决于海拔与季节。 |
| The top of the troposphere lies at an altitude of about 17 km at the equator, although it is lower at the poles. | 对流层顶的海拔高度在赤道地区约为17千米，但在极区低一些。 |
| On average, the height of the outer boundary of the troposphere is about 12 km. | 平均而言，对流层外边界的高度约为12千米。 |
| See E.J. Tarbuck, F.K. Lutgens and D. Tasa, Earth Science, 13th ed. (New Jersey, Pearson, 2011), p. 466. | 见E.J. Tarbuck, F.K. Lutgens and D. Tasa, Earth Science, 13th ed. (New Jersey, Pearson, 2011), p. 466。 |
| Strictly, the temperature of the stratosphere remains constant to a height of about 20–35 km and then begins a gradual increase. | 严格说，平流层的温度到20-35千米高度时都一直保持恒定，然后开始逐渐上升。 |
| See Tarbuck, Lutgens and Tasa, Earth Science (footnote 53 above), p. 467. | 见Tarbuck, Lutgens and Tasa, Earth Science (上文脚注53), p. 467。 |
| For instance, art. 1, para. 1, of the Cairo resolution (1987) of the Institute of International Law (Institut de droit international) on “Transboundary Air Pollution” provides that: “[f]or the purposes of this Resolution, ‘transboundary air pollution’ means any physical, chemical or biological alteration in the composition or quality of the atmosphere which results directly or indirectly from human acts or omissions and produces injurious or deleterious effects in the environment of other States or of areas beyond the limits of national jurisdiction.” (emphasis added). | 例如，国际法学会(Institut de droit international)关于“跨界空气污染”的开罗决议(1987年)第1条第1段规定，“为本决议的目的，‘跨界空气污染’指因为人类的直接或间接作为或不作为、导致大气的组成或质量发生物理、化学或生物改变、对其他国家或对一国管辖权范围以外地带的环境产生伤害性或有害影响的现象。 ”(强调是后加的)。 |
| Available from www.idi-iil.org, Resolutions. | 可查阅www.idi-iil.org, Resolutions。 |
| Convention on Long-Range Transboundary Air Pollution (Geneva, 13 November 1979), United Nations, Treaty Series, vol. 1302, No. 21623, p. 217. | 《远距离越境空气污染公约》(1979年11月13日日内瓦，联合国，《条约汇编》，第1302卷，第21623号，第217页。 |
| The formulation of art. 1 (a) of the Convention on Long-Range Transboundary Air Pollution goes back to the definition of pollution by the Council of the Organization for Economic Cooperation and Development (OECD) in its Recommendation C(74)224 on “Principles concerning Transfrontier Pollution”, of 14 November 1974 (International Legal Materials, vol. 14 (1975), p. 243), which reads as follows: “For the purpose of these principles, pollution means the introduction by man, directly or indirectly, of substances or energy into the environment resulting in deleterious effects of such a nature as to endanger human health, harm living resources and ecosystems, and impair or interfere with amenities and other legitimate uses of the environment”. | 《远距离越境空气污染公约》第1条(a)项措词的渊源在经济合作与发展组织(经合组织)理事会关于污染的定义，载于1974年11月14日的建议C (74)224“有关跨界污染的原则”(《国际法律资料》，第14卷(1975年)，第243页)，行文如下“为本原则的目的，污染指由人类直接或间接将物质或能量引入环境，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，并损害或干扰舒适度及对环境的其他合理使用”。 |
| See H. van Edig, ed., Legal Aspects of Transfrontier Pollution (Paris, OECD, 1977), p. 13; | 见 H. van Edig, ed., Legal Aspects of Transfrontier Pollution (Paris, OECD, 1977), p. 13; |
| see also Boyle and Redgwell, International Law and the Environment, (see footnote 21 above) pp. 364–371; | 另见Boyle and Redgwell, International Law and the Environment, (见上文脚注21) pp. 364-371; |
| A. Kiss and D. Shelton, International Environmental Law, 3rd ed. (New York, Transnational Publishers, 2004), p. 99 (definition of pollution: “also forms of energy such as noise, vibrations, heat, and radiation are included”). | A. Kiss and D. Shelton, International Environmental Law, 3rd ed. (New York, Transnational Publishers, 2004), p. 99 (污染的定义：“还包括各种能量形式，诸如噪音、振动、热和辐射”)。 |
| See, for example, art. 7 of the Convention on the Law of the Non-navigational Uses of International Watercourses (General Assembly resolution 51/229 of 21 May 1997, annex); | 例如，见《国际水道非航行使用法公约》(联大1997年5月21日第51/229号决议，附件)第7条； |
| art. 1 of the articles on prevention of transboundary harm from hazardous activities (2001) (General Assembly resolution 62/68 of 6 December 2007, annex); | 《预防危险活动的跨界损害条款》 (2001年) (联大2007年12月6日第62/68号决议，附件)第1条； |
| principle 2 of the principles on the allocation of loss in the case of transboundary harm arising out of hazardous activities (2006) (General Assembly resolution 61/36 of 4 December 2006, annex); | 《危险活动所致跨界损害的损失分配原则》 (2006年) (联大2006年12月4日第61/36号决议，附件)原则2； |
| art. 6 of the articles on the law of transboundary aquifers (2008) (General Assembly resolution 63/124 of 11 December 2008, annex). | 《跨界含水层法条款》 (2008年) (联大2008年12月11日第63/124号决议，附件)第6条。 |
| It was also underlined that the term “significant” has been used in the jurisprudence of the International Court of Justice, including in its 2015 judgment in Certain Activities Carried Out by Nicaragua in the Border Area (Costa Rica v. Nicaragua) and Construction of a Road in Costa Rica along the San Juan River (Nicaragua v. Costa Rica) (Judgment, I.C.J. Reports 2015, p. 665, at paras. 104–105 and 108; | 还应着重指出，国际法院的判例中曾使用过“重大”一词，包括2015年在尼加拉瓜在边界地区开展的某些活动(哥斯达黎加诉尼加拉瓜)和哥斯达黎加沿圣胡安河修建道路(尼加拉瓜诉哥斯达黎加)案的判决(判决，《2015年国际法院案例汇编》，第665页，第104至105和第108段。 |
| see also paras. 153, 155, 156, 159, 161, 168, 173, 196 and 217). | 另见第153、155、156、159、161、168、173、196和217段)中。 |
| Para. (4) of the commentary to article 2 of the articles on prevention of transboundary harm from hazardous activities, 2001, Yearbook … 2001, Vol. II (Part Two) and corrigendum, p. 152, at para. 98. | 2001年《预防危险活动的跨界损害条款》第2条评注第(4)段，《2001年…年鉴》，第二卷(第二部分)和更正，第152页，见第98段。 |
| See, for example, the commentary to the articles on prevention of transboundary harm from hazardous activities (paras. (4) and (7) of the commentary to article 2), ibid. | 例如见《预防危险活动的跨界损害条款》评注(第2条评注第(4)和第(7)段)，同上。 |
| See also the commentary to the principles on the allocation of loss in the case of transboundary harm arising out of hazardous activities (paras. (1) to (3) of the commentary to principle 2), Yearbook … 2006, vol. II (Part Two), para. 67. | 另见《危险活动所致跨界损害的损失分配原则》评注(原则2评注第(1)至(3)段)，《2006年…年鉴》，第二卷(第二部分)，第67段。 |
| See also the Protocol concerning Pollution from Land-Based Sources and Activities to the Convention for the Protection and Development of the Marine Environment of the Wider Caribbean Region (Oranjestad, 6 October 1999), Treaties and Other International Acts Series, 10-813, art. 1 (c). | 另见《保护和开发大加勒比区域海洋环境公约关于陆地来源和活动的污染的议定书》(奥拉涅斯塔德，1999年10月6日)，《条约及其他国际文件汇编》，10-813, 第1(c)条。 |
| With regard to heat, see World Meteorological Organization/International Global Atmospheric Chemistry, Project Report, “Impacts of megacities on air pollution and climate”, Global Atmosphere Watch Report No. 205 (Geneva, World Meteorological Organization, 2012); | 关于热，见世界气象组织/国际全球大气化学计划，项目报告，“特大城市对空气污染和气候的影响”，全球大气监测网第205号报告(日内瓦，世界气象组织，2012年)； |
| D. Simon and H. Leck, “Urban adaptation to climate/environmental change: governance, policy and planning”, Special Issue, Urban Climate, vol. 7 (2014) pp. 1–134; | D. Simon and H. Leck, “Urban adaptation to climate/environmental change: governance, policy and planning”, Special Issue, Urban Climate, vol. 7 (2014) pp. 1–134; |
| J.A. Arnfield, “Two decades of urban climate research: a review of turbulence, exchanges of energy and water, and the urban heat island”, International Journal of Climatology, vol. 23 (2003), pp. 1–26; | J.A. Arnfield, “Two decades of urban climate research: a review of turbulence, exchanges of energy and water, and the urban heat island”, International Journal of Climatology, vol. 23 (2003), pp. 1–26; |
| L. Gartland, Heat Islands: Understanding and Mitigating Heat in Urban Areas (London, Earthscan, 2008); | L. Gartland, Heat Islands: Understanding and Mitigating Heat in Urban Areas (London, Earthscan, 2008); |
| see, in general, B. Stone Jr., The City and the Coming Climate: Climate Change in the Places We Live (Cambridge, Massachusetts, Cambridge University Press, 2012). | 一般参看B. Stone Jr., The City and the Coming Climate: Climate Change in the Places We Live (Cambridge, Massachusetts, Cambridge University Press, 2012)。 |
| Regarding light pollution, see C. Rich and T. Longcore, eds., Ecological Consequences of Artificial Night Lighting, (Washington, D.C., Island Press, 2006); | 关于光污染，见 C. Rich and T. Longcore, eds., Ecological Consequences of Artificial Night Lighting, (Washington, D.C., Island Press, 2006); |
| P. Cinzano and F. Falchi, “The propagation of light pollution in the atmosphere”, Monthly Notices of the Royal Astronomic Society, vol. 427 (2012), pp. 3337–3357; | P. Cinzano and F. Falchi, “The propagation of light pollution in the atmosphere”, Monthly Notices of the Royal Astronomic Society, vol. 427 (2012), pp. 3337–3357; |
| F. Bashiri and C. Rosmani Che Hassan, “Light pollution and its effects on the environment”, International Journal of Fundamental Physical Sciences, vol. 4 (2014), pp. 8–12. | F. Bashiri and C. Rosmani Che Hassan, “Light pollution and its effects on the environment”, International Journal of Fundamental Physical Sciences, vol. 4 (2014), pp. 8–12。 |
| Regarding acoustic/noise pollution, see e.g. annex 16 of the 1944 Convention on International Civil Aviation (Chicago, 7 December 1944, United Nations, Treaty Series, vol. 15, No. 295 p. 295), vol. I: Aircraft Noise, 5th ed. 2008; | 关于声/噪音污染，例如见1944年《国际民用航空公约》附件16 (芝加哥，1944年12月7日，联合国，《条约汇编》，第15卷，第295号，第295页)，第一卷：飞机噪音，第5版，2008年； |
| see P. Davies and J. Goh, “Air transport and the environment: regulating aircraft noise”, Air and Space Law, vol. 18 (1993), pp. 123–135. | 见P. Davies and J. Goh, “Air transport and the environment: regulating aircraft noise”, Air and Space Law, vol. 18 (1993), pp. 123–135。 |
| Concerning radioactive emissions, see D. Rauschning, “Legal problems of continuous and instantaneous long-distance air pollution: interim report”, Report of the Sixty-Second Conference of the International Law Association (Seoul, 1986), pp. 198–223, at p. 219; | 关于放射性排放，见 D. Rauschning, “Legal problems of continuous and instantaneous long-distance air pollution: interim report”, Report of the Sixty-Second Conference of the International Law Association (Seoul, 1986), pp. 198–223, at p. 219; |
| and International Atomic Energy Agency, Environmental Consequences of the Chernobyl Accident and their Remediation: Twenty Years of Experience – Report of the Chernobyl Forum Expert Group ‘Environment’, Radiological Assessment Report Series (2006), STI/PUB/1239. | 国际原子能机构，“切尔诺贝利事故的环境后果及其补救：20年经验――切尔诺贝利论坛专家组‘环境’报告”，辐射评估报告系列(2006年)，STI/PUB/1239。 |
| See also United Nations Scientific Committee on the Effects of Atomic Radiation, 2013 Report to the General Assembly, Scientific Annex A: Levels and effects of radiation exposure due to the nuclear accident after the 2011 great east-Japan earthquake and tsunami (United Nations publication, Sales No. E.14.IX.1), available at www.unscear.org/docs/reports/2013/13-85418_Report_2013_Annex_A.pdf. | 另见联合国原子辐射影响问题科学委员会2013年提交联大的报告，《科学附件A：2011年日本东部大地震和海啸后引发的核事故的辐照量和辐照影响》(联合国出版物，出售品编号E.14.IX.1)，可查阅 www.unscear.org/docs/reports/2013/13-85418_Report_2013_Annex_A.pdf。 |
| International Atomic Energy Agency, Climate Change and Nuclear Power 2014 (Vienna, 2014), p. 7. | 国际原子能机构，《2014年气候变化与核电》，(2014年，维也纳)，第7页。 |
| Vienna Convention for the Protection of the Ozone Layer (Vienna, 22 March 1985), United Nations, Treaty Series, vol. 1513, No. 26164, p. 293. | 《保护臭氧层维也纳公约》(1985年3月22日，维也纳，联合国，《条约汇编》，第1513卷，第26164号，第293页。 |
| See, generally, IPCC, Climate Change 2013: The Physical Science Basis, Summary for Policy makers, available at www.ipcc.ch/pdf/assessment-report/ar5/wg1/WG1AR5_SPM_FINAL.pdf. | 一般参看：气专委，《气候变化2013：自然科学基础，决策者摘要》，可查阅 www.ipcc.ch/pdf/assessment-report/ar5/wg1/WG1AR5_SPM_FINAL.pdf。 |
| Report of the United Nations Conference on Environment and Development, Rio de Janeiro, 3–14 June 1992, vol. I, Resolutions Adopted by the Conference (A/CONF.151/26/Rev.1(Vol. I); | 《联合国环境与发展会议的报告，1992年6月3日至14日，里约热内卢》，第一卷，《环发会议通过的决议》(A/CONF.151/26/Rev.1(Vol. I)； |
| United Nations publication, Sales No. E.93.I.8 and corrigendum), resolution 1, annex II, para. 9.25. | 联合国出版物，出售品编号：C.93.I.8和更正)，决议1，附件二，第9.25段。 |
| IPCC, Climate Change 2013: The Physical Science Basis, Summary for Policy makers. | 气专委，《气候变化2013：自然科学基础，决策者摘要》。 |
| Ibid. IPCC, Global Warming of 1.5 ºC. | 同上。 气专委，《全球升温1.5ºC。 |
| An IPCC Special Report, Summary for Policymakers (2018), pp. 4–5. | 气专委特别报告，决策者摘要》(2018年)，第4-5页。 |
| Available at www.ipcc.ch/sr15/chapter/spm/. | 可查阅www.ipcc.ch/sr15/chapter/spm/。 |
| Boyle and Redgwell, International Law and the Environment (see footnote 21 above), pp. 378–379. | Boyle and Redgwell, International Law and the Environment (见上文脚注21), pp. 378–379。 |
| Ibid., p. 379. | 同上，第379页。 |
| The linkages between climate change and ozone depletion are addressed in the preamble as well as in article 4 of the United Nations Framework Convention on Climate Change. | 《联合国气候变化框架公约》序言及第四条阐述了气候变化与臭氧消耗的联系。 |
| The linkage between transboundary atmospheric pollution and climate change is addressed in the preamble and article 2, paragraph 1, of the 2012 amendment of the Gothenburg Protocol. | 《哥德堡议定书》2012年修正案序言及第2条第1款阐述了跨界大气污染与气候变化的联系。 |
| Ibid. | 同上。 |
| See generally Boyle and Redgwell, International Law and the Environment (footnote 21 above), pp. 359–361. | 一般参看 Boyle and Redgwell, International Law and the Environment (上文脚注21), pp. 359–361。 |
| Convention on International Civil Aviation (Chicago, 7 December 1944), United Nations, Treaty Series, vol. 15, No. 102, p. 295. | 《国际民用航空公约》(1944年12月7日，芝加哥)，联合国，《条约汇编》，第15卷，第102号，第295页。 |
| See also article 2, paragraph 2, of the United Nations Convention on the Law of the Sea, which provides that “sovereignty extends to the air space over the territorial sea as well as to its bed and subsoil”. | 另见《联合国海洋法公约》第二条第2款，该款规定：“主权及于领海的上空及其海床和底土”。 |
| Tarbuck, Lutgens and Tasa, Earth Science (see footnote 53 above), pp. 465 and 466. | Tarbuck, Lutgens and Tasa, Earth Science (见上文脚注53), pp. 465 and 466。 |
| Moscow, London and Washington, D.C., 27 January 1967, United Nations, Treaty Series, vol. 610, No. 8843, p. 205. | 1967年1月27日，莫斯科、伦敦、华盛顿，联合国，《条约汇编》，第610卷，第8843号，第205页。 |
| See, generally, B. Jasani, ed., Peaceful and Non-Peaceful uses of Space: Problems of Definition for the Prevention of an Arms Race, United Nations Institute for Disarmament Research (New York, Taylor and Francis, 1991), especially chaps. 2–3. | 一般参看B. Jasani, ed., Peaceful and Non-Peaceful uses of Space: Problems of Definition for the Prevention of an Arms Race, United Nations Institute for Disarmament Research (New York, Taylor and Francis, 1991)，特别是第2至第3章。 |
| See UNRIAA, vol. III (Sales No. 1949.V.2), pp. 1905–1982 (Award of 11 March 1941), 1907, at p. 1965 et seq. (“under the principles of international law … no State has the right to use or permit the use of territory in such a manner as to cause injury by fumes in or to the territory of another or the properties or persons therein, when the case is of serious consequence and the injury is established by clear and convincing evidence”) and the first report of the Special Rapporteur (A/CN.4/667), para. 43. | 见《国际仲裁裁决汇编》第三卷，(出售品编号1949.V.2)，第1905-1982页(1941年3月11日裁决)，1907页，第1965页起(“根据国际法原则…，在后果严重且有明确可信的证据证实损害的情形下任何国家都无权利使用或准许使用其领土以致产生烟气在他国领土或对他国领土或他国的财产或国民造成损害”)； 特别报告员的第一次报告(A/CN.4/667)，第43段。 |
| See also A.K. Kuhn, “The Trail Smelter Arbitration, United States and Canada”, American Journal of International Law, vol. 32 (1938), pp. 785–788, and ibid., vol. 35 (1941), pp. 665–666; | 另见A.K. Kuhn, “The Trail Smelter Arbitration, United States and Canada”, American Journal of International Law, vol. 32 (1938), pp. 785–788, and ibid., vol. 35 (1941), pp. 665–666; |
| and J.E. Read, “The Trail Smelter Dispute”, Canadian Yearbook of International Law, vol. 1 (1963), pp. 213–229. | and J.E. Read, “The Trail Smelter Dispute”, Canadian Yearbook of International Law, vol. 1 (1963), pp. 213–229。 |
| Article 48 (Invocation of responsibility by a State other than an injured State) provides that: “1. Any State other than an injured State is entitled to invoke the responsibility of another State in accordance with paragraph 2 if … (b) the obligation breached is owed to the international community as a whole” (General Assembly resolution 56/83 of 12 December 2001. | 第48条(受害国以外的国家援引责任)规定，“1. 受害国以外的任何国家有权按照第2款在下列情况下对另一国援引责任…(b) 被违背的义务是对整个国际社会承担的义务”(联大2001年12月12日第56/83号决议。 |
| For the articles adopted by the Commission and the commentaries thereto, see Yearbook … 2001, vol. II (Part Two) and corrigendum, chap. IV, sect. E). | 委员会通过的条款草案及其评注，见《2001年…年鉴》，第二卷(第二部分)和更正，第四章，E节)。 |
| Pulp Mills on the River Uruguay (Argentina v. Uruguay), Judgment, I.C.J. Reports 2010, p. 14, at pp. 55 and 179, paras. 101 and 197; | 乌拉圭河沿岸纸浆厂案(阿根廷诉乌拉圭)，判决，《2010年国际法院案例汇编》，第14页起，见第55和第179页，第101和第197段； |
| Certain Activities Carried Out by Nicaragua in the Border area (Costa Rica v. Nicaragua) and Construction of a Road in Costa Rica along the San Juan River (Nicaragua v. Costa Rica) (see footnote 58 above), paras. 104, 153, 168 and 228; | 见尼加拉瓜在边界地区开展的某些活动(哥斯达黎加诉尼加拉瓜)和哥斯达黎加圣胡安河沿线修建道路案(尼加拉瓜诉哥斯达黎加) (见上文脚注58)，第104、第153、第168和第228段； |
| International Tribunal for the Law of the Sea, Responsibilities and Obligations of States with Respect to Activities in the Area (Request for Advisory Opinion submitted to the Seabed Dispute Chamber), Advisory Opinion, 1 February 2011, ITLOS Reports 2011, p. 10, at para. 131; | 国际海洋法法庭，国家对区域内活动的责任和义务(请求海底争端分庭提出咨询意见)，咨询意见，2011年2月1日，《2011年国际海洋法法庭案例汇编》，第10页，第131段； |
| draft articles on prevention of transboundary harm from hazardous activities, Yearbook … 2001, vol. II (Part Two) and corrigendum, para. 97 (reproduced in General Assembly resolution 62/68, annex, of 6 December 2007), paras. 7–18; | 《预防危险活动的跨界损害条款草案》，《2001年…年鉴》，第二卷(第二部分)和更正，第97段(案文也载于联大2007年12月6日第62/68号决议附件)，第7-18段； |
| first and second reports of the International Law Association Study Group on due diligence in international law, 7 March 2014 and July 2016, respectively; | 国际法协会国际法应尽义务研究组的第一和第二次报告，分别于2014年3月7日和2016年7月； |
| J. Kulesza, Due Diligence in International Law (Leiden, Brill, 2016); | J. Kulesza, Due Diligence in International Law (Leiden, Brill, 2016); |
| Société française pour le droit international, Le standard de due diligence et la responsabilité internationale, Paris, Pedone, 2018; | Société française pour le droit international, Le standard de due diligence et la responsabilité internationale, Paris, Pedone, 2018; |
| S. Besson, “La due diligence en droit international”, Collected Courses of the Hague Academy of International Law, vol. 409 (2020), pp. 153–398. | S. Besson, “La due diligence en droit international”, Collected Courses of the Hague Academy of International Law, vol. 409 (2020), pp. 153-398。 |
| M.H. Nordquist et al., eds., United Nations Convention on the Law of the Sea 1982: A Commentary, vol. IV (Dordrecht, Martinus Nijhoff, 1991), p. 50. | M.H. Nordquist et al., eds., United Nations Convention on the Law of the Sea 1982: A Commentary, vol. IV (Dordrecht, Martinus Nijhoff, 1991), p. 50. |
| Article 3, paragraph 3, states that “[t]he Parties should take precautionary measures to anticipate, prevent or minimize the causes of climate change and mitigate its adverse effect”. | 第三条第3款规定：“各缔约方应当采取预防措施，预测、防止或尽量减少引起气候变化的原因，并缓解其不利影响”。 |
| See, for example, United Nations Convention on the Law of the Sea (Montego Bay), United Nations, Treaty Series, vol. 1833, No. 31363, p. 3, art. 212; | 例如见《联合国海洋法公约》(蒙特哥湾)，联合国，《条约汇编》，第1833卷，第31363号，第3页，第二一二条； |
| Vienna Convention for the Protection of the Ozone Layer, art. 2, para. 2 (b); | 《保护臭氧层维也纳公约》，第2条第2款(b)项； |
| United Nations Framework Convention on Climate Change, art. 4; | 《联合国气候变化框架公约》，第四条； |
| Stockholm Convention on Persistent Organic Pollutants, first preambular paragraph and art. 3; | 《关于持久性有机污染物的斯德哥尔摩公约》，序言部分第一段和第3条； |
| and Minamata Convention on Mercury, arts. 2 and 8–9. | 《关于汞的水俣公约》，第二条和第八至第九条。 |
| Eleventh and thirteenth preambular paragraphs. | 序言部分第十一和第十三段。 |
| Yearbook … 2001, vol. II (Part Two) and corrigendum, chap. V, sect. E, art. 3 (Prevention): “The State of origin shall take all appropriate measures to prevent significant transboundary harm or at any event to minimize the risk thereof”. | 《2001年…年鉴》，第二卷(第二部分)和更正，第五章，E节，第3条(预防)：“起源国应采取一切适当措施，以预防重大跨界损害或随时尽量减少这种危险”。 |
| The Commission has also dealt with the obligation of prevention in its articles on responsibility of States for internationally wrongful acts. | 委员会还在《国家对国际不法行为责任的条款》中论述了防止的义务。 |
| Article 14, paragraph 3, provides that “The breach of an international obligation requiring a State to prevent a given event occurs when the event occurs and extends over the entire period during which the event continues” (ibid., chap. IV, sect. E). | 第14条第3款规定，“一国违背要求它防止某一特定事件之国际义务的行为开始于该事件发生的时刻，该行为延续的时间为该事件持续…的整个期间”(同上，第四章，E节)。 |
| According to the commentary: “Obligations of prevention are usually construed as best efforts obligations, requiring States to take all reasonable or necessary measures to prevent a given event from occurring, but without warranting that the event will not occur” (ibid., para. (14) of the commentary to art. 14, para. 3). | 根据评注，“防止的义务通常被认为是最大努力的义务，要求国家采取所有合理或必要措施，防止某一事件发生，但又不保证该事件不会发生”(同上，关于第14条第3款的评注第(14)段)。 |
| The commentary illustrated “the obligation to prevent transboundary damage by air pollution, dealt with in the Trail Smelter arbitration” as one of the examples of the obligation of prevention (ibid.). | 评注指出，“特雷尔冶炼厂仲裁案中处理的防止空气污染跨界损害的义务”，正是防止义务的一个例子(同上)。 |
| The International Court of Justice has emphasized prevention as well. | 国际法院也强调了防止问题。 |
| In the Gabčíkovo-Nagymaros Project case, the Court stated that it “is mindful that, in the field of environmental protection, vigilance and prevention are required on account of the often irreversible character of damage to the environment and of the limitations inherent in the very mechanism of reparation of this type of damage” (Gabčíkovo-Nagymaros Project (Hungary/Slovakia), Judgment, I.C.J. Reports 1997, p. 7, at p. 78, para. 140). | 在加布奇科沃－大毛罗斯项目案中，国际法院指出，“应当铭记，鉴于对环境造成的损害往往具有不可逆转的性质，而对这种损害进行赔偿的机制本身也具有局限性，在环境保护领域需要加以警惕和防止”(加布奇科沃－大毛罗斯项目案(匈牙利/斯洛伐克)，判决，《1997年国际法院案例汇编》，第7页起，见第78页，第140段)。 |
| See also Certain Activities Carried Out by Nicaragua in the Border Area (Costa Rica v. Nicaragua) and Construction of a Road along the San Juan River (Nicaragua v. Costa Rica) (see footnote 58 above), para. 104. | 另见尼加拉瓜在边界地区开展的某些活动(哥斯达黎加诉尼加拉瓜)和圣胡安河沿线修建道路案(尼加拉瓜诉哥斯达黎加) (见上文脚注58)，第104段。 |
| In the Iron Rhine Railway case, the Arbitral Tribunal also stated that “[t]oday, in international environmental law, a growing emphasis is being put on the duty of prevention” (Award in the Arbitration regarding the Iron Rhine (“Ijzeren Rijn”) Railway between the Kingdom of Belgium and the Kingdom of the Netherlands, decision of 24 May 2005, UNRIAA, vol. XXVII, pp. 35–125, at p. 116, para. 222). | 仲裁法庭在莱茵铁路案中也指出，“今天，国际环境法越来越重视防止责任”(比利时王国与荷兰王国莱茵铁路仲裁裁决，2005年5月24日的决定，《国际仲裁裁决汇编》，第二十七卷，第35-125页，见第116页，第222段)。 |
| Legality of the Threat or Use of Nuclear Weapons, Advisory Opinion, I.C.J. Reports 1996, p. 226, at pp. 241–242, para. 29. | 以核武器进行威胁或使用核武器的合法性，咨询意见，《1996年国际法院案例汇编》，第226页起，见第241-242页，第29段。 |
| Gabčíkovo-Nagymaros Project (see footnote 84 above), p. 41, para. 53; | 加布奇科沃－大毛罗斯项目案(见上文脚注84)，第41页，第53段； |
| the Court cited the same paragraph in Pulp Mills on the River Uruguay (see footnote 79 above), p. 78, para. 193. | 法院在乌拉圭河沿岸纸浆厂案(见上文脚注79)中援引了同一段落，第78页，第193段。 |
| Iron Rhine Railway (see footnote 84 above), pp. 66–67, para. 59. | 莱茵铁路案(见上文脚注84)，第66-67页，第59段。 |
| Protocol on Strategic Environmental Assessment to the Convention on the Environmental Impact in the Transboundary Context (Kiev, 21 May 2003), United Nations, Treaty Series, vol. 2685, No. 34028, p. 140, art. 2, paras. 6–7. | 《越境环境影响评估公约关于战略环境评估的议定书》(2003年5月21日，基辅)，联合国，《条约汇编》，第2685卷，第34028号，第140页，第二条，第6-7款。 |
| Gabčíkovo-Nagymaros Project (see footnote 84 above), para. 140. | 加布奇科沃－大毛罗斯项目案(见上文脚注84)，第140段。 |
| I.C.J. Reports 2015 (see footnote 58 above), para. 153. | 《2015年国际法院案例汇编》(见上文脚注58)，第153段。 |
| Ibid., para. 168. | 同上，第168段。 |
| Ibid., Separate Opinion of Judge Hisashi Owada, para. 18. | 同上，小和田恒法官的个人意见，第18段。 |
| Pulp Mills on the River Uruguay (see footnote 79 above), para. 204. | 乌拉圭河沿岸纸浆厂案(见上文脚注79)，第204段。 |
| International Tribunal for the Law of the Sea, Responsibilities and Obligations of States with Respect to Activities in the Area (Request for Advisory Opinion submitted to the Seabed Dispute Chamber), Advisory Opinion, 1 February 2011, ITLOS Reports 2011, p. 10, at para. 145. | 国际海洋法法庭，国家对区域内活动的责任和义务(请求海底争端分庭提出咨询意见)，咨询意见，2011年2月1日，《2011年国际海洋法法庭案例汇编》，第10页，第145段。 |
| Convention on Environmental Impact Assessment in a Transboundary Context (Espoo, 25 February 1991), United Nations, Treaty Series, vol. 1989, No. 34028, p. 309. | 《越境环境影响评估公约》，(1991年2月25日，埃斯波)，联合国，《条约汇编》，第1989卷，第34028号，第309页。 |
| Pulp Mills on the River Uruguay (see footnote 79 above), para. 204. | 乌拉圭河沿岸纸浆厂案(见上文脚注79)，第204段。 |
| The Commission has frequently employed the term “significant” in its work, including in the articles on the prevention of transboundary harm from hazardous activities (2001). | 委员会在工作中经常使用“重大”一词，包括在《预防危险活动的跨界损害条款》 (2001年)中。 |
| In that case, the Commission chose not to define the term, recognizing that the question of “significance” requires a factual determination rather than a legal one (see the general commentary, para. (4), Yearbook … 2001, vol. II (Part Two) and corrigendum, chap. V, sect. E). | 在该条款中，委员会选择不对该词进行界定，承认“重大”一词需要作事实判定，而不是法律判定(见总评注，第(4)段，《2001年…年鉴》，第二卷(第二部分)和更正，第五章，E节)。 |
| See, for example, paras. (4) and (7) of the commentary to art. 2 of the articles on the prevention of transboundary harm from hazardous activities (ibid.). | 例如见《预防危险活动的跨界损害条款》第2条评注第(4)和第(7)段)(同上)。 |
| See also the commentary to the principles on the allocation of loss in the case of transboundary harm arising out of hazardous activities (commentary to principle 2, paras. (1)–(3), Yearbook … 2006, vol. II (Part Two), chap. V, sect. E). | 另见《危险活动所致跨界损害的损失分配原则》评注(原则2评注，第(1)至(3)段，《2006年…年鉴》，第二卷(第二部分)，第五章，E节)。 |
| See draft guideline 7 below. | 见下文指南草案7。 |
| Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters (Aarhus, 28 June 1998), United Nations, Treaty Series, vol. 2161, No. 37770, p. 447. | 《在环境问题上获得信息、公众参与决策和诉诸法律的公约》(1998年6月28日，奥胡斯)，联合国，《条约汇编》，第2161卷，第37770号，第447页。 |
| Art. 2, paras. 6–7. | 第2条第6至第7款。 |
| Arts. 5–6. | 第5至第6条。 |
| For the articles and commentaries thereto adopted by the Commission, see Yearbook … 1994, vol. II (Part Two), chap. III, sect. E. | 委员会通过的条款及其评注，见《1994年…年鉴》，第二卷(第二部分)，第三章，E节。 |
| General Assembly resolution 63/124 of 11 December 2008, annex, arts. 4–5. | 联大2008年12月11日第63/124号决议，附件，第4至第5条。 |
| For the articles and commentaries thereto adopted by the Commission, see Yearbook … 2008, vol. II (Part Two), chap. IV, sect. E. | 委员会通过的条款及其评注，见《2008年…年鉴》，第二卷(第二部分)，第四章，E节。 |
| See draft guideline 7 below. | 见下文指南草案7。 |
| Gabčíkovo-Nagymaros Project (see footnote 84 above), p. 78, para. 140. | 加布奇科沃－大毛罗斯项目案(见上文脚注84)，第78页，第140段。 |
| In the 2006 order of the Pulp Mills case, the International Court of Justice highlighted “the importance of the need to ensure environmental protection of shared natural resources while allowing for sustainable economic development” (Pulp Mills on the River Uruguay (Argentina v. Uruguay), Provisional Measures, Order of 13 July 2006, I.C.J. Reports 2006, p. 113, at p. 133, para. 80); | 在2006年纸浆厂案的命令中，国际法院着重强调了“确保在允许可持续经济发展的同时对共有自然资源予以环境保护这一需要的重要性”(乌拉圭河沿岸纸浆厂案(阿根廷诉乌拉圭)，临时措施，2006年7月13日的命令，《2006年国际法院案例汇编》，第113页起，见第133页，第80段)； |
| the 1998 WTO Appellate Body decision on United States – Import Prohibition of Certain Shrimp and Shrimp Products stated that, “recalling the explicit recognition by WTO Members of the objective of sustainable development in the preamble of the WTO Agreement, we believe it is too late in the day to suppose that article XX(g) of the [General Agreement on Tariffs and Trade] may be read as referring only to the conservation of exhaustible mineral or other non-living resources” (Appellate Body Report, United States – Import Prohibition of Certain Shrimp and Shrimp Products, WT/DS58/AB/R, adopted 6 November 1998, para. 131, see also paras. 129 and 153); | 世贸组织上诉机构1998年关于美国－禁止进口特定虾类和虾类制品案的决定指出，“回顾世贸组织成员在《建立世贸组织协定》序言中明确确认了可持续发展的目标，我们认为，已经不能再认为[《关税及贸易总协定》]第20条(g)款可解释为只包括对可用尽的矿物或其他非生物资源的保护”(上诉机构报告，美国－禁止进口特定虾类和虾类制品案，WT/DS58/AB/R，1998年11月6日通过，第131段，另见第129和第153段)； |
| in the 2005 arbitral case of the Iron Rhine Railway, the Tribunal held as follows: “[t]here is considerable debate as to what, within the field of environmental law, constitutes ‘rules’ or ‘principles’: what is ‘soft’ law; | 在2005年莱茵铁路仲裁案中，仲裁庭认定如下：“对以下问题存在不少争议，在环境法领域中，什么属于‘原则’，什么属于‘规则’：什么是‘软’法； |
| and which environmental treaty law or principles have contributed to the development of customary international law. | 哪些环境条约法或原则对习惯国际法的发展作出了贡献。 |
| … The emerging principles, whatever their current status, make reference to … sustainable development. … | …新出现的原则，不论其当前地位如何，均提到…可持续发展。 |
| Importantly, these emerging principles now integrate environmental protection into the development process. | …重要的是，这些新出现的原则现在将环境保护纳入了发展进程。 |
| Environmental law and the law on development stand not as alternatives but as mutually reinforcing, integral concepts, which require that where development may cause signify harm to the environment there is a duty to prevent, or at least mitigate such harm. … | 环境法与发展法不是相互替代的关系，而是相互增强的一体的概念，其要求是，若发展可能对环境造成显著危害，则有义务防止或至少减缓这种危害。 |
| This duty, in the opinion of the Tribunal, has now become a principle of general international law”, Iron Rhine Railway (see footnote 84 above), paras. 58–59; | …本庭认为，这一义务已成为了一项一般国际法原则”，莱茵铁路案(见上文脚注84)，第58-59段； |
| the 2013 Partial Award of the Indus Waters Kishenganga Arbitration (Pakistan v. India) states: “[t]here is no doubt that States are required under contemporary customary international law to take environmental protection into consideration when planning and developing projects that may cause injury to a bordering State. Since the time of Trail Smelter, a series of international … arbitral decisions have addressed the need to manage natural resources in a sustainable manner. | 2013年印度河水域吉申甘加河仲裁案(巴基斯坦诉印度)部分裁决指出：“无疑，根据当代习惯国际法，各国在规划和开发可能对邻国造成损害的项目时，必须考虑到环境保护问题，自特雷尔冶炼厂案的时代以来，一系列国际…仲裁裁决均提到了以可持续方式管理自然资源的必要性。 |
| In particular, the International Court of Justice expounded upon the principle of ‘sustainable development’ in Gabčíkovo-Nagymaros, referring to the ‘need to reconcile economic development with protection of the environment”: Permanent Court of Arbitration Award Series, Indus Waters Kishenganga Arbitration (Pakistan v. India): Record of Proceedings 2010–2013, Partial Award of 18 February 2013, para. 449. | 特别是，国际法院在加布奇科沃－大毛罗斯项目案中阐释了‘可持续发展’原则，提到‘需要协调环境保护和经济发展’”：《常设仲裁法院裁决汇编》，印度河水域吉申甘加河仲裁案(巴基斯坦诉印度)：《2010-2013年诉讼记录》，2013年2月18日的部分裁决，第449段。 |
| This was confirmed by the Final Award of 20 December 2013, para. 111. | 2013年12月20日最终裁决第111段确认了这一点。 |
| See Continental Shelf (Tunisia/Libyan Arab Jamahiriya), Judgment, I.C.J. Reports 1982, p. 18, at para. 71. | 见大陆架案(突尼斯/阿拉伯利比亚民众国)，判决，《1982年国际法院案例汇编》，第18页，第71段； |
| On equity and its use in international law generally, see Frontier Dispute (Burkina Faso v. Mali), Judgment, I.C.J. Reports 1986, p. 554, at paras. 27–28 and 149; | 关于公平及其在国际法中的一般使用，见边界争端案(布基纳法索诉马里)，判决，《1986年国际法院案例汇编》，第554页，第27-28段和第149段； |
| North Sea Continental Shelf, Judgment, I.C.J. Reports 1969, p. 3, at para. 85; | 北海大陆架案，判决，《1969年国际法院案例汇编》，第3页，第85段； |
| J. Kokott, “Equity in international law”, in F.L. Toth, ed., Fair Weather? Equity Concerns in Climate Change (Abingdon and New York, Routledge, 2014), pp. 173–192; | J. Kokott, “Equity in international law”, in F.L. Toth, ed., Fair Weather? Equity Concerns in Climate Change (Abingdon and New York, Routledge, 2014), pp. 173–192; |
| P. Weil, “L’équité dans la jurisprudence de la Cour internationale de Justice: Un mystère en voie de dissipation?”, in V. Lowe and M. Fitzmaurice, eds., Fifty Years of the International Court of Justice: Essays in Honour of Sir Robert Jennings, (Cambridge, Cambridge University Press, 1996), pp. 121–144; | P. Weil, “L’équité dans la jurisprudence de la Cour internationale de Justice: Un mystère en voie de dissipation?”, in V. Lowe and M. Fitzmaurice, eds., Fifty Years of the International Court of Justice: Essays in Honour of Sir Robert Jennings, (Cambridge, Cambridge University Press, 1996), pp. 121–144; |
| F. Francioni, “Equity in international law,” in R. Wolfrum, ed., Max Plank Encyclopedia of Public International Law, vol. III (Oxford, Oxford University Press, 2013), pp. 632–642. | F. Francioni, “Equity in international law,” in R. Wolfrum, ed., Max Plank Encyclopedia of Public International Law, vol. III (Oxford, Oxford University Press, 2013), pp. 632–642。 |
| C. Redgwell, “Principles and emerging norms in international law: intra- and inter-generational equity”, in C.P. Carlarne et al., eds., The Oxford Handbook on International Climate Change Law, (Oxford, Oxford University Press, 2016), pp. 185–201; | C. Redgwell, “Principles and emerging norms in international law: intra- and inter-generational equity”, in C.P. Carlarne et al., eds., The Oxford Handbook on International Climate Change Law, (Oxford, Oxford University Press, 2016), pp. 185–201; |
| D. Shelton, “Equity” in Bodansky et al., eds. Oxford Handbook of International Environmental Law (footnote 21 above), pp. 639–662; | D. Shelton, “Equity” in Bodansky et al., eds. Oxford Handbook of International Environmental Law (上文脚注21), pp. 639–662; |
| and E. Brown Weiss, “Intergenerational equity” in Max Planck Encyclopaedias of Public International Law (updated 2021), available at https://opil.ouplaw.com/view/10.1093/law:epil/9780199231690/law-9780199231690-e1421. | and E. Brown Weiss, “Intergenerational equity” in Max Planck Encyclopaedias of Public International Law (updated 2021), available at https://opil.ouplaw.com/view/10.1093/law:epil/9780199231690/law-9780199231690-e1421。 |
| Convention on the Prohibition of Military or Any Other Hostile Use of Environmental Modification Techniques (New York, 10 December 1976), United Nations, Treaty Series, vol. 1108, No. 17119, p. 151. | 《禁止为军事或任何其他敌对目的使用改变环境的技术的公约》(1976年12月10日，纽约)，联合国，《条约汇编》，第1108卷，第17119号，第151页。 |
| IPCC, IPCC Expert Meeting on Geoengineering, Lima, Peru, 20–22 June 2011, Meeting Report. | 气专委，气专委地球工程专家会议，2011年6月20日至22日，秘鲁利马，会议报告。 |
| See, generally, the Oxford Geo-engineering Programme, “What is geoengineering?”, available at www.geoengineering.ox.ac.uk/what-is-geoengineering/what-is-geoengineering/; | 一般参看Oxford Geo-engineering Programme, “What is geoengineering?”, available at www.geoengineering.ox.ac.uk/what-is-geoengineering/what-is-geoengineering/; |
| K.N. Scott, “International law in the anthropocene: responding to the geoengineering challenge”, Michigan Journal of International Law, vol. 34, No. 2 (2013), pp. 309–358, at p. 322; | K. N. Scott, “International law in the anthropocene: responding to the geoengineering challenge”, Michigan Journal of International Law, vol. 34, No. 2 (2013), pp. 309-358, at p. 322; |
| Steve Rayner, et al., “The Oxford principles”, Climate Geoengineering Governance Working Paper No. 1 (University of Oxford, 2013), available from www.geoengineering-governance-research.org/perch/resources/workingpaper1rayneretaltheoxfordprinciples.pdf. | Steve Rayner, et al., “The Oxford principles”, Climate Geoengineering Governance Working Paper No. 1 (University of Oxford, 2013), available from www.geoengineering-governance-research.org/perch/resources/workingpaper1rayneretaltheoxfordprinciples.pdf. |
| See also, C. Armani, “Global experimental governance, international law and climate change technologies”, International and Comparative Law Quarterly, vol. 64, No. 4 (2015), pp. 875–904. | See also, C. Armani, “Global experimental governance, international law and climate change technologies”, International and Comparative Law Quarterly, vol. 64, No. 4 (2015), pp. 875-904。 |
| See art. 1. | 见第一条。 |
| Protocol Additional to the Geneva Conventions of 12 August 1949, and relating to the Protection of Victims of International Armed Conflicts (Protocol I), 1977, United Nations, Treaty Series, vol. 1125, No. 17512, p. 3, arts. 35, para. 3, and 55; | 《一九四九年八月十二日日内瓦四公约关于保护国际性武装冲突受难者的附加议定书》(《第一议定书》)，1977年，联合国，《条约汇编》，第1125卷，第17512号，第3页，第三十五条第三款和第五十五条； |
| see also Rome Statute of the International Criminal Court (Rome, 17 July 1998), United Nations, Treaty Series, vol. 2187, No. 38544, p. 3, art. 8, para. 2 (b) (iv). | 另见《国际刑事法院罗马规约》(1998年7月17日，罗马)，联合国，《条约汇编》，第2187卷，第38544号，第3页，第八条第(二)款第2项(4)目。 |
| Kyoto Protocol to the United Nations Framework Convention on Climate Change (Kyoto, 11 December 1997), United Nations, Treaty Series, vol. 2303, No. 30822, p. 162. | 《〈联合国气候变化框架公约〉京都议定书》(1997年12月11日，京都)，联合国，《条约汇编》，第2303卷，第30822号，第162页。 |
| 1996 Protocol to the 1972 Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter (London, 7 November 1996), International Legal Materials, vol. 36 (1997), p. 7. | 《防止倾倒废物及其他物质污染海洋的公约》(1972年12月29日，伦敦、墨西哥城、莫斯科和华盛顿特区)，联合国，《条约汇编》，第1046卷，第15749号，第138页。 |
| Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter (London, Mexico City, Moscow and Washington, D.C., 29 December 1972), United Nations, Treaty Series, vol. 1046, No. 15749, p. 138. | 《1972年〈防止倾倒废物及其他物质污染海洋的公约〉1996年议定书》(1996年11月7日，伦敦)，《国际法律资料》，第36卷(1997年)，第7页。 |
| See Second Report on the Advancement of Atmospheric Science and Their Application in the Light of the Developments in Outer Space (Geneva, World Meteorological Organization, 1963); | 见《关于外层空间发展视角下大气科学进步及其应用的第二次报告》(日内瓦，世界气象组织，1963年)； |
| see also Decision 8/7 (Earthwatch: assessment of outer limits) of the Governing Council of the United Nations Environment Programme, Part A (Provisions for co-operation between States in weather modification) of 29 April 1980. | 另见联合国环境规划署理事会1980年4月29日第8/7号决定(全球环境评估方案：评估外部界限)，A部分(关于各国在人工影响天气方面开展合作的规定)。 |
| Southern Blue Fin Tuna Cases (New Zealand v. Japan; Australia v. Japan), Provisional Measures, Order of 27 August 1999, ITLOS Reports 1999, p. 280, at para. 77. | 南方蓝鳍金枪鱼案(新西兰诉日本；澳大利亚诉日本)，临时措施，1999年8月27日的命令，《1999年国际海洋法法庭案例汇编》，第280页，见第77段。 |
| The Tribunal stated that “[c]onsidering that, in the view of the Tribunal, the parties should in the circumstances act with prudence and caution to ensure that effective conservation measures are taken to prevent serious harm to the stock of southern bluefin tuna”. | 该法庭指出，“有鉴于此，法庭认为，双方应当在这种情况下审慎和谨慎行事，以确保采取有效保护措施，防止对南方蓝鳍金枪鱼鱼种造成严重危害”。 |
| MOX Plant (Ireland v. United Kingdom), Provisional Measures, Order of 3 December 2001, ITLOS Reports 2001, p. 95, at para. 84 (“[c]onsidering that, in the view of the Tribunal, prudence and caution require that Ireland and the United Kingdom cooperate in exchanging information concerning risks or effects of the operation of the MOX plant and in devising ways to deal with them, as appropriate”). | 混合氧化物核燃料厂案(爱尔兰诉联合王国)，临时措施，2001年12月3日的命令，《2001年国际海洋法法庭案例汇编》，第95页，见第84段(“有鉴于此，法庭认为，审慎和谨慎原则要求爱尔兰和联合王国开展合作，交流关于混合氧化物核燃料厂的运营所造成的风险或影响的信息，并酌情制定应对这些风险或影响的方法”)。 |
| Case concerning Land Reclamation by Singapore in and around the Straits of Johor (Malaysia v. Singapore), Provisional Measures, Order of 8 October 2003, ITLOS Reports 2003, p. 10, at para. 99. | 新加坡在柔佛海峡及周边填海案(马来西亚诉新加坡)，临时措施，2003年10月8日的命令，《2003年国际海洋法法庭案例汇编》，第10页，见第99段。 |
| W. Friedmann, The Changing Structure of International Law (London, Stevens & Sons, 1964), pp. 60–71; | W. Friedmann, The Changing Structure of International Law (London, Stevens & Sons, 1964), pp. 60–71; |
| C. Leben, “The changing structure of international law revisited by way of introduction”, European Journal of International Law, vol. 3 (1997), pp. 399–408. See also, J. Delbrück, “The international obligation to cooperate – an empty shell or a hard law principle of international law? – a critical look at a much debated paradigm of modern international law”, H.P. Hestermeyer et al., eds., Coexistence, Cooperation and Solidarity (Liber Amicorum Rüdiger Wolfrum), vol. 1 (Leiden, Martinus Njihoff, 2012), pp. 3–16. | C. Leben, “The changing structure of international law revisited by way of introduction”, European Journal of International Law, vol. 3 (1997), pp. 399–408. See also, J. Delbrück, “The international obligation to cooperate – an empty shell or a hard law principle of international law? – a critical look at a much debated paradigm of modern international law”, H.P. Hestermeyer et al., eds., Coexistence, Cooperation and Solidarity (Liber Amicorum Rüdiger Wolfrum), vol. 1 (Leiden, Martinus Njihoff, 2012), pp. 3–16. |
| B. Simma, “From bilateralism to community interests in international law”, Collected Courses of The Hague Academy of International Law, 1994-VI, vol. 250, pp. 217–384; | B. Simma, “From bilateralism to community interests in international law”, Collected Courses of The Hague Academy of International Law, 1994-VI, vol. 250, pp. 217–384; |
| Naoya Okuwaki, “On compliance with the obligation to cooperate: new developments of ‘international law for cooperation’”, in J. Eto, ed., Aspects of International Law Studies (Festschrift for Shinya Murase), (Tokyo, Shinzansha, 2015), pp. 5–46, at pp. 16–17 (in Japanese). | Naoya Okuwaki, “On compliance with the obligation to cooperate: new developments of ‘international law for cooperation’”, in J. Eto, ed., Aspects of International Law Studies (Festschrift for Shinya Murase), (Tokyo, Shinzansha, 2015), pp. 5–46, at pp. 16–17 (in Japanese). |
| Pulp Mills on the River Uruguay (see footnote 79 above), p. 49, para. 77. | 乌拉圭河纸浆厂案(上文脚注79)，第49页，第77段。 |
| Principle 24 of the Stockholm Declaration states: | 《斯德哥尔摩宣言》原则二十四写明： |
| “International matters concerning the protection and improvement of the environment should be handled in a cooperative spirit by all countries, big or small, on an equal footing. | “关于保护和改善环境的国际问题，应由所有各国，不论大小，以平等地位本着合作精神来处理。 |
| Cooperation through multilateral or bilateral arrangements or other appropriate means is essential to effectively control, prevent, reduce and eliminate adverse environmental effects resulting from activities conducted in all spheres, in such a way that due account is taken of the sovereignty and interests of all States.” | 通过多边或双边安排或其他适当办法的合作，是对各种领域内进行活动所引起的不良环境影响，加以有效控制预防、减少或消除的必要条件，唯须妥善顾及所有国家的主权和利益”。 |
| Report of the United Nations Conference on the Human Environment, Stockholm, 5–16 June 1972 (see footnote 11 above). | 《一九七二年六月五日至十六日在斯德哥尔摩举行的联合国人类环境会议报告书》(见上文脚注11)。 |
| Principle 27 of the Rio Declaration states: | 《里约宣言》原则27写明： |
| “States and people shall cooperate in good faith and in a spirit of partnership in the fulfilment of the principles embodied in this Declaration and in the further development of international law in the field of sustainable development.” | “所有国家和人民均应诚意地一本伙伴精神、合作实现本宣言所体现的各项原则，合作推动可持续发展方面的国际法的进一步发展。 ” |
| Report of the United Nations Conference on the Human Environment, Rio de Janeiro, 3–14 June 1992, vol. I: Resolutions adopted by the Conference (United Nations publication, Sales No. E.93.I.8 and corrigenda), resolution 1, annex I, chap. I. | 《联合国环境与发展会议报告，1992年6月3日至14日，里约热内卢》，第一卷：《环发会议通过的决议》(联合国出版物，出售品编号：C.93.I.8和更正)，决议1, 附件一，第一章。 |
| See also section 2 of Part XII of the United Nations Convention on the Law of the Sea, which provides for “Global and Regional Cooperation”, setting out “Cooperation on a global or regional basis” (art. 197), “Notification of imminent or actual damage” (art. 198), “Contingency plans against pollution” (art. 199), “Studies, research programmes and exchange of information and data” (art. 200) and “Scientific criteria for regulations” (art. 201). | 另见《联合国海洋法公约》第十二部分关于“全球性和区域性合作”的第二节。 该节规定了“在全球性或区域性的基础上的合作”(第一九七条)、“即将发生的损害或实际损害的通知”(第一九八条)、“对污染的应急计划”(第一百九九条)，“研究、研究方案及情报和资料的交换”(第二○○条)以及“规章的科学标准”(第二○一条)。 |
| Section 2 of Part XIII on Marine Scientific Research of the United Nations Convention on the Law of the Sea provides for “International Cooperation”, setting out “Promotion of international cooperation” (art. 242), “Creation of favourable conditions” (art. 243) and “Publication and dissemination of information and knowledge” (art. 244). | 《联合国海洋法公约》关于海洋科学研究的第十三部分第二节规定了“国际合作”，写明了“国际合作的促进”(第二四二条)、“有利条件的创造”(第二四三条)和“情报和知识的公布和传播”(第二四四条)等内容。 |
| See art. 7, para. 6. | 第七条第六款。 |
| See also arts. 6, para. 1, 7, para. 7, 8, para. 4, and 14, para. 3. Preamble, fourteenth para. See also paragraph 1 of article 8 of the Convention on the Law of the Non-navigational Uses of International Watercourses, on the general obligation to cooperate, which provides that: | 另见第六条第一款、第七条第七款、第八条第四款和第十四条第三款。 序言，第十四段。 另见《国际水道非航行使用法公约》关于一般合作义务的第8条第1款，其中规定： |
| “[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”。 |
| The articles on prevention of transboundary harm from hazardous activities (2001) provide in article 4, on cooperation, that: | 《预防危险活动的跨界损害条款》(2001年)关于合作的第4条规定： |
| “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.” | “当事国应真诚合作，并于必要时要求一个或多个有关国际组织提供协助，以预防重大跨界损害或随时尽量减少这种危险”。 |
| Further, the articles on the law of transboundary aquifers (2008) provide in article 7, entitled “General obligation to cooperate”, that: | 此外，《跨界含水层法条款》(2008年)标题为“一般合作义务”的第7条规定： |
| “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”。 |
| Moreover, the draft articles on the protection of persons in the event of disasters (2016) provide, in draft article 7, a duty to cooperate. | 此外，《发生灾害时的人员保护条款草案》(2016年)第7条草案规定了合作的义务。 |
| Draft article 7 provides that: | 第7条草案规定： |
| “In the application of the present draft articles, States shall, as appropriate, cooperate among themselves, with the United Nations, with the components of the Red Cross and Red Crescent Movement, and with other assisting actors.” | “适用本条款草案时，各国应酌情相互合作，并与联合国、红十字与红新月运动各组成部分及其他援助方合作”。 |
| Available at https://web.archive.org/web/20111226174901/http:/www.unep.org/urban_environment/PDFs/EABAQ2008-AirPollutionAgreement.pdf. | 可查阅 https://web.archive.org/web/20111226174901/http:/www.unep.org/urban_environment/PDFs/EABAQ2008-AirPollutionAgreement.pdf。 |
| Available at https://web.archive.org/web/20111224143143/http://www.unep.org/urban_environment/PDFs/BAQ09_AgreementEn.Pdf. | 可查阅 https://web.archive.org/web/20111224143143/http://www.unep.org/urban_environment/PDFs/BAQ09_AgreementEn.Pdf。 |
| The second sentence of article 17, paragraph 4, of the 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”. | 《跨界含水层法条款》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”。 |
| 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”. | 相应地，《发生灾害时的人员保护条款草案》第9条草案规定：“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，第10条草案(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”。 |
| Art. 8. | 第八条。 |
| See draft article 10 (on interrelationship) of resolution 2/2014 on the declaration of legal principles relating to climate change of the International Law Association, Report of the Seventy-sixth Conference held in Washington D.C., August 2014, p. 26; | 见国际法协会关于气候变化相关法律原则声明的第2/2014号决议的第10条草案(关于相互关系)，《2014年8月在华盛顿特区举行的第七十六届会议的报告》，第26页。 |
| S. Murase (Chair) and L. Rajamani (Rapporteur), Report of the Committee on the Legal Principles Relating to Climate Change, ibid., pp. 330–378, at pp. 368–377. | 村濑信也(主席)和拉瓦妮亚·拉哲玛尼(报告员)，气候变化相关法律原则委员会的报告，同上，第330-378页，见第368-377页。 |
| Yearbook … 2006, vol. II (Part Two), para. 251. | 《2006年…年鉴》，第二卷(第二部分)，第251段。 |
| See conclusion (2) on “relationships of interpretation” and “relationships of conflict”. | 见关于“解释的关系”和“冲突的关系”的结论(2)。 |
| See, for the analytical study, “Fragmentation of international law: difficulties arising from the diversification and expansion of international law”, report of the Study Group of the International Law Commission finalized by Martti Koskenniemi (A/CN.4/L.682 and Corr.1 and Add.1). | 关于分析研究，见马尔蒂·科斯肯涅米定稿的国际法委员会研究组报告“国际法不成体系问题：国际法多样化和扩展引起的困难”(A/CN.4/L.682及Corr.1和Add.1)。 |
| United Nations, Treaty Series, vol. 1155, No. 18232, p. 331. | 联合国，《条约汇编》，第1155卷，第18232号，第331页。 |
| See, e.g., WTO, Appellate Body report, United States – Import Prohibition of Certain Shrimp and Shrimp Products, WT/DS58/AB/R, 6 November 1998, para. 158. | 例如见世贸组织上诉机构的报告，美国－禁止进口特定虾类和虾类制品案，WT/DS58/AB/R, 1998年11月6日，第158段。 |
| See also Al-Adsani v. the United Kingdom, Application No. 35763/97, ECHR 2001-XI, para. 55. | 另见Al-Adsani诉联合王国案，第35763/97号申诉，ECHR 2001-XI, 第55段。 |
| P. Sands, “Treaty, custom and the cross-fertilization of international law”, Yale Human Rights and Development Law Journal, vol. 1 (1998), p. 95, para. 25; | P. Sands, “Treaty, custom and the cross-fertilization of international law”, Yale Human Rights and Development Law Journal, vol. 1 (1998), p. 95, para. 25; |
| C. McLachlan, “The principle of systemic integration and article 31 (3) (c) of the Vienna Convention”, International and Comparative Law Quarterly, vol. 54 (2005), p. 279; | C. McLachlan, “The principle of systemic integration and article 31 (3) (c) of the Vienna Convention”, International and Comparative Law Quarterly, vol. 54 (2005), p. 279; |
| O. Corten and P. Klein, eds., The Vienna Conventions on the Law of Treaties: A Commentary, vol. 1 (Oxford, Oxford University Press, 2011), pp. 828–829. | O. Corten and P. Klein, eds., The Vienna Conventions on the Law of Treaties: A Commentary, vol. 1 (Oxford, Oxford University Press, 2011), pp. 828–829. |
| Ibid., pp. 791–798. | Ibid., pp. 791–798. |
| It may be noted that the WTO Understanding on Rules and Procedures Governing the Settlement of Disputes (Marrakesh Agreement establishing the World Trade Organization, United Nations, Treaty Series, vol. 1869, No. 31874, p. 3, annex 2, p. 401) provides in article 3, paragraph 2, that “[t]he dispute settlement system of the WTO … serves … to clarify the existing provisions of those [covered] agreements in accordance with customary rules of interpretation of public international law” (emphasis added). | 不妨指出，《世贸组织关于争端解决规则与程序的谅解》(《马拉喀什建立世界贸易组织协定》，联合国，《条约汇编》，第1869卷，第31874号，第3页，附件2, 第401页)第3条第2款规定，“WTO争端解决体制…适于…依照解释国际公法的习惯规则澄清这些[适用]协定的现有规定”(强调是后加的)。 |
| See International Law Association, resolution 2/2014 on the declaration of legal principles relating to climate change, draft article 10 (on interrelationship) (footnote 131 above); | 见国际法协会关于气候变化相关法律原则声明的第2/2014号决议，第10条草案(关于相互关系) (上文脚注131)； |
| A. Boyle, “Relationship between international environmental law and other branches of international law”, in Bodansky et al., The Oxford Handbook of International Environmental Law (footnote 21 above), pp. 126–146. | A. Boyle, “Relationship between international environmental law and other branches of international law”, in Bodansky et al., The Oxford Handbook of International Environmental Law (上文脚注21), pp. 126–146。 |
| United Nations, Treaty Series, vols. 1867–1869, No. 31874. | 联合国，《条约汇编》，第1867-1869卷，第31874号。 |
| Ibid., vol. 1867, No. 31874, p. 154. | 同上，第1867卷，第31874号，第154页。 |
| Trade Negotiations Committee, decision of 14 April 1994, MTN.TNC/45(MIN), annex II, p. 17. | 贸易谈判委员会，1994年4月14日决定，MTN.TNC/45(MIN)，附件二，第17页。 |
| WTO, Committee on Trade and Environment, Report (1996), WT/CTE/1 (12 November 1996), para. 167. | 世贸组织贸易和环境委员会报告(1996年)，WT/CTE/1(1996年11月12日)，第167段。 |
| J. Pauwelyn, Conflict of Norms in Public International Law: How WTO Law Relates to Other Rules of International Law (Cambridge, Cambridge University Press, 2003); | J. Pauwelyn, Conflict of Norms in Public International Law: How WTO Law Relates to Other Rules of International Law (Cambridge, Cambridge University Press, 2003); |
| R. Pavoni, “Mutual supportiveness as a principle of interpretation and law-making: a watershed for the ‘WTO-and-competing regimes’ debate? ”, European Journal of International Law, vol. 21 (2010), pp. 651–652. See also S. Murase, “Perspectives from international economic law on transnational environmental issues”, Collected Courses of The Hague Academy of International Law, vol. 253 (Leiden, Martinus Nijhoff, 1996), pp. 283–431, reproduced in S. Murase, International Law: An Integrative Perspective on Transboundary Issues (Tokyo, Sophia University Press, 2011), pp. 1–127; | R. Pavoni, “Mutual supportiveness as a principle of interpretation and law-making: a watershed for the ‘WTO-and-competing regimes’ debate?”, European Journal of International Law, vol. 21 (2010), pp. 651–652. See also S. Murase, “Perspectives from international economic law on transnational environmental issues”, Collected Courses of The Hague Academy of International Law, vol. 253 (Leiden, Martinus Nijhoff, 1996), pp. 283–431, reproduced in S. Murase, International Law: An Integrative Perspective on Transboundary Issues (Tokyo, Sophia University Press, 2011), pp. 1–127; |
| and S. Murase, “Conflict of international regimes: trade and the environment”, ibid., pp. 130–166. | and S. Murase, “Conflict of international regimes: trade and the environment”, ibid., pp. 130–166. |
| Adopted on 14 November 2001 at the fourth session of the WTO Ministerial Conference in Doha, WT/MIN(01)/DEC/1, para. 6. | 2001年11月14日在多哈举行的世贸组织部长级会议第四届会议上通过，WT/MIN(01)/DEC/1, 第6段。 |
| The Hong Kong Ministerial Declaration of 2005 reaffirmed that “the mandate in paragraph 31 of the Doha Ministerial Declaration aimed at enhancing the mutual supportiveness of trade and environment” (adopted on 18 December 2005 at the sixth session of the Ministerial Conference in Hong Kong, China, WT/MIN(05)/DEC, para. 31). | 2005年《香港部长级宣言》重申，“《多哈部长宣言》第31段所载任务的目的是要加强贸易与环境之间的相互支持”(2005年12月18日在中国香港举行的部长级会议第六届会议上通过，WT/MIN(05)/DEC, 第31段)。 |
| WTO, Appellate Body report, Standards for Reformulated and Conventional Gasoline, WT/DS2/AB/R, 29 April 1996, p. 17. | 世贸组织上诉机构的报告，新配方汽油和常规汽油标准案，WT/DS2/AB/R, 1996年4月29日通过，第17页。 |
| See also S. Murase, “Unilateral measures and the WTO dispute settlement” (discussing the Gasoline case), in S.C. Tay and D.C. Esty, eds., Asian Dragons and Green Trade: Environment, Economics and International Law (Singapore, Times Academic Press, 1996), pp. 137–144. | 另见S. Murase, “Unilateral measures and the WTO dispute settlement” (discussing the Gasoline case), in S.C. Tay and D.C. Esty, eds., Asian Dragons and Green Trade: Environment, Economics and International Law (Singapore, Times Academic Press, 1996), pp. 137–144。 |
| See, for example, Agreement Between Canada, the United Mexican States, and the United States of America, 1 July 2020, art. 1.3 and chap. 14 (“Investment”), available from the website of the Office of the United States Trade Representative, https://ustr.gov/trade-agreements/free-trade-agreements/united-states-mexico-canada-agreement/agreement-between. | 例如见“加拿大、墨西哥合众国和美利坚合众国协定”，2020年7月1日，第1.3条和第14章(“投资”)，可查阅美国贸易代表办公室网站：https://ustr.gov/trade-agreements/free-trade-agreements/united-states-mexico-canada-agreement/agreement-between。 |
| There are various model bilateral investment treaties (BITs), such as: Canada Model BIT of 2004, available from www.italaw.com; | 有各种双边投资示范条约，如2004年《加拿大双边投资示范条约》，可查阅www.italaw.com; |
| Colombia Model BIT of 2007, available from www.italaw.com; | 2007年《哥伦比亚双边投资示范条约》，可查阅www.italaw.com； |
| United States Model BIT of 2012, available from www.italaw.com; | 2012年《美国双边投资示范条约》，可查阅 www.italaw.com; |
| Model International Agreement on Investment for Sustainable Development of the International Institute for Sustainable Development (IISD) of 2005, in H. Mann et al., IISD Model International Agreement on Investment for Sustainable Development, 2nd ed. (Winnipeg, 2005), art. 34. | 国际可持续发展研究所2005年《可持续发展国际投资示范协定》，载于H. Mann等人著，《国际可持续发展研究所可持续发展国际投资示范协定》，第2版(温尼伯，2005年)，第34条。 |
| See also United Nations Conference on Trade and Development, Investment Policy Framework for Sustainable Development (2015), pp. 91–121, available at http://unctad.org/en/PublicationsLibrary/diaepcb2015d5_en.pdf; | 另见联合国贸易和发展会议，《可持续发展投资政策框架》(2015年)，第91-121页，可查阅http://unctad.org/en/PublicationsLibrary/diaepcb2015d5_en.pdf; |
| P. Muchlinski, “Negotiating new generation international investment agreements: new sustainable development-oriented initiatives”, in S. Hindelang and M. Krajewski, eds., Shifting Paradigms in International Investment Law: More Balanced, Less Isolated, Increasingly Diversified, (Oxford, Oxford University Press, 2016), pp. 41–64. Phoenix Action Ltd. v. the Czech Republic, ICSID Case No. ARB/06/5, award, 15 April 2009, para. 78. Prior to the Convention, the only international instrument of significance was the 1963 Treaty Banning Nuclear Weapon Tests in the Atmosphere, in Outer Space and Under Water (Moscow, 5 August 1963, United Nations, Treaty Series, vol. 480, No. 6964, p. 43). | P. Muchlinski, “Negotiating new generation international investment agreements: new sustainable development-oriented initiatives”, in S. Hindelang and M. Krajewski, eds., Shifting Paradigms in International Investment Law: More Balanced, Less Isolated, Increasingly Diversified, (Oxford, Oxford University Press, 2016), pp. 41–64。 |
| M.H. Nordquist et al., eds., United Nations Convention on the Law of the Sea 1982: A Commentary, vol. II (Dordrecht, Martinus Nijhoff, 1991), pp. 41–42. For example, the Convention for the Protection of the Marine Environment of the North-East Atlantic (United Nations, Treaty Series, vol. 2354, No. 42279, p. 67, at p. 71, art. 1 (e)); the Convention on the Protection of the Marine Environment of the Baltic Sea Area (Helsinki, 9 April 1992, ibid., vol. 1507, No. 25986, p. 166, at p. 169, art. 2, para. 2); | 菲尼克斯行动有限公司诉捷克共和国案，ICSID第ARB/06/5号案，2009年4月15日的判决，第78段。 在该公约之前，具有重要意义的唯一国际文书是1963年《禁止在大气层、外层空间和水下进行核武器试验条约》(1963年8月5日，莫斯科，联合国，《条约汇编》，第480卷，第6964号，第43页)。 M.H. Nordquist et al., eds., United Nations Convention on the Law of the Sea 1982: A Commentary, vol. II (Dordrecht, Martinus Nijhoff, 1991), pp. 41–42. |
| the Protocol for the Protection of the Mediterranean Sea against Pollution from Land-based Sources (ibid., vol. 1328, No. 22281, p. 105, at p. 121, art. 4, para. 1 (b)); the Protocol for the Protection of the South-East Pacific against Pollution from Land-based Sources (Quito, 22 July 1983, ibid., vol. 1648, No. 28327, p. 73, at p. 90, art. II (c)); and the Protocol for the Protection of the Marine Environment against Pollution from Land-based Sources to the Kuwait Regional Convention for Co-operation on the Protection of the Marine Environment from Pollution (Kuwait, 21 February 1990, ibid., vol. 2399, No. 17898, p. 3, at p. 40, art. III). | 例如，《保护东北大西洋海洋环境公约》(联合国，《条约汇编》，第2354卷，第42279号，第67页起，见第71页，第1(e)条)、《保护波罗的海地区海洋环境公约》(1992年4月9日，赫尔辛基，同上，第1507卷，第25986号，第166页起，见第169页，第2条第2款)、《保护地中海免受陆源污染议定书》(同上，第1328卷，第22281号，第105页起，见第121页，第4条第1(b)款)、《保护东南太平洋免受陆源污染议定书》(1983年7月22日，基多，同上，第1648卷，第28327号，第73页起，见第90页，第二条第(c)款)、《〈关于合作保护海洋环境免受污染的科威特区域公约〉保护海洋环境免受陆源污染议定书》(1990年2月21日，科威特，同上，第2399卷，第17898号，第3页起，见第40页，第三条)。 |
| For example, at the fifty-eighth session of the Marine Environment Protection Committee in 2008, IMO adopted annex VI, as amended, to the International Convention for the Prevention of Pollution from Ships (ibid., vol. 1340, No. 22484, p. 61), which regulates, inter alia, emissions of SOx and NOx. | 例如，2008年海上环境保护委员会第五十八次会议上，海事组织通过了《国际防止船舶造成污染公约》经修正的附件六(同上，第1340卷，第22484号，第61页)，附件六管理除其他外，氧化硫和氧化氮的排放。 |
| The Convention now has six annexes, namely, annex I on regulations for the prevention of pollution by oil (entry into force on 2 October 1983); | 迄今为止，《公约》已有六项附件，即关于管理预防石油污染的附件一(1983年10月2日生效)； |
| annex II on regulations for the control of pollution by noxious liquid substances in bulk (entry into force on 6 April 1987); | 关于管理预防控制批量运输的有毒液体物质污染的附件二(1987年4月6日生效)； |
| annex III on regulations for the prevention of pollution by harmful substances carried by sea in packaged form (entry into force on 1 July 1992); | 关于管理预防以包装形式海运的有害物质污染的附件三(1992年7月1日生效)； |
| annex IV on regulations for the prevention of pollution by sewage from ships (entry into force on 27 September 2003); | 关于管理预防船只污水污染的附件四(2003年9月27日生效)； |
| annex V on regulations for the prevention of pollution by garbage from ships (entry into force on 31 December 1988); | 关于管理预防船只垃圾污染的附件五(1988年12月31日生效)； |
| and annex VI on regulations for the prevention of air pollution from ships (entry into force on 19 May 2005). | 关于管理预防船只造成空气污染的附件六(2005年5月19日生效)。 |
| S. Karim, Prevention of Pollution of the Marine Environment from Vessels: The Potential and Limits of the International Maritime Organization (Dordrecht, Springer, 2015), pp. 107–126; | S. Karim, Prevention of Pollution of the Marine Environment from Vessels: The Potential and Limits of the International Maritime Organization (Dordrecht, Springer, 2015), pp. 107–126; |
| S. Karim and S. Alam, “Climate change and reduction of emissions of greenhouse gases from ships: an appraisal”, Asian Journal of International Law, vol. 1 (2011), pp. 131–148; | S. Karim and S. Alam, “Climate change and reduction of emissions of greenhouse gases from ships: an appraisal”, Asian Journal of International Law, vol. 1 (2011), pp. 131–148; |
| Y. Shi, “Are greenhouse gas emissions from international shipping a type of marine pollution? ” Marine Pollution Bulletin, vol. 113 (2016), pp. 187–192; | Y. Shi, “Are greenhouse gas emissions from international shipping a type of marine pollution?” Marine Pollution Bulletin, vol. 113 (2016), pp. 187–192; |
| J. Harrison, “Recent developments and continuing challenges in the regulation of greenhouse gas emissions from international shipping” (2012), Edinburgh School of Law Research Paper No. 2012/12, p. 20. Available from https://ssrn.com/abstract=2037038. | J. Harrison, “Recent developments and continuing challenges in the regulation of greenhouse gas emissions from international shipping” (2012), Edinburgh School of Law Research Paper No. 2012/12, p. 20. Available from https://ssrn.com/abstract=2037038. |
| Analytical study on the relationship between human rights and the environment: report of the United Nations High Commissioner for Human Rights (A/HRC/19/34), para. 15. | 关于人权与环境之间关系的分析研究：联合国人权事务高级专员的报告(A/HRC/19/34)，第15段。 |
| See also Human Rights Council resolution 19/10 of 19 April 2012 on human rights and the environment. | 另见人权理事会2012年4月19日关于人权与环境问题的第19/10号决议。 |
| See L.B. Sohn, “The Stockholm Declaration on the Human Environment” (footnote 23 above), pp. 451–455. | 见L.B. Sohn, “The Stockholm Declaration on the Human Environment” (上文脚注23), pp. 451–455。 |
| F. Francioni, “Principle 1: human beings and the environment”, in J.E. Viñuales, ed., The Rio Declaration on Environment and Development: A Commentary (Oxford, Oxford University Press, 2015), pp. 93–106, at pp. 97–98. | F. Francioni, “Principle 1: human beings and the environment”, in J.E. Viñuales, ed., The Rio Declaration on Environment and Development: A Commentary (Oxford, Oxford University Press, 2015), pp. 93–106, at pp. 97–98. |
| United Nations, Treaty Series, vol. 1302, No. 21623, p. 217, at p. 219, arts. 1 and 2. | 联合国，《条约汇编》，第1302卷，第21623号，第217页起，见第219页，第1和第2条。 |
| Ibid., vol. 1513, No. 26164, p. 293, at p. 326, art. 2. | 同上，第1513卷，第26164号，第293页起，见第326页，第2条。 |
| Art. 1. | 第1条。 |
| Art. 6 of the International Covenant on Civil and Political Rights of 1966 (New York, 16 December 1966, United Nations, Treaty Series, vol. 999, No. 14668, p. 171); | 1966年《公民及政治权利国际公约》(1966年12月16日，纽约，联合国《条约汇编》，第999卷，第14668号，第171页)，第六条； |
| art. 6 of the Convention on the Rights of the Child of 1989 (New York, 20 December 1989, ibid., vol. 1577, No. 27531, p. 3); | 1989年《儿童权利公约》第6条(1998年12月20日，纽约，同上，第1577卷，第27531号，第3页)； |
| art. 10 of the Convention on the Rights of Persons with Disabilities of 2006 (New York, 20 December 2006, ibid., vol. 2515, No. 44910, p. 3); | 2006年《残疾人权利公约》第十条(2006年12月20日，纽约，同上，第2515卷，第44910号，第3页)； |
| art. 2 of the Convention for the Protection of Human Rights and Fundamental Freedoms of 1950 (Rome, 4 November 1950, ibid., vol. 213, No. 2889, p. 221, hereinafter, “European Convention on Human Rights”); | 1950年《保护人权与基本自由公约》第2条(1950年11月4日，罗马，同上，第213卷，第2889号，第221页，下称“《欧洲人权公约》”)； |
| art. 4 of the American Convention on Human Rights of 1969 (San José, 22 November 1969, ibid., vol. 1144, No. 14668, p. 171); | 1969年《美洲人权公约》第4条(1969年11月22日，圣何塞，同上，第1144卷，第14668号，第171页)； |
| and art. 4 of the African Charter on Human and Peoples’ Rights of 1981 (Nairobi, 27 June 1981, ibid., vol. 1520, No. 26363, p. 217). | 1981年《非洲人权和民族权宪章》第4条(1981年6月27日，内罗毕，同上，第1520卷，第26363号，第217页)。 |
| Art. 17 of the International Covenant on Civil and Political Rights; | 《公民及政治权利国际公约》第十七条； |
| art. 8 of the European Convention on Human Rights; | 《欧洲人权公约》第8条； |
| and art. 11, para. 2, of the American Convention on Human Rights. | 《美洲人权公约》第11条第2款。 |
| Art. 1 of Protocol No. 1 to the European Convention on Human Rights (ibid., vol. 213, No. 2889, p. 221); | 《〈欧洲人权公约〉第一议定书》第1条(同上，第213卷，第2889号，第221页)； |
| art. 21 of the American Convention on Human Rights; | 《美洲人权公约》第21条； |
| and art. 14 of the African Charter on Human and Peoples’ Rights. | 《非洲人权和民族权宪章》第14条。 |
| See D. Shelton, “Human rights and the environment: substantive rights” in Fitzmaurice, Ong and Merkouris, eds., Research Handbook on International Environmental Law, (footnote 21 above), pp. 265–283, at pp. 265, 269–278. | 见D. Shelton, “Human rights and the environment: substantive rights” in Fitzmaurice, Ong and Merkouris, eds., Research Handbook on International Environmental Law, (上文脚注21), pp. 265–283, at pp. 265, 269–278。 |
| P.-M. Dupuy and J.E. Viñuales, International Environmental Law (Cambridge, Cambridge University Press, 2015), pp. 320–329. | P.-M. Dupuy and J.E. Viñuales, International Environmental Law (Cambridge, Cambridge University Press, 2015), pp. 320–329. |
| Ibid., pp. 308–309. | Ibid., pp. 308–309. |
| Art. 2 of the International Covenant on Civil and Political Rights; | 《公民及政治权利国际公约》第二条； |
| art. 1 of the European Convention on Human Rights; | 《欧洲人权公约》第1条； |
| and art. 1 of the American Convention on Human Rights. | 《美洲人权公约》第1条。 |
| See A. Boyle, “Human rights and the environment: where next? ”, European Journal of International Law, vol. 23 (2012), pp. 613–642, at pp. 633–641. | 见A. Boyle, “Human rights and the environment: where next?”, European Journal of International Law, vol. 23 (2012), pp. 613–642, at pp. 633–641。 |
| Legal Consequences of the Construction of a Wall in the Occupied Palestinian Territory, Advisory Opinion, I.C.J. Reports 2004, p. 136, at p. 179, para. 109. | 在巴勒斯坦被占领土修建隔离墙的法律后果，咨询意见，《2004年国际法院案例汇编》，第136页起，见第179页，第109段。 |
| Boyle, “Human rights and the environment” (see footnote 165 above), pp. 639–640. | Boyle, “Human rights and the environment” (见上文脚注165), pp. 639–640。 |
| B. Simma and P. Alston, “Sources of human rights law: custom, jus cogens and general principles”, Australian Year Book of International Law, vol. 12 (1988), pp. 82–108; | B. Simma and P. Alston, “Sources of human rights law: custom, jus cogens and general principles”, Australian Year Book of International Law, vol. 12 (1988), pp. 82–108; |
| V. Dimitrijevic, “Customary law as an instrument for the protection of human rights”, Working Paper, No. 7 (Milan, Istituto Per Gli Studi Di Politica Internazionale (ISPI), 2006), pp. 3–30; | V. Dimitrijevic, “Customary law as an instrument for the protection of human rights”, Working Paper, No. 7 (Milan, Istituto Per Gli Studi Di Politica Internazionale (ISPI), 2006), pp. 3–30; |
| B. Simma, “Human rights in the International Court of Justice: are we witnessing a sea change?”, in D. Alland et al., eds., Unity and Diversity of International Law: Essays in Honour of Professor Pierre-Marie Dupuy (Leiden, Martinus Nijhoff, 2014), pp. 711–737; | B. Simma, “Human rights in the International Court of Justice: are we witnessing a sea change?”, in D. Alland et al., eds., Unity and Diversity of International Law: Essays in Honour of Professor Pierre-Marie Dupuy (Leiden, Martinus Nijhoff, 2014), pp. 711–737; |
| and H. Thirlway, “International law and practice: human rights in customary law: an attempt to define some of the issues,” Leiden Journal of International Law, vol. 28 (2015), pp. 495–506. | and H. Thirlway, “International law and practice: human rights in customary law: an attempt to define some of the issues,” Leiden Journal of International Law, vol. 28 (2015), pp. 495–506. |
| World Health Organization, Protecting Health from Climate Change: Connecting Science, Policy and People (Geneva, 2009), p. 2. | 世界卫生组织，《保护健康不受气候变化的影响：连接科学、政策和人民》(2009年，日内瓦)，第2页。 |
| See B. Lode, P. Schönberger and P. Toussaint, “Clean air for all by 2030? Air quality in the 2030 Agenda and in international law”, Review of European, Comparative and International Environmental Law, vol. 25 (2016), pp. 27–38. | 见B. Lode, P. Schönberger and P. Toussaint, “Clean air for all by 2030? Air quality in the 2030 Agenda and in international law”, Review of European, Comparative and International Environmental Law, vol. 25 (2016), pp. 27–38。 |
| See also the indicators for these targets specified in 2016 (3.9.1: mortality rate attributed to household and ambient air pollution; | 另见2016年规定的这些具体目标的指标(3.9.1：家庭和环境空气污染导致的死亡率； |
| and 11.6.2: annual mean levels of fine particulate matter in cities). | 11.6.2：城市细颗粒物年度均值)。 |
| “Report of the Indigenous Peoples’ Global Summit on Climate Change, 20–24 April 2009, Anchorage, Alaska”, p. 12. | “《土著人民气候变化全球峰会报告》，2009年4月20日至24日，阿拉斯加安克雷奇”，第12页。 |
| See R.L. Barsh, “Indigenous peoples”, in Bodansky et al., The Oxford Handbook of International Environmental Law, (footnote 21 above), pp. 829–852; | 见 R.L. Barsh, “Indigenous peoples”, in Bodansky et al., The Oxford Handbook of International Environmental Law, (上文脚注21), pp. 829–852; |
| B. Kingsbury, “Indigenous peoples”, in R. Wolfrum, ed., The Max Planck Encyclopedia of Public International Law (Oxford, Oxford University Press, 2012), vol. V, pp. 116–133; | B. Kingsbury, “Indigenous peoples”, in R. Wolfrum, ed., The Max Planck Encyclopedia of Public International Law (Oxford, Oxford University Press, 2012), vol. V, pp. 116–133; |
| and H.A. Strydom, “Environment and indigenous peoples”, in ibid., vol. III, pp. 455–461. | and H.A. Strydom, “Environment and indigenous peoples”, in ibid., vol. III, pp. 455–461。 |
| World Bank Group Climate Change Action Plan, 7 April 2016, para. 104, available from http://pubdocs.worldbank.org/en/677331460056382875/WBG-Climate-Change-Action-Plan-public-version.pdf. | 世界银行集团，《气候变化行动计划》，2016年4月7日，第104段，可查阅 http://pubdocs.worldbank.org/en/677331460056382875/WBG-Climate-Change-Action-Plan-public-version.pdf。 |
| The Committee on the Elimination of Discrimination against Women has a general recommendation on “gender-related dimensions of disaster risk reduction and climate change”; | 消除对妇女歧视委员会有一项关于“减少灾害风险和气候变化与性别有关的层面”的一般性建议； |
| see http://www.ohchr.org/EN/HRBodies/CEDAW/Pages/ClimateChange.aspx. | 见http://www.ohchr.org/EN/HRBodies/CEDAW/Pages/ClimateChange.aspx。 |
| Along with women and children, the elderly and persons with disabilities are usually mentioned as vulnerable people. | 同妇女和儿童一样，老年人和残疾人通常被称为易受影响群体。 |
| See World Health Organization, Protecting Health from Climate Change … (footnote 169 above) and the World Bank Group Climate Change Action Plan (footnote 172 above). | 见世界卫生组织《保护健康不受气候变化…》(上文脚注169)和世界银行集团《行动计划》(上文脚注172)。 |
| The Inter-American Convention on Protecting the Human Rights of Older Persons of 2015 (General Assembly of the Organization of American States, Forty-fifth Regular Session, Proceedings, vol. I (OEA/Ser.P/XLV-O.2), pp. 11–38) provides, in article 25 (right to a healthy environment), that: “Older persons have the right to live in a healthy environment with access to basic public services. | 2015年《美洲保护老年人人权公约》(美洲国家组织大会，第四十五届常会，议事录，第1(OEA/Ser.P/XLV-O.2)卷，第11-38页)第25条(健康环境权)规定：“老年人有权生活在健康的环境中，享有基本公共服务。 |
| To that end, States Parties shall adopt appropriate measures to safeguard and promote the exercise of this right, inter alia: a. To foster the development of older persons to their full potential in harmony with nature; | 为此，缔约国应采取适当措施，维护和促进这项权利的行使，特别是：a. 以与自然和谐的方式促进老年人充分发挥最大潜力； |
| b. To ensure access for older persons, on an equal with others, to basic public drinking water and sanitation services, among others.” | b. 确保老年人在与他人平等的基础上获得公共饮用水和卫生服务等”。 |
| See generally, P. Sands and J. Peel, with A. Fabra and R. MacKenzie, Principles of International Environmental Law, 4th ed. (Cambridge, Cambridge University Press, 2018), pp. 144–196; | 一般参看：P. Sands and J. Peel, with A. Fabra and R. MacKenzie, Principles of International Environmental Law, 4th ed. (Cambridge, Cambridge University Press, 2018), pp. 144–196; |
| E. Brown Weiss and H.K. Jacobson, eds., Engaging Countries: Strengthening Compliance with International Environmental Accords, (Cambridge, Massachusetts, MIT Press, 1998), see “A framework for analysis”, pp. 1–18, at p. 4. | E. Brown Weiss and H.K. Jacobson, eds., Engaging Countries: Strengthening Compliance with International Environmental Accords, (Cambridge, Massachusetts, MIT Press, 1998), see “A framework for analysis”, pp. 1–18, at p. 4。 |
| C. Redgwell, “National implementation”, in Bodansky et al., The Oxford Handbook of International Environmental Law (footnote 21 above), pp. 923–947. | C. Redgwell, “National implementation”, in Bodansky et al., The Oxford Handbook of International Environmental Law (上文脚注21), pp. 923-947。 |
| See L. Krämer, “Regional economic integration organizations: the European Union as an example”, in Bodansky et al., The Oxford Handbook of International Environmental Law (footnote 21 above), pp. 854–877 (on implementation, pp. 868–870). | See L. Krämer, “Regional economic integration organizations: the European Union as an example”, in Bodansky et al., The Oxford Handbook of International Environmental Law (上文脚注21), pp. 854-877 (on implementation, pp. 868–870)。 |
| Even the obligation to cooperate sometimes requires national implementation. | 甚至合作的义务有时也需要国家执行。 |
| According to draft guideline 8, paragraph 2, “[c]ooperation could include exchange of information and joint monitoring”, which normally require national implementing legislation. | 根据指南草案8第2段，“合作可包括信息交流和联合监测”，这通常需要国家执行法律。 |
| See, for example, draft guidelines 5, 6, 7, 9, and 12, para. 2. | 例如见指南草案5、6、7和9以及指南草案12第2段。 |
| The relevant precedents of extraterritorial application of national law include: (a) Tuna-Dolphin cases under the General Agreement on Tariffs and Trade (The “extra-jurisdictional application” of the United States Marine Mammal Protection Act not being consistent with article XX of the General Agreement, Panel report, United States – Restrictions on Imports of Tuna, DS21/R-39S/155, 3 September 1991 (Tuna-Dolphin-I, not adopted), paras. 5.27–5.29; | 域外适用国内法的相关先例包括：(a) 向关税及贸易总协定提出的金枪鱼－海豚案(《美国海洋哺乳动物保护法》的“域外适用”与《总协定》第二十条不符，小组报告，美国－对金枪鱼的进口限制，DS21/R-39S/155, 1991年9月3日(第一起金枪鱼－海豚案，未通过)，第5.27-5.29段； |
| General Agreement on Tariffs and Trade, Panel report, United States – Restrictions on Imports of Tuna, DS29/R, 16 June 1994 (Tuna Dolphin II, not adopted), para. 5.32); | 关税及贸易总协定，小组报告，美国－对金枪鱼的进口限制，DS29/R, 1994年6月16日(第二起金枪鱼－海豚案，未通过)，第5.32段。)； |
| (b) WTO Gasoline case (On the extraterritorial application of the United States Clean Air Act, WTO, Appellate Body report, United States – Standards of Reformulated and Conventional Gasoline, WT/DS2/AB/R, 22 April 1996); | (b) 世贸组织汽油案，(关于《美国清洁空气法》的域外适用，世贸组织，上诉机构报告，美国－新配方汽油和常规汽油标准，WT/DS2/AB/R, 1996年4月22日)； |
| (c) European Court of Justice judgment, Air Transport Association of America and Others v. Secretary of State for Energy and Climate, 21 December 2011 (On the extraterritorial application of the European Union Aviation Directive 2008/101/EC); | (c) 欧洲法院，美国航空运输协会等诉能源与气候大臣案，2011年12月21日(关于第 2008/101/EC号欧洲联盟航空指令的域外适用)； |
| and (d) Singapore Transboundary Haze Pollution Act of 2014, providing for extraterritorial jurisdiction based on the “objective territorial principle” (Parliament of Singapore, Official Reports, No. 12, Session 2, 4 August 2014, paras. 5–6). | (d) 新加坡2014年《跨境烟霾污染法》规定了根据“客体属地原则”的域外适用(新加坡议会，《正式报告》，第12号，第2部分，2014年8月4日，第5-6段)。 |
| See Murase, “Perspectives from international economic law on transnational environmental issues” (footnote 143 above), pp. 349–372. | 见Murase, “Perspectives from international economic law on transnational environmental issues” (上文脚注143), pp. 349–372。 |
| See the Special Rapporteur’s fifth report (A/CN.4/711), para. 31. | 见特别报告员的第五次报告(A/CN.4/711)，第31段。 |
| See conclusion 11 of the conclusions on the identification of customary international law and commentary thereto, Official Records of the General Assembly, Seventy-third Session, Supplement No. 10 (A/73/10), chap. V, pp. 143–146. | 见关于习惯国际法的识别的结论及其评注，结论11，《大会正式记录，第七十三届会议，补编第10号》(A/73/10)，第五章，第143-146页。 |
| This reflection of State practice would include multilateral or regional or other trade agreements, for example, that may also contemplate environmental protection provisions including exceptions such as those under article XX of the General Agreement on Tariffs and Trade or even so-called environmental “side agreements”, such as the North American Agreement on Environmental Cooperation. | 例如，这里反映的国家实践包括多边或区域协定或其他贸易协定，这些协定也可能考虑到环境保护条款，包括《关税及贸易总协定》第二十条规定的例外，甚至包括所谓的环境“附属协定”，如《北美环境合作协定》。 |
| Non-compliance procedures have been widely adopted in multilateral environmental agreements relating to the protection of the atmosphere, including the following: (a) Convention on Long-Range Transboundary Air Pollution and its subsequent Protocols: see E. Milano, “Procedures and mechanisms for review of compliance under the 1979 Long-Range Transboundary Air Pollution Convention and its Protocols”, in T. Treves et al., eds., Non-Compliance Procedures and Mechanisms and the Effectiveness of International Environmental Agreements (The Hague, T.M.C. Asser Press, 2009), pp. 169–180; | 有关保护大气层的多边环境协定广泛采用了不遵约情况的审查程序，包括下列协定：(a)《远距离越境空气污染公约》以及后来的《议定书》：见E. Milano, “Procedures and mechanisms for review of compliance under the 1979 Long-Range Transboundary Air Pollution Convention and its Protocols”, in T. Treves et al., eds., Non-Compliance Procedures and Mechanisms and the Effectiveness of International Environmental Agreements (The Hague, T.M.C. Asser Press, 2009), pp. 169–180; |
| (b) the Montreal Protocol on the Substances that Deplete the Ozone Layer (United Nations, Treaty Series, vol. 1522, No. 26369, p. 3, and UNEP/OzL.Pro.4/15); | (b)《关于消耗臭氧层物质的蒙特利尔议定书》(联合国，《条约汇编》，第1522卷，第26369号，第3页，以及UNEP/OzL.Pro.4/15)； |
| F. Lesniewska, “Filling the holes: the Montreal Protocol’s non-compliance mechanisms”, in Fitzmaurice, Ong and Merkouris, eds., Research Handbook on International Environmental Law (footnote 21 above), pp. 471–489; | F. Lesniewska, “Filling the holes: the Montreal Protocol’s non-compliance mechanisms”, in Fitzmaurice, Ong and Merkouris, eds., Research Handbook on International Environmental Law (上文脚注21), pp. 471–489; |
| (c) Convention on Environmental Impact Assessment in a Transboundary Context; | (c)《越境环境影响评估公约》； |
| (d) Kyoto Protocol to the United Nations Framework Convention on Climate Change, and decision 24/CP.7 (FCCC/CP/2001/13/Add.3); | (d)《〈联合国气候变化框架公约〉京都议定书》和第24/CP.7号决定 (FCCC/CP/2001/13/Add.3); |
| J. Brunnée, “Climate change and compliance and enforcement processes”, in R. Rayfuse and S.V. Scott, eds., International Law in the Era of Climate Change (Cheltenham: Edward Elgar, 2012), pp. 290–320; | J. Brunnée, “Climate change and compliance and enforcement processes”, in R. Rayfuse and S.V. Scott, eds., International Law in the Era of Climate Change (Cheltenham: Edward Elgar, 2012), pp. 290–320; |
| (e) the Paris Agreement; | (e)《巴黎协定》； |
| D. Bodansky, “The Paris Climate Change Agreement: a new hope? ”, American Journal of International Law, vol. 110 (2016), pp. 288–319. | D. Bodansky, “The Paris Climate Change Agreement: a new hope?”, American Journal of International Law, vol. 110 (2016), pp. 288–319。 |
| This is based on the Montreal Protocol on Substances that Deplete the Ozone Layer, which in art. 8 uses the phrase “Parties found to be in non-compliance” (United Nations, Treaty Series, vol. 1522, No. 26369, p. 40). | 这一说法依据的是《关于消耗臭氧层物质的蒙特利尔议定书》，该议定书第8条使用了“被查明不遵守规定的缔约国”这一短语(联合国，《条约汇编》，第1522卷，第26369号，第40页)。 |
| M. Koskenniemi, “Breach of treaty or non-compliance? Reflections on the enforcement of the Montreal Protocol”, Yearbook of International Environmental Law, vol. 3 (1992), pp. 123–162; | M. Koskenniemi, “Breach of treaty or non-compliance? Reflections on the enforcement of the Montreal Protocol”, Yearbook of International Environmental Law, vol. 3 (1992), pp. 123–162; |
| D.G. Victor, “The operation and effectiveness of the Montreal Protocol’s non-compliance procedure”, in Victor, K. Raustiala and E. B. Skolnikoff, eds., The Implementation and Effectiveness of International Environmental Commitments: Theory and Practice (Cambridge, Massachusetts, MIT Press, 1998), pp. 137–176; | D.G. Victor, “The operation and effectiveness of the Montreal Protocol’s non-compliance procedure”, in Victor, K. Raustiala and E. B. Skolnikoff, eds., The Implementation and Effectiveness of International Environmental Commitments: Theory and Practice (Cambridge, Massachusetts, MIT Press, 1998), pp. 137–176; |
| O. Yoshida, The International Legal Régime for the Protection of the Stratospheric Ozone Layer (The Hague, Kluwer Law International, 2001), pp. 178–179; | O. Yoshida, The International Legal Régime for the Protection of the Stratospheric Ozone Layer (The Hague, Kluwer Law International, 2001), pp. 178–179; |
| Dupuy and Viñuales, International Environmental Law (footnote 163 above), p. 285 et seq. | Dupuy and Viñuales, International Environmental Law (上文脚注163), p. 285 et seq. |
| G. Ulfstein and J. Werksman, “The Kyoto compliance system: towards hard enforcement”, in O. Schram Stokke, J. Hovi and G. Ulfstein, eds., Implementing the Climate Change Regime: International Compliance (London, Earthscan, 2005), pp. 39–62; | G. Ulfstein and J. Werksman, “The Kyoto compliance system: towards hard enforcement”, in O. Schram Stokke, J. Hovi and G. Ulfstein, eds., Implementing the Climate Change Regime: International Compliance (London, Earthscan, 2005), pp. 39–62; |
| S. Urbinati, “Procedures and mechanisms relating to compliance under the 1997 Kyoto Protocol to the 1992 United Nations Framework Convention on Climate Change”, in Treves et al., Non-Compliance Procedures and Mechanisms and the Effectiveness of International Environmental Agreements (footnote 183 above), pp. 63–84; | S. Urbinati, “Procedures and mechanisms relating to compliance under the 1997 Kyoto Protocol to the 1992 United Nations Framework Convention on Climate Change”, in Treves et al., Non-Compliance Procedures and Mechanisms and the Effectiveness of International Environmental Agreements (上文脚注183), pp. 63–84; |
| S. Murase, “International lawmaking for the future framework on climate change: a WTO/GATT Model”, in Murase, International Law: An Integrative Perspective on Transboundary Issues (footnote 143 above), pp. 173–174. | S. Murase, “International lawmaking for the future framework on climate change: a WTO/GATT Model”, in Murase, International Law: An Integrative Perspective on Transboundary Issues (上文脚注143), pp. 173–174。 |
| G. Loibl, “Compliance procedures and mechanisms”, in Fitzmaurice, Ong and Merkouris, eds., Research Handbook on International Environmental Law (footnote 21 above), pp. 426–449, at pp. 437–439. | G. Loibl, “Compliance procedures and mechanisms”, in Fitzmaurice, Ong and Merkouris, eds., Research Handbook on International Environmental Law (上文脚注21), pp. 426–449, at pp. 437–439。 |
| C. Tomuschat, “Article 33”, in B. Simma et al., eds., The Charter of the United Nations: A Commentary, 3rd ed., vol. 1 (Oxford, Oxford University Press, 2012), pp. 1069–1085; | C. Tomuschat, “Article 33”, in B. Simma et al., eds., The Charter of the United Nations: A Commentary, 3rd ed., vol. 1 (Oxford, Oxford University Press, 2012), pp. 1069–1085; |
| H. Ascensio, “Article 33”, in J.-P. Cot, A. Pellet, M. Forteau, eds., La Charte des Nations Unies, 3rd ed. (Economica, 2005), pp. 1047–1060. | H. Ascensio, “Article 33”, in J.-P. Cot, A. Pellet, M. Forteau, eds., La Charte des Nations Unies, 3rd ed. (Economica, 2005), pp. 1047-1060. |
| N. Klein, “Settlement of international environmental law disputes”, in Fitzmaurice, Ong and Merkouris, eds., Research Handbook on International Environmental Law (footnote 21 above), pp. 379–400; | N. Klein, “Settlement of international environmental law disputes”, in Fitzmaurice, Ong and Merkouris, eds., Research Handbook on International Environmental Law (上文脚注21), pp. 379–400; |
| C.P.R. Romano, “International dispute settlement”, in Bodansky et al., The Oxford Handbook of International Environmental Law (footnote 21 above), pp. 1037–1056. | C.P.R. Romano, “International dispute settlement”, in Bodansky et al., The Oxford Handbook of International Environmental Law (上文脚注21), pp. 1037-1056。 |
| See S. Murase, “Scientific knowledge and the progressive development of international law: with reference to the ILC topic on the protection of the atmosphere”, in J. Crawford et al., eds., The International Legal Order: Current Needs and Possible Responses: Essays in Honour of Djamchid Momtaz (Leiden, Brill Nijhoff, 2017), pp. 41–52. | See S. Murase, “Scientific knowledge and the progressive development of international law: with reference to the ILC topic on the protection of the atmosphere”, in J. Crawford et al., eds., The International Legal Order: Current Needs and Possible Responses: Essays in Honour of Djamchid Momtaz (Leiden, Brill Nijhoff, 2017), pp. 41–52. |
| See the speech of the President of the International Court of Justice, Judge Abraham, before the Sixth Committee on 28 October 2016 (on international environmental law cases before the International Court of Justice) (available from www.icj-cij.org/en/statements-by-the-president); | 见国际法院院长亚伯拉罕法官2016年10月28日在第六委员会(就提交国际法院的国际环境法案件)发表的讲话(可查阅www.icj-cij.org/en/statements-by-the-president); |
| and President Peter Tomka, “The ICJ in the service of peace and justice – words of welcome by President Tomka”, 27 September 2013 (available from https://www.icj-cij.org/en/statements-by-the-president). | 彼得·通卡院长，“国际法院为和平与正义服务――通卡院长的欢迎辞”，2013年9月27日 (可查阅 https://www.icj-cij.org/en/statements-by-the-president)。 |
| See also E. Valencia-Ospina, “Evidence before the International Court of Justice”, International Law Forum du droit international, vol. 1 (1999), pp. 202–207; | 另见E. Valencia-Ospina, “Evidence before the International Court of Justice”, International Law Forum du droit international, vol. 1 (1999), pp. 202–207; |
| A. Riddell, “Scientific evidence in the International Court of Justice – problems and possibilities”, Finnish Yearbook of International Law, vol. 20 (2009), pp. 229–258; | A. Riddell, “Scientific evidence in the International Court of Justice – problems and possibilities”, Finnish Yearbook of International Law, vol. 20 (2009), pp. 229–258; |
| B. Simma, “The International Court of Justice and scientific expertise”, American Society of International Law Proceedings, vol. 106 (2012), pp. 230–233; | B. Simma, “The International Court of Justice and scientific expertise”, American Society of International Law Proceedings, vol. 106 (2012), pp. 230–233; |
| A. Riddell and B. Plant, Evidence Before the International Court of Justice (London, British Institute of International and Comparative Law, 2009), chap. 9; | A. Riddell and B. Plant, Evidence Before the International Court of Justice (London, British Institute of International and Comparative Law, 2009), chap. 9; |
| G. Niyungeko, La preuve devant les juridictions internationales (Brussels, Bruylant, 2005). | G. Niyungeko, La preuve devant les juridictions internationales (Brussels, Bruylant, 2005)。 |
| In the 1997 Gabčíkovo-Nagymaros Project (see footnote 84 above) and the 2010 Pulp Mills (see footnote 79 above) cases, the parties followed the traditional method of presenting the evidence, that is, by expert-counsel, though they were scientists and not lawyers. | 在1997年加布奇科沃－大毛罗斯项目案(见上文脚注84)和2010年纸浆厂案(见上文脚注79)中，当事方遵循传统的举证方法，即通过专家－律师举证，但他们是科学家而非律师。 |
| Their scientific findings were treated as the parties’ assertions, but this met some criticisms by some of the individual judges of the Court (Pulp Mills on the River Uruguay, Judgment, separate opinion of Judge Greenwood, paras. 27–28, and joint dissenting opinion of Judges Al-Khasawneh and Simma, para. 6), as well as by commentators. | 他们的科学结论被视为当事方的说法，但这种做法遭到了法院一些法官个人的批评(乌拉圭河沿岸纸浆厂案，判决，格林伍德法官的个别意见，第27-28段，以及哈苏奈法官和西马法官的联合反对意见，第6段)及评论者的批评。 |
| In the Aerial Herbicide Spraying (withdrawn in 2013) (Aerial Herbicide Spraying (Ecuador v. Colombia), Order of 13 September 2013, I.C.J. Reports 2013, p. 278), in the 2014 Whaling in the Antarctica (Whaling in the Antarctica (Australia v. Japan: New Zealand intervening), Judgment, I.C.J. Reports 2014, p. 226) and in the 2015 Construction of a Road (see footnote 58 above) cases, the parties appointed independent experts, who were, in the latter two cases, cross-examined and were treated with more weight than the statements of expert-counsel. | 在空中喷洒除草剂案(2013年撤诉)(空中喷洒除草剂案(厄瓜多尔诉哥伦比亚)，2013年9月13日的命令，《2013年国际法院案例汇编》，第278页)、2014年南极捕鲸案(南极捕鲸案，(澳大利亚诉日本：新西兰参加诉讼)，判决，《2014年国际法院案例汇编》第266页)和2015年修建道路案(见上文脚注58)中，当事方指定了独立专家，在后两起案件中，独立专家接受了对方的交叉诘问，并被视为比专家－律师的陈述更具分量。 |
| In all of these cases, the Court did not appoint its own experts in accordance with Article 50 of its Statute, but it did so in the Maritime Delimitation case, although the latter was not per se an environmental law dispute (Maritime Delimitation in the Caribbean Sea and the Pacific Ocean (Costa Rica v. Nicaragua) and Land Boundary in the Northern Part of Isla Portillos (Costa Rica v. Nicaragua), Judgment, I.C.J. Reports 2018, p. 139). | 在所有这些案件中，国际法院均未根据《规约》第五十条指定自己的专家，但国际法院在海洋划界案中指定了自己的专家，尽管该案本身并不是环境法争端(加勒比海与太平洋划界案(哥斯达黎加诉尼加拉瓜)和波蒂略岛北部的陆地边界案(哥斯达黎加诉尼加拉瓜)，判决，《2018年国际法院案例汇编》，第139页)。 |
| With regard to the issue of the standard of proof, the International Court of Justice tends to avoid extensive elaboration on the question, though the Court occasionally refers to it in abstract terms, leaving the matter for the discretion of the Court. | 关于证明标准问题，国际法院往往避免进行广泛阐述，但法院偶尔会抽象地提及这一问题，将此事留给法院酌处。 |
| In case of fact-intensive/technical cases such as environmental disputes, the Court might be viewed as lowering the standard of proof if needed, and simply weigh the respective evidence submitted by the parties in order to reach a conclusion. | 在环境争端等涉及大量事实的案件/技术性案件中，法院可能会被认为在必要时降低证明标准，只权衡当事方各自提交的证据，以便得出结论。 |
| See, for example, Judge Greenwood’s separate opinion in the Pulp Mills on the River Uruguay case judgment (para. 26), concluding that, in such cases, the party that bears the burden of proof needs to establish the facts only “on the balance of probabilities (or, the balance of the evidence)”. | 例如，见格林伍德法官在乌拉圭河沿岸纸浆厂案判决书中的个别意见(第26段)指出，在这种情况下，负有证明责任的一方只需要“在盖然性权衡(或证据权衡)的基础上”证实事实。 |
| See also K. Del Mar, “The International Court of Justice and standards of proof”, in K. Bannelier, T. Christakis and S. Heathcote, eds., The ICJ and the Evolution of International Law: the enduring impact of the Corfu Channel case (Abingdon, Routledge, 2012), pp. 98–123, at pp. 99–100; | 另见K. Del Mar, “The International Court of Justice and standards of proof”, in K. Bannelier, T. Christakis and S. Heathcote, eds., The ICJ and the Evolution of International Law: the enduring impact of the Corfu Channel case (Abingdon, Routledge, 2012), pp. 98–123, at pp. 99–100; |
| A. Rajput, “Standard of proof” in Max Planck Encylopedia of Public International Law (updated in 2021). | A. Rajput, “Standard of proof” in Max Planck Encylopedia of Public International Law (updated in 2021)。 |
| See D. Peat, “The use of court-appointed experts by the International Court of Justice”, British Yearbook of International Law, vol. 84 (2014), pp. 271–303; | 见D. Peat, “The use of court-appointed experts by the International Court of Justice”, British Yearbook of International Law, vol. 84 (2014), pp. 271–303; |
| J.G. Devaney, Fact-finding before the International Court of Justice (Cambridge, Cambridge University Press, 2016); | J.G. Devaney, Fact-finding before the International Court of Justice (Cambridge, Cambridge University Press, 2016); |
| C.E. Foster, Science and the Precautionary Principle in International Courts and Tribunals: Expert Evidence, Burden of Proof and Finality (Cambridge, Cambridge University Press, 2011), pp. 77–135; | C.E. Foster, Science and the Precautionary Principle in International Courts and Tribunals: Expert Evidence, Burden of Proof and Finality (Cambridge, Cambridge University Press, 2011), pp. 77–135; |
| Special edition on courts and tribunals and the treatment of scientific issues, Journal of International Dispute Settlement, vol. 3 (2012); | Special edition on courts and tribunals and the treatment of scientific issues, Journal of International Dispute Settlement, vol. 3 (2012); |
| C. Tams, “Article 50” and “Article 51”, in A. Zimmermann et al., eds., The Statute of the International Court of Justice: A Commentary (Oxford, Oxford University Press, 2012), pp. 1287–1311; | C. Tams, “Article 50” and “Article 51”, in A. Zimmermann et al., eds., The Statute of the International Court of Justice: A Commentary (Oxford, Oxford University Press, 2012), pp. 1287–1311; |
| C.E. Foster, “New clothes for the emperor? Consultation of experts by the International Court of Justice”, Journal of International Dispute Settlement, vol. 5 (2014), pp. 139–173; | C.E. Foster, “New clothes for the emperor? Consultation of experts by the International Court of Justice”, Journal of International Dispute Settlement, vol. 5 (2014), pp. 139–173; |
| J.E. Viñuales, “Legal techniques for dealing with scientific uncertainty in environmental law”, Vanderbilt Journal of Transnational Law, vol. 43 (2010), pp. 437–504, at pp. 476–480; | J.E. Viñuales, “Legal techniques for dealing with scientific uncertainty in environmental law”, Vanderbilt Journal of Transnational Law, vol. 43 (2010), pp. 437–504, at pp. 476–480; |
| G. Gaja, “Assessing expert evidence in the ICJ”, The Law and Practice of International Courts and Tribunals, vol. 15 (2016), pp. 409–418. | G. Gaja, “Assessing expert evidence in the ICJ”, The Law and Practice of International Courts and Tribunals, vol. 15 (2016), pp. 409–418。 |
| It should be recalled that there are close interactions between non-judicial and judicial means of settling disputes. | 应当回顾指出，解决争端的非司法手段和司法手段之间存在密切的相互关系。 |
| In the context of disputes relating to the environment and to the protection of the atmosphere, in particular, even at the stage of initial negotiations, States are often required to be well equipped with scientific evidence on which their claims are based, and accordingly the distance between negotiation and judicial settlement may not be very distant. | 在与环境和保护大气层有关的争端中，特别是在初步谈判阶段，各国往往需要有充分的科学证据作为其主张的依据，因此谈判与司法解决之间可能相距不远。 |
| Based on jura novit curia, the Court can in principle apply any applicable law to any fact. | 根据法官知法原则，法院原则上可对任何事实适用任何法律。 |
| In addition, it can evaluate evidence and draw conclusions as it sees appropriate (as long as it complies with the non ultra petita rule). | 此外，法院可评价证据并酌情得出结论(只要结论符合“不超出诉讼请求”规则)。 |
| Given its judicial function, the Court needs to sufficiently understand the meaning of each related technical fact in the case at hand. | 鉴于法院的司法职能，法院需要充分理解手头案件中的每个相关技术事实的含义。 |
| See the statement by the President of International Court of Justice, Judge Yusuf, on “Le recours à des experts désignés par la Cour en vertu de l’article 50 du Statut”, made before the Sixth Committee of the General Assembly on 26 October 2018, available from www.icj-cij.org/en/statements-by-the-president. | 见国际法院院长优素福法官2018年10月26日在联大第六委员会会议上发表的关于“Le recours à des experts désignés par la Cour en vertu de l’article 50 du Statut”的发言，可查阅www.icj-cij.org/en/statements-by-the-president。 |
| The line between “fact” and “law” is often obscured (M. Kazazi, Burden of Proof and Related Issues: A Study on Evidence before International Tribunals (The Hague, Kluwer Law International, 1996), pp. 42–49). | “事实”与“法律”的边界往往模糊不清(M. Kazazi, Burden of Proof and Related Issues: A Study on Evidence before International Tribunals (The Hague, Kluwer Law International, 1996), pp. 42–49)。 |
| Scientific issues are described by commentators as “mixed questions of fact and law” (e.g., C.F. Amerasinghe, Evidence in International Litigation, (Leiden, Martinus Nijhoff Publishers, 2005), p. 58), which cannot be easily categorized into either a matter of law or fact. | 科学问题被评论者形容为“法律与事实掺杂的问题”(例如 C.F. Amerasinghe, Evidence in International Litigation, (Leiden, Martinus Nijhoff Publishers, 2005), p. 58)，既不能轻易归为法律问题，也不能轻易归为事实问题。 |
| Judge Yusuf stated in his declaration in the Pulp Mills case that the experts’ role was to elucidate facts and to clarify the scientific validity of the methods used to establish facts or to collect data; | 优素福法官在纸浆厂案的声明中指出，专家的作用是阐明事实、澄清用于确立事实的方法的科学有效性或收集数据； |
| whereas it is for the Court to weigh the probative value of the facts (Pulp Mills (see footnote 79 above), Declaration of Judge Yusuf, para. 10). | 而法院的职责是衡量事实的证明价值(纸浆厂案(见上文脚注79)，优素福法官的声明，第10段)。 |
| See also Foster, Science and the Precautionary Principle in International Courts and Tribunals: Expert Evidence, Burden of Proof and Finality (see footnote 193 above), pp. 145–147. | 另见Foster, Science and the Precautionary Principle in International Courts and Tribunals: Expert Evidence, Burden of Proof and Finality (见上文脚注193), pp. 145–147。 |
| Yearbook … 2012, vol. II (Part Two), para. 267. | 《2012年…年鉴》，第二卷(第二部分)，第267段。 |
| A/CN.4/664 (first report), A/CN.4/675 (second report), A/CN.4/687 (third report), A/CN.4/699 and Add.1 (fourth report), and A/CN.4/718 and Add.1 (fifth report). | A/CN.4/664(第一次报告)、A/CN.4/675(第二次报告)、A/CN.4/687(第三次报告)、A/CN.4/699和Add.1(第四次报告)以及A/CN.4/718和Add.1(第五次报告)。 |
| A/CN.4/658, A/CN.4/676 and A/CN.4/707, respectively. | 分别为A/CN.4/658、A/CN.4/676和A/CN.4/707。 |
| The consideration of document A/CN.4/707 was postponed to the seventieth session. | A/CN.4/707号文件的审议工作推迟至第七十届会议。 |
| Official Records of the General Assembly, Seventy-third Session, Supplement No. 10 (A/73/10), paras. 85–86 and 89–90. | 《大会正式记录，第七十三届会议，补编第10号》(A/73/10)，第85-86段和第89-90段。 |
| Official Records of the General Assembly, Seventy-fourth Session, Supplement No. 10 (A/74/10), annex A. | 《大会正式记录，第七十四届会议，补编第10号》(A/74/10)，附件A。 |
| For purposes of the present draft annex, so-called “mixed agreements”, which are concluded between the European Union and its Member States, on the one part, and a third party, on the other part, are categorized as bilateral treaties. | 在本附件草案中，欧洲联盟及其成员国与第三方缔结的所谓“混合协定”被归为双边条约。 |
| See, in particular, the memorandum by the Secretariat on provisional application of treaties, A/CN.4/707. | 特别见秘书处编写的关于条约的暂时适用的备忘录，A/CN.4/707。 |
| Non-inclusion of any example should not be interpreted as reflecting any position of the Commission with respect to said example. | 任何实例未被列入不应解释为反映了委员会对该实例的任何立场。 |
| United Nations, Treaty Series, vol. 2385, No. 43056, p. 403. | 联合国，《条约汇编》，第2385卷，第43056号，第403页。 |
| Ibid., vol. 2420, No. 43679, p. 359. | 同上，第2420卷，第43679号，第359页。 |
| Ibid., vol. 2968, No. 51602, p. 237. | 同上，第2968卷，第51602号，第237页。 |
| Ibid., vol. 2306, No. 41136, p. 469. | 同上，第2306卷，第41136号，第469页。 |
| Ibid., vol. 2367, No. 42662, p. 697. | 同上，第2367卷，第42662号，第697页。 |
| Ibid., vol. 2898, No. 50541, p. 277. | 同上，第2898卷，第50541号，第277页。 |
| Ibid., vol. 1996, No. 34151, p. 33. | 同上，第1996卷，第34151号，第33页。 |
| Ibid., vol. 2389, No. 43165, p. 117. | 同上，第2389卷，第43165号，第117页。 |
| Ibid., vol. 2570, No. 45792, p. 254. | 同上，第2570卷，第45792号，第254页。 |
| Ibid., vol. 2635, No. 46921, p. 3. | 同上，第2635卷，第46921号，第3页。 |
| Ibid., vol. 2967, No. 51580, p. 123. | 同上，第2967卷，第51580号，第123页。 |
| Ibid., vol. 2980, No. 44001, p. 195. | 同上，第2980卷，第44001号，第195页。 |
| Ibid., vol. 1996, No. 34152, p. 45. | 同上，第1996卷，第34152号，第45页。 |
| Ibid., vol. 2689, No. 41714, p. 93. | 同上，第2689卷，第41714号，第93页。 |
| Official Journal of the European Union, vol. 54, L 127, 14 May 2011, p. 6. | 《欧洲联盟公报》，第54卷，L 127, 2011年5月14日，第6页。 |
| United Nations, Treaty Series, vol. 2167, No. 37924, p. 3. | 联合国，《条约汇编》，第2167卷，第37924号，第3页。 |
| Ibid., vol. 2229, No. 39640, p. 2. | 同上，第2229卷，第39640号，第2页。 |
| Ibid., vol. 2688, No. 47713, p. 39. | 同上，第2688卷，第47713号，第39页。 |
| Ibid., vol. 3013, No. 52373, [not yet published]. | 同上，第3013卷，第52373号，[尚未出版]。 |
| Ibid., vol. 2821, No. 49430, p. 3. | 同上，第2821卷，第49430号，第3页。 |
| Ibid., vol. 2953, No. 51181, p. 181. | 同上，第2953卷，第51181号，第181页。 |
| Council of Europe, Treaty Series, No. 194. | 欧洲委员会，《条约汇编》，第194号。 |
| United Nations World Tourism Organization, General Assembly resolution 365 (XII), adopted at its twelfth session in Istanbul, October 1997. | 联合国世界旅游组织，大会1997年10月在伊斯坦布尔举行的第十二届会议上通过的第365 (XII)号决议。 |
| United Nations, Treaty Series, vol. 1836, No. 31364, p. 3. | 联合国，《条约汇编》，第1836卷，第31364号，第3页。 |
| See footnote 222 above. | 见上文脚注222。 |
| United Nations, Treaty Series, vol. 2023, No. 34927, p. 341. | 联合国，《条约汇编》，第2023卷，第34927号，第341页。 |
| Ibid., vol. 2386, No. 43066, p. 3. | 同上，第2386卷，第43066号，第3页。 |
| Ibid., vol. 2962, No. 51490, p. 339. | 同上，第2962卷，第51490号，第339页。 |
| Ibid., vol. 2424, No. 43752, p. 167. | 同上，第2424卷，第43752号，第167页。 |
| Official Journal of the European Union, vol. 49, L 386, 29 December 2006, p. 57. | 《欧洲联盟公报》，第49卷，L 386, 2006年12月29日，第57页。 |
| United Nations, Treaty Series, vol. 2951, No. 51275, p. 3. | 联合国，《条约汇编》，第2951卷，第51275号，第3页。 |
| See footnote 227 above. | 见上文脚注227。 |
| United Nations, Treaty Series, vol. 1882, No. 32022, p. 195. | 联合国，《条约汇编》，第1882卷，第32022号，第195页。 |
| A/P4/1/03. | A/P.4/1/03。 |
| United Nations, Treaty Series, vol. 2069, No. 35853, p. 225. | 联合国，《条约汇编》，第2069卷，第35853号，第225页。 |
| Ibid., vol. 2169, No. 38039, p. 287. | 同上，第2169卷，第38039号，第287页。 |
| Ibid., vol. 2429, No. 43807, p. 301. | 同上，第2429卷，第43807号，第301页。 |
| Ibid., vol. 2643, No. 47110, p. 91. | 同上，第2643卷，第47110号，第91页。 |
| Ibid., vol. 2873, No. 50146, p. 125. | 同上，第2873卷，第50146号，第125页。 |
| See footnote 227 above. | 见上文脚注227。 |
| United Nations, Treaty Series, vol. 2056, No. 35597, p. 211. | 联合国，《条约汇编》，第2056卷，第35597号，第211页。 |
| Ibid., vol. 2161, No. 37756, p. 45. | 同上，第2161卷，第37756号，第45页。 |
| Ibid., vol. 2389, No. 43165, p. 117. | 同上，第2389卷，第43165号，第117页。 |
| Ibid., vol. 2907, No. 50651, p. 51. | 同上，第2907卷，第50651号，第51页。 |
| See footnote 237 above. | 见上文脚注237。 |
| United Nations, Treaty Series, vol. 2963, No. 51492, p. 23. | 联合国，《条约汇编》，第2963卷，第51492号，第23页。 |
| See footnote 218 above. | 见上文脚注218。 |
| Official Journal of the European Union, vol. 57, L 161, 29 May 2014, p. 3. | 《欧洲联盟公报》，第57卷，L 161, 2014年5月29日，第3页。 |
| See footnote 219 above. | 见上文脚注219。 |
| Council of Europe, Treaty Series, No. 194. | 欧洲委员会，《条约汇编》，第194号。 |
| See D. Mathy, “Article 25”, in O. Corten and P. Klein, eds., The Vienna Conventions on the Law of Treaties: A Commentary, vol. 1, (Oxford, Oxford University Press, 2011), p. 640; | 见D. Mathy,“第二十五条”，载于O. Corten和P. Klein所编《〈维也纳条约法公约〉评注》，第1卷(牛津，牛津大学出版社，2011年)，第640页； |
| and A.Q. Mertsch, Provisionally Applied Treaties: Their Binding Force and Legal Nature (Leiden, Brill, 2012). | 和A. Q. Mertsch, 《暂时适用的条约：约束力和法律性质》(莱顿，博睿，2012年)。 |
| The concept has been defined by writers as “the application of and binding adherence to a treaty’s terms before its entry into force” (R. Lefeber, “Treaties, provisional application”, in The Max Planck Encyclopedia of Public International Law, vol. 10, R. Wolfrum, ed. (Oxford, Oxford University Press, 2012), p. 1) or as “a simplified form of obtaining the application of a treaty, or of certain provisions, for a limited period of time” (M.E. Villager, Commentary on the 1969 Vienna Convention on the Law of Treaties (Leiden and Boston, Martinus Nijhoff, 2009), p. 354). | 有著述者将这一概念定义为“在条约生效前适用其条款或以有约束力的方式遵守其条款”(R. Lefeber, “条约，暂时适用”，载于R. Wolfrum所编《马克斯·普朗克国际公法百科全书》，第10卷(牛津，牛津大学出版社，2012年)，第1页)，或定义为“在有限期间内适用条约或条约的某些条款的一种简化形式”(M.E. Villager, 《对1969年〈维也纳条约法公约〉的评注》(莱顿和波士顿，马丁努斯·奈霍夫出版社，2009年)，第354页)。 |
| See H. Krieger, “Article 25”, in Vienna Convention on the Law of Treaties: A Commentary, O. Dörr and K. Schmalenbach, eds. (Heidelberg and New York, Springer, 2012), p. 408. | 见H. Krieger, “第二十五条”，载于O. Dörr和K. Schmalenbach所编《〈维也纳条约法公约〉评注》(海德堡和纽约，施普林格出版社，2012年)，第408页。 |
| See first report of the Special Rapporteur on the provisional application of treaties, Yearbook … 2013, vol. II (Part One), document A/CN.4/664, paras. 25–35. | 见特别报告员关于条约的暂时适用的第一次报告，《2013年…年鉴》，第二卷(第一部分)，A/CN.4/664号文件，第25-35段。 |
| Article 25 of the 1969 Vienna Convention reads as follows: | 1969年《维也纳公约》第二十五条内容如下： |
| Provisional application | 暂时适用 |
| 1. A treaty or a part of a treaty is applied provisionally pending its entry into force if: | 一、条约或条约之一部分于条约生效前在下列情形下暂时适用： |
| (a) the treaty itself so provides; | (甲) 条约本身如此规定； |
| or | 或 |
| (b) the negotiating States have in some other manner so agreed. | (乙) 谈判国以其他方式协议如此办理。 |
| 2. Unless the treaty otherwise provides or the negotiating States have otherwise agreed, the provisional application of a treaty or a part of a treaty with respect to a State shall be terminated if that State notifies the other States between which the treaty is being applied provisionally of its intention not to become a party to the treaty. | 二、除条约另有规定或谈判国另有协议外，条约或条约一部分对一国暂时适用，于该国将其不欲成为条约当事国之意思通知已暂时适用条约之其他各国时终止。 |
| (United Nations, Treaty Series, vol. 1155, No. 18232, p. 331, at pp. 338–339.) | (联合国，《条约汇编》，第1155卷，第18232号，第331页起，见第338-339页。 |
| Article 25 of the 1986 Vienna Convention reads as follows: | ) 1986年《维也纳公约》第25条内容如下： |
| Provisional application | 暂时适用 |
| 1. A treaty or a part of a treaty is applied provisionally pending its entry into force if: | 1. 有下列情形之一时，条约或其一部分在其生效前暂时适用： |
| (a) the treaty itself so provides; or | (a) 该条约本身有此规定； |
| (b) the negotiating States and negotiating organizations or, as the case may be, the negotiating organizations have in some other manner so agreed. | (b) 各谈判国和谈判组织或按情况各谈判组织以其他方式有此协议。 |
| 2. Unless the treaty otherwise provides or the negotiating States and negotiating organizations or, as the case may be, the negotiating organizations have otherwise agreed, the provisional application of a treaty or a part of a treaty with respect to a State or an international organization shall be terminated if that State or that organization notifies the States and organizations with regard to which the treaty is being applied provisionally of its intention not to become a party to the treaty. | 2. 除该条约另有规定或各谈判国和谈判组织或按情况各谈判组织另有协议外，该条约或其一部分对一国或一国际组织的暂时适用，于该国或该组织将其不愿成为该条约当事方的意思通知该条约正对其暂时适用的各国和国际组织时应即终止。 |
| (A/CONF.129/15 (not yet in force).) | (A/CONF.129/15 (尚未生效)。 ) |
| See first report of the Special Rapporteur (A/CN.4/664), paras. 28–30. | 见特别报告员第一次报告(A/CN.4/664), 第28-30段。 |
| For example, provisional application was used recently in connection with the United Kingdom’s withdrawal from the European Union. | 例如，最近在联合王国退出欧洲联盟方面采用了暂时适用做法。 |
| Three European Union-United Kingdom treaties were provisionally applied: the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the One Part, and the United Kingdom of Great Britain and Northern Ireland, of the Other Part, Brussels and London, 30 December 2020, Official Journal of the European Union, L 444, p. 14; | 有三项欧洲联盟－联合王国条约被暂时适用：《欧洲联盟和欧洲原子能共同体与大不列颠及北爱尔兰联合王国之间的贸易与合作协定》，布鲁塞尔和伦敦，2020年12月30日，《欧洲联盟公报》，L 444, 第14页； |
| the Agreement between the European Union and the United Kingdom of Great Britain and Northern Ireland concerning security procedures for exchanging and protecting classified information, Brussels and London, 30 December 2020, ibid., L 149, p. 2540; | 《欧洲联盟与大不列颠及北爱尔兰联合王国之间关于交换和保护机密信息的安全程序的协定》，布鲁塞尔和伦敦，2020年12月30日，同上，L 149, 第2540页)； |
| and the Agreement between the Government of the United Kingdom of Great Britain and Northern Ireland and the European Atomic Energy Community for Cooperation on the Safe and Peaceful Uses of Nuclear Energy, Brussels and London, 30 December 2020, ibid., L 150, p. 1. | 以及《大不列颠及北爱尔兰联合王国政府与欧洲原子能共同体关于就安全和平使用核能开展合作的协定》，布鲁塞尔和伦敦，2020年12月30日，同上，L 150, 第1页)。 |
| These were provisionally applied from 1 January 2021 to 30 April 2021, which dates included an extension agreed at the end of February 2021. | 这些条约于2021年1月1日至2021年4月30日暂时适用，其中包括2021年2月底商定的延期。 |
| The United Kingdom has also made use of provisional application in respect of other treaties in the context of withdrawal from the European Union, both bilateral and plurilateral (see, for example, www.gov.uk/guidance/uk-trade-agreements-with-non-eu-countries). | 联合王国还对退出欧洲联盟背景下的其他双边和多边条约采用了暂时适用做法(例如见www.gov.uk/guidance/uk-trade-agreements-with-non-eu-countries)。 |
| The flexibility provided in article 25, paragraph 1 (b), of the 1969 Vienna Convention was illustrated, for instance, by the fact that the treaty partners agreed, on some occasions, to provisional application by an exchange of notes: for example, the exchange of letters on the provisional application of the Agreement between the European Atomic Energy Community and the Government of the United Kingdom of Great Britain and Northern Ireland for Cooperation on the Safe and Peaceful Uses of Nuclear Energy, ibid., L 445, p. 23). | 1969年《维也纳公约》第二十五条第一款(b)项提供的灵活性在条约伙伴有时通过换文商定暂时适用等事实中得到证明：例如关于暂时适用《欧洲原子能共同体和大不列颠及北爱尔兰联合王国政府关于就安全和平利用核能开展合作的协定》的换文，同上，L. 445, 第23页)。 |
| In this regard, reference can be made to the analysis contained in The Treaty, Protocols, Conventions and Supplementary Acts of the Economic Community of West African States (ECOWAS), 1975–2010 (Abuja, Ministry of Foreign Affairs of Nigeria, 2011), which is a collection of a total of 59 treaties concluded under the auspices of the Community. | 在这方面，可参考《西非国家经济共同体(西非经共体)1975年至2010年的条约、议定书、公约和补充法》(阿布贾，尼日利亚外交部，2011年)中的分析，其中收集了西非经共体主持下缔结的59项条约。 |
| There it can be observed that of those 59 treaties, only 11 did not provide for provisional application (see A/CN.4/699, paras. 168–174). | 从中可以看出，在这59项条约中，只有11项没有规定暂时适用(见A/CN.4/699, 第168-174段)。 |
| See paragraph 33 of the letter from the Federal Republic of Yugoslavia in the Exchange of Letters Constituting an Agreement between the United Nations and the Federal Republic of Yugoslavia on the Status of the Office of the United Nations High Commissioner for Human Rights in the Federal Republic of Yugoslavia (United Nations, Treaty Series, vol. 2042, No. 35283, p. 23, and United Nations Juridical Yearbook 1998 (United Nations publication, Sales No. E.03.V.5), at p. 103); | 见《构成联合国与南斯拉夫联盟共和国之间关于联合国人权事务高级专员办事处在南斯拉夫联盟共和国地位问题的协定的换文》中南斯拉夫联盟共和国的来函第33段(联合国，《条约汇编》，第2042卷，第35283号，第23页和《1998年联合国法律年鉴》(联合国出版物，出售品编号：E.03.V.5)，见第103页)； |
| article 15 of the Agreement between Belarus and Ireland on the Conditions of Recuperation of Minor Citizens from the Republic of Belarus in Ireland (United Nations, Treaty Series, vol. 2679, No. 47597, p. 65, at p. 79); | 《白俄罗斯与爱尔兰关于在爱尔兰的白俄罗斯共和国未成年公民回返条件的协定》第15条(联合国，《条约汇编》，第2679卷，第47597号，第65页起，见第79页)； |
| and article 16 of the Agreement between the Government of Malaysia and the United Nations Development Programme concerning the Establishment of the UNDP Global Shared Service Centre (ibid., vol. 2794, No. 49154, p. 67). | 以及《马来西亚政府与联合国开发计划署关于建立开发署全球共享服务中心的协定》第16条(同上，第2794卷，第49154号，第67页)。 |
| See the memorandums by the Secretariat on the origins of article 25 of the 1969 and 1986 Vienna Conventions (Yearbook … 2013, vol. II (Part One), document A/CN.4/658, and A/CN.4/676), and the memorandum by the Secretariat on the practice of States and international organizations in respect of treaties that provide for provisional application (A/CN.4/707). | 见秘书处关于1969年和1986年《维也纳公约》第二十五条起源的备忘录(《2013年…年鉴，第二卷(第一部分)》，A/CN.4/658号文件和A/CN.4/676)以及秘书处关于各国和国际组织在规定暂时适用的条约方面实践的备忘录(A/CN.4/707)。 |
| See Mertsch, Provisionally Applied Treaties … (see footnote 254 above), p. 22. | 见Mertsch, 《暂时适用的条约…》(见上文脚注254)，第22页。 |
| See A. Geslin, La mise en application provisoire des traités (Paris, Editions A. Pedone, 2005), p. 111; | 见A. Geslin, La mise en application provisoire des traités (Paris, Editions A. Pedone, 2005)， p. 111； |
| M.A. Rogoff and B.E. Gauditz, “The provisional application of international agreements”, Maine Law Review, vol. 39 (1987), p. 41. | M.A. Rogoff和B.E. Gauditz, “国际协定的暂时适用”，《缅因法律述评》，第39卷 (1987年)，第41页。 |
| Yearbook … 1966, vol. II, document A/6309/Rev.1, pp. 177 ff., para. 38. | 《1966年…年鉴》，第二卷，A/6309/Rev.1号文件，第177页及以下各页，第38段。 |
| Paragraph (3) of the commentary to draft article 22, ibid. | 第22条草案评注第(3)段，同上。 |
| The provisional application of part of a treaty is also common in mixed agreements concluded between the European Union and its member States, on the one part, and a third party, on the other part, as a result of a distribution of competence between the European Union and its member States. | 由于欧洲联盟及其成员国之间的权限分配，条约一部分的暂时适用在欧洲联盟及其成员国与第三方之间缔结的混合协定中也很常见。 |
| See comments and observations received from Governments and international organizations (A/CN.4/737), comments of Germany on draft guideline 3, p. 14. | 见各国政府和国际组织的评论和意见(A/CN.4/737), 德国对准则草案3的评论，第14页。 |
| See also M. Chamon, “Provisional application of treaties: the EU’s contribution to the development of international law”, European Journal of International Law, vol. 31, No. 3 (August 2020), pp. 883–915, and F. Castillo de la Torre, “El Tribunal de Justicia y las relaciones exteriores tras el Tratado de Lisboa”, Revista de Derecho Comunitario Europeo, No. 60 (May–August 2018), pp. 491–512. | 另见M. Chamon, “Provisional application of treaties: the EU’s contribution to the development of international law”, European Journal of International Law, vol. 31, No. 3 (August 2020)， pp. 883–915, 以及 F. Castillo de la Torre, “El Tribunal de Justicia y las relaciones exteriores tras el Tratado de Lisboa”, Revista de Derecho Comunitario Europeo, No. 60 (May-August 2018), pp. 491-512。 |
| An example of the practice regarding the provisional application of a part of a treaty in bilateral treaties can be found in the Agreement between the Kingdom of the Netherlands and the Principality of Monaco on the Payment of Dutch Social Insurance Benefits in Monaco (United Nations, Treaty Series, vol. 2205, No. 39160, p. 541, at p. 550, art. 13, para. 2); | 关于在双边条约中暂时适用条约一部分的实践的例子，见《荷兰王国和摩纳哥公国关于在摩纳哥支付荷兰社会保险福利的协定》(联合国，《条约汇编》，第2205卷，第39160号，第541页起，见第550页，第13条第2款)； |
| and examples of bilateral treaties expressly excluding a part of a treaty from provisional application can be found in the Agreement between the Austrian Federal Government and the Government of the Federal Republic of Germany on the Cooperation of the Police Authorities and the Customs Administrations in the Border Areas (ibid., vol. 2170, No. 38115, p. 573, at p. 586) and the Agreement between the Government of the Federal Republic of Germany and the Government of the Republic of Croatia regarding Technical Cooperation (ibid., vol. 2306, No. 41129, p. 439). | 关于明确排除暂时适用条约一部分的双边条约的例子，见《奥地利联邦政府和德意志联邦共和国政府关于警务和海关当局边境地区合作的协定》(同上，第2170卷，第38115号，第573页起，见第586页)和《德意志联邦共和国政府与克罗地亚共和国政府之间关于技术合作的协定》(同上，第2306卷，第41129号，第439页)。 |
| With respect to multilateral treaties, practice can be found in: Convention on the Prohibition of the Use, Stockpiling, Production and Transfer of Anti-Personnel Mines and on their Destruction (ibid., vol. 2056, No. 35597, p. 211, at p. 252); | 关于多边条约，可在以下文书中找到相关实践：《关于禁止使用、储存、生产和转让杀伤人员地雷及销毁此种地雷的公约》(同上，第2056卷，第35597号，第211页起，见第252页)； |
| Convention on Cluster Munitions, (ibid., vol. 2688, No. 47713, p. 39, at p. 112); | 《集束弹药公约》(同上，第2688卷，第47713号，第39页起，见第112页)； |
| Arms Trade Treaty (United Nations, Treaty Series, vol. 3013, No. 52373) (art. 23); | 《武器贸易条约》(联合国，《条约汇编》，第3013卷，第52373号)(第23条)； |
| and the Document agreed among the States Parties to the Treaty on Conventional Armed Forces in Europe (International Legal Materials, vol. 36, p. 866, sect. VI, para. 1). | 以及《欧洲常规武装力量条约缔约国商定文件》(《国际法律资料》，第36卷，第866页，第六部分，第1段)。 |
| Similarly, the Protocol on the Provisional Application of the Revised Treaty of Chaguaramas (ibid., vol. 2259, No. 40269, p. 440) makes explicit which provisions of the Revised Treaty are not to be provisionally applied, while the Trans-Pacific Strategic Economic Partnership Agreement (ibid., vol. 2592, No. 46151, p. 225) is an example of provisional application of a part of the treaty that applies only in respect of one party to the Agreement, namely Brunei Darussalam, according to article 20.5 of that Agreement. | 同样，《关于暂时适用经修订的查瓜拉马斯条约的议定书》(同上，第2259卷，第40269号，第440页)明确规定了《经修订的条约》的哪些条款不得暂时适用，而《跨太平洋经济战略伙伴关系协定》(同上，第2592卷，第46151号，第225页)是暂时适用条约一部分的一个例子，根据该协定第20.5条，仅对协定的一个缔约方即文莱达鲁萨兰国暂时适用。 |
| As in the case of the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982 (ibid., vol. 1836, No. 31364, p. 3) and in the Agreement on the Provisional Application of Certain Provisions of Protocol No. 14 [to the Convention for the Protection of Human Rights and Fundamental Freedoms, amending the control system of the Convention,] Pending its Entry into Force (Madrid, 12 May 2009, Council of Europe, Treaty Series, No. 194). | 如《关于执行1982年12月10日〈联合国海洋法公约〉第十一部分的协定》(同上，第1836卷，第31364号，第3页)和《关于〈[保护人权与基本自由公约关于修改公约监察体系的]第14号议定书〉生效前暂时适用其某些规定的协定》(马德里，2009年5月12日，欧洲委员会，《条约汇编》，第194号)。 |
| For example, the Arms Trade Treaty. | 如《武器贸易条约》。 |
| Examples in the bilateral sphere include: Agreement between the European Community and the Republic of Paraguay on Certain Aspects of Air Services (Official Journal of the European Union L 122, 11 May 2007), art. 9; | 双边领域的例子包括：《欧洲共同体和巴拉圭共和国关于航空服务某些方面的协定》(《欧洲联盟公报》L 122, 2007年5月11日)，第9条； |
| Agreement between the Argentine Republic and the Republic of Suriname on Visa Waiver for Holders of Ordinary Passports (United Nations, Treaty Series, vol. 2957, No. 51407, p. 213), art. 8; | 《阿根廷共和国与苏里南共和国关于普通护照持有者豁免签证的协定》(联合国，《条约汇编》，第2957卷，第51407号，第213页)，第8条； |
| Treaty between the Swiss Confederation and the Principality of Liechtenstein relating to Environmental Taxes in the Principality of Liechtenstein (ibid., vol. 2761, No. 48680, p. 23), art. 5; | 《瑞士联邦与列支敦士登公国关于环境税问题的条约》(同上，第2761卷，第48680号，第23页)，第5条； |
| Agreement between the Kingdom of Spain and the Principality of Andorra on the Transfer and Management of Waste (ibid., vol. 2881, No. 50313, p.165), art. 13; | 《西班牙王国与安道尔公国关于废物转移和管理的协定》(同上，第2881卷，第50313号，第165页)，第13条； |
| Agreement between the Government of the Kingdom of Spain and the Government of the Slovak Republic on Cooperation to Combat Organized Crime (ibid., vol. 2098, No. 36475, p. 341), art. 14, para. 2; | 《西班牙王国政府与斯洛伐克共和国政府关于合作打击有组织犯罪的协定》(同上，第2098卷，第36475号，第341页)，第14条第2款； |
| and Treaty on the Formation of an Association between the Russian Federation and the Republic of Belarus (ibid., vol. 2120, No. 36926, p. 595), art. 19. | 以及《俄罗斯联邦与白俄罗斯共和国关于组建联盟的条约》(同上，第2120卷，第36926号，第595页)，第19条。 |
| Examples in the multilateral sphere include: Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982, art. 7; | 多边领域的例子包括：《关于执行1982年12月10日〈联合国海洋法公约〉第十一部分的协定》，第7条； |
| Agreement on the Amendments to the Framework Agreement on the Sava River Basin and the Protocol on the Navigation Regime to the Framework Agreement on the Sava River Basin (ibid., vol. 2367, No. 42662, p. 697), art. 3, para. 5; | 《关于修订〈萨瓦河盆地框架协定〉和〈关于萨瓦河盆地框架协定航行制度的议定书〉的协定》(同上，第2367卷，第42662号，第697页)，第3条第5款； |
| Framework Agreement on a Multilateral Nuclear Environmental Programme in the Russian Federation (ibid., vol. 2265, No. 40358, p. 5, at pp. 13–14), art. 18, para. 7, and its corresponding Protocol on Claims, Legal Proceedings and Indemnification (ibid., p. 35), art. 4, para. 8; | 《俄罗斯联邦多边核环境方案框架协定》(同上，第2265卷，第40358号，第5页起，见第13-14页)，第18条第7款，及其《关于索赔、法律程序和赔偿的议定书》(同上，第35页)，第4条第8款； |
| Statutes of the Community of Portuguese-Speaking Countries (ibid., vol. 2233, No. 39756, p. 207), art. 21; | 《葡萄牙语国家共同体规约》(同上，第2233卷，第39756号，第207页)，第21条； |
| and Agreement establishing the “Karanta” Foundation for Support of Non-Formal Education Policies and Including in Annex the Statutes of the Foundation (ibid., vol. 2341, No. 41941, p. 3), arts. 8 and 49, respectively. | 以及《设立支持非正规教育政策的“Karanta”基金会和在附件中列入基金会章程的协定》(同上，第2341卷，第41941页，第3页)，分别为第8和第49条。 |
| See, for example, the International Tropical Timber Agreement, 1994 (United Nations, Treaty Series, vol. 1955, No. 33484, p. 81), which was extended several times on the basis of article 46 of the Agreement, during which time some States (Guatemala, Mexico, Nigeria and Poland) acceded to it. | 例如见1994年《国际热带木材协定》(联合国，《条约汇编》，第1955卷，第33484号，第81页)，该协定根据第46条几次被延长，期间有一些国家(危地马拉、墨西哥、尼日利亚和波兰)加入。 |
| See also the case of Montenegro regarding Protocol No. 14 to the Convention for the Protection of Human Rights and Fundamental Freedoms, amending the control system of the Convention (ibid., vol. 2677, No. 2889, p. 3, at p. 34). | 另见黑山在《保护人权与基本自由公约关于修改公约监察体系的第14号议定书》(同上，第2677卷，第2889号，第3页起，见第34页)方面的情况。 |
| Montenegro, which became independent in 2006 and was therefore not a negotiating State, succeeded to the aforementioned treaty and had the option of provisionally applying certain provisions in accordance with the Madrid Agreement (Agreement on the Provisional Application of Certain Provisions of Protocol No. 14 [to the European Convention on Human Rights] Pending its Entry into Force). | 黑山于2006年独立，因此不是谈判国，它继承了上述条约，可以根据《马德里协定》(《关于〈[欧洲人权公约]第14号议定书〉生效前暂时适用其某些规定的协定》)暂时适用某些规定。 |
| For the declarations of provisional applications made by Albania, Belgium, Estonia, Germany, Liechtenstein, Luxembourg, the Netherlands, Spain, Switzerland and the United Kingdom of Great Britain and Northern Ireland, see, ibid., pp. 30–37. | 关于阿尔巴尼亚、比利时、爱沙尼亚、德国、列支敦士登、卢森堡，荷兰、西班牙、瑞士和大不列颠及北爱尔兰联合王国所作的暂时适用声明，见同上，第30-37页。 |
| See, for instance, article 23 of the Arms Trade Treaty. | 例如见《武器贸易条约》第23条。 |
| Another example of consent to be bound by the provisional application of a part of a treaty by means of a declaration, but which is expressly provided for in a parallel agreement to the treaty, is contained in the Protocol to the Agreement on a Unified Patent Court on Provisional Application (Brussels, 1 October 2015, see www.unified-patent-court.org/sites/default/files/Protocol_to_the_Agreement_on_Unified_Patent_Court_on_provisional_application.pdf). | 一种情况是，条约的平行协定明文规定缔约方可通过单方面声明暂时适用条约之一部分而同意受到约束，《关于设立暂时适用方面统一专利法院的协议议定书》属于此例(2015年10月1日，布鲁塞尔，见www.unified-patent-court.org/sites/default/files/Protocol_to_the_Agreement_on_Unified_Patent_Court_on_provisional_application.pdf)。 |
| See also article 37, paragraph 2, of the Protocol amending the Convention for the Protection of Individuals with regard to Automatic Processing of Personal Data (Strasbourg, 10 October 2018, Council of Europe, Treaty Series, No. 223). | 另见《修正〈关于在自动处理个人数据方面保护个人的公约〉的议定书》(2018年10月10日，斯特拉斯堡，欧洲委员会，《条约汇编》，第223号)第37条第2款。 |
| Examples of bilateral treaties on provisional application that are separate from the treaty that is provisionally applied include: Agreement on the Taxation of Savings Income and the Provisional Application Thereof between the Netherlands and Germany (ibid., vol. 2821, No. 49430, p. 3) and the Amendment to the Agreement on Air Services between the Kingdom of the Netherlands and the State of Qatar (ibid., vol. 2265, No. 40360, p. 507, at p. 511). | 正在暂时适用的条约之外关于暂时适用的双边条约例子包括：《德国与荷兰之间关于储蓄收入征税的协定及其暂时适用》(同上，第2821卷，第49430号，第3页)和《荷兰王国与卡塔尔国之间关于航空服务的协定修正案》(同上，第2265卷，第40360号，第507页起，见第511页)。 |
| The Netherlands has concluded a number of similar treaties. | 荷兰缔结了一些类似的条约。 |
| Examples of multilateral treaties on provisional application that are separate from the treaty that is provisionally applied include: Protocol on the Provisional Application of the Agreement establishing the Caribbean Community Climate Change Centre (ibid., vol. 2953, No. 51181, p. 181); Protocol on the Provisional Application of the Revised Treaty of Chaguaramas; and the Madrid Agreement (Agreement on the Provisional Application of Certain Provisions of Protocol No. 14 [to the European Convention on Human Rights] Pending its Entry into Force). | 正在暂时适用的条约之外关于暂时适用的多边条约例子包括：《关于暂时适用建立加勒比共同体气候变化中心的协定的议定书》(同上，第2953卷，第51181号，第181页)、《关于暂时适用经修订的查瓜拉马斯条约的议定书》和《马德里协定》(《关于〈欧洲人权公约第14号议定书〉生效前暂时适用其某些规定的协定》)。 |
| See para. (2) of the commentary to draft article 22 of the draft articles on the law of treaties (footnote 265 above), p. 210; | 见条约法条款草案第22条草案评注第(2)段(上文脚注265)，第210页； |
| O. Dӧrr and K. Schmalenbach (eds.), Vienna Convention on the Law of Treaties. A Commentary, 2nd ed. (Berlin, Springer, 2018), pp. 449–450; | O. Dörr和K. Schmalenbach (编)，《〈维也纳条约法公约〉评注》，第2版(柏林，Springer, 2018年)，第449-450页； |
| Mathy, “Article 25” (see footnote 254 above), pp. 649–651. | Mathy,“第二十五条”(见上文脚注254)，第649-651页。 |
| In practice, some treaties were registered with the United Nations as having been provisionally applied, but with no indication as to which other means or arrangements had been employed to agree upon provisional application. | 在实践中，有些条约在联合国登记为暂时适用的条约，但并没有说明约定暂时适用所采用的其他办法或安排。 |
| The following are examples of such treaties: Agreement between the Kingdom of the Netherlands and the United States of America on the Status of United States Personnel in the Caribbean Part of the Kingdom (ibid., vol. 2967, No. 51578, p. 79); | 以下是这些条约的例子：《荷兰王国与美利坚合众国之间关于美国人员在荷属加勒比地区地位的协定》(同上，第2967卷，第51578号，第79页)； |
| Agreement between the Government of Latvia and the Government of the Republic of Azerbaijan on Cooperation in Combating Terrorism, Illicit Trafficking in Narcotic Drugs, Psychotropic Substances and Precursors and Organized Crime (ibid., vol. 2461, No. 44230, p. 205); | 《拉脱维亚政府和阿塞拜疆共和国政府关于合作打击恐怖主义、非法贩运麻醉药品和精神药物及其前体以及有组织犯罪的协定》(同上，第2461卷，第44230号，第205页)； |
| and Agreement between the United Nations and the Government of the Republic of Kazakhstan relating to the Establishment of the Subregional Office for North and Central Asia of the United Nations Economic and Social Commission for Asia and the Pacific (ibid., vol. 2761, No. 48688, p. 339). | 以及《联合国与哈萨克斯坦共和国政府关于建立联合国亚洲及太平洋经济社会委员会北亚和中亚次区域办事处的协定》(同上，第2761卷，第48688号，第339页)。 |
| See R. Lefeber, “The provisional application of treaties”, in Essays on the Law of Treaties: A Collection of Essays in Honour of Bert Vierdag, J. Klabbers and R. Lefeber, eds. (The Hague, Martinus Nijhoff, 1998), p. 81. | 见R. Lefeber, “条约的暂时适用”，载于J. Klabbers和R. Lefeber所编《条约法文集：贝尔特·维尔达格纪念文集》(海牙，马丁努斯·奈霍夫出版社，1998年)，第81页。 |
| Yearbook … 2011, vol. II (Part Two), paras. 87–88, subsequently annexed to General Assembly resolution 66/100 of 9 December 2011. | 《2011年…年鉴》，第二卷(第二部分)，第87-88段，随后附于大会2011年12月9日第66/100号决议。 |
| An example is the declaration by the Syrian Arab Republic of the Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on their Destruction (United Nations, Treaty Series, vol. 1974, No. 33757). | 阿拉伯叙利亚共和国对《关于禁止发展、生产、储存和使用化学武器及销毁此种武器的公约》(联合国，《条约汇编》，第1974卷，第33757号)的声明就是一个例子。 |
| When the Syrian Arab Republic unilaterally declared that it would provisionally apply the Convention, the Director-General of the Organization for the Prohibition of Chemical Weapons replied, informing the Syrian Arab Republic that its “request” to provisionally apply the Convention would be forwarded to the States parties through the Depositary. | 阿拉伯叙利亚共和国单方面宣布将暂时适用《公约》时，禁止化学武器组织(禁化武组织)总干事作出了答复，告知该国其暂时适用《公约》的“请求”将通过保存人转交各缔约国。 |
| The Convention does not provide for provisional application of the Convention and such possibility was not discussed during its negotiation. Neither the States parties nor the Organization for the Prohibition of Chemical Weapons objected to the provisional application by the Syrian Arab Republic of the Convention, as expressed in its unilateral declaration (see the second report by the Special Rapporteur (A/CN.4/675), para. 35 (c), and the third report by the Special Rapporteur (A/CN.4/687), para. 120). | 《公约》没有对暂时适用《公约》的情况作出规定，《公约》谈判期间也没有讨论这种可能性，各缔约国和禁止化学武器组织也都没有反对阿拉伯叙利亚共和国按其单方面声明暂时适用《公约》(见特别报告员的第二次报告(A/CN.4/675)第35(c)段、特别报告员的第三次报告(A/CN.4/687)第120段)。 |
| Yearbook … 2006, vol. II (Part Two), paras. 173–177. | 《2006年…年鉴》，第二卷(第二部分)，第173-177段。 |
| See A/CN.4/707, para. 104, subparas. (d)–(g). | 见A/CN.4/707, 第104段，(d)-(g)分段。 |
| See Mathy, “Article 25” (see footnote 254 above), p. 651. | 见Mathy,“第二十五条”(上文脚注254)，第651页。 |
| See the examples of the practice of the European Free Trade Association (EFTA) referred to in the fifth report by the Special Rapporteur (A/CN.4/718). | 见特别报告员第五次报告(A/CN.4/718)中提及的欧洲自由贸易联盟(欧贸联)实践的例子。 |
| See para. (1) of the commentary to draft article 22 of the draft articles on the law of treaties (footnote 265 above), p. 210, and Yearbook … 2013, vol. II (Part One), the memorandum by the Secretariat on provisional application of treaties (A/CN.4/658), paras. 44–55. | 见条约法条款草案第22条草案评注第(1)段(上文脚注265)，第210页，以及《2013年…年鉴》，第二卷(第一部分)，秘书处编写的关于条约的暂时适用的备忘录(A/CN.4/658)，第44-55段。 |
| See also the first report of the Special Rapporteur (A/CN.4/664). | 另见特别报告员的第一次报告(A/CN.4/664)。 |
| However, the subsequent practice of one or more parties to a treaty may provide a means of interpretation of the treaty under articles 31 or 32 of the 1969 Vienna Convention. | 但条约一个或多个缔约方的嗣后实践可为根据1969年《维也纳公约》第三十一或第三十二条解释条约提供资料。 |
| See chapter IV of A/73/10 on subsequent agreements and subsequent practice in relation to the interpretation of treaties. | 见A/73/10第四章：与条约解释相关的嗣后协定和嗣后实践。 |
| See comments and observations received from Governments and international organizations (A/CN.4/737). | 见各国政府和国际组织的评论和意见(A/CN.4/737)。 |
| Yearbook … 2011, vol. II (Part Three). | 《2011年…年鉴》，第二卷(第三部分)。 |
| See guideline 1.6.1 of the Guide to Practice on Reservations to Treaties, Yearbook … 2011, vol. II (Part Three), paras. 1–2. | 见《对条约的保留实践指南》准则1.6.1, 《2011年…年鉴》，第二卷(第三部分)，第1-2段。 |
| See, in particular, guideline 1.3 of the Guide to Practice on Reservations to Treaties, ibid. See e.g. art. 45, para. 2 (a), of the Energy Charter Treaty (United Nations, Treaty Series, vol. 2080, No. 36116, p. 95); and art. 7, para. 1 (a), of the Agreement relating to the implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982. | 例如见《能源宪章条约》(联合国，《条约汇编》，第2080卷，第36116号，第95页)第45条第2款(a)项； 《关于执行1982年12月10日〈联合国海洋法公约〉第十一部分的协定》第7条第1款(a)项。 尤其见《对条约的保留实践指南》(同上)准则1.3。 |
| Yearbook … 2001, vol. II (Part Two) and corrigendum, para. 76, subsequently annexed to General Assembly resolution 56/83 of 12 December 2001. | 《2001年…年鉴》，第二卷(第二部分)和更正，第76段，随后附于大会2001年12月12日第56/83号决议。 |
| Yearbook … 2011, vol. II (Part Two), para. 87, subsequently annexed to General Assembly resolution 66/100 of 9 December 2011. | 《2011年…年鉴》，第二卷(第二部分)，第87段，随后附于大会2011年12月9日第66/100号决议。 |
| See the memorandum by the Secretariat on provisional application of treaties (A/CN.4/707), para. 88. | 见秘书处编写的关于条约的暂时适用的备忘录(A/CN.4/707), 第88段。 |
| Most bilateral treaties state that the treaty shall be provisionally applied “pending its entry into force”, “pending its ratification”, “pending the fulfilment of the formal requirements for its entry into force”, “pending the completion of these internal procedures and the entry into force of this Convention”, “pending the Governments … informing each other in writing that the formalities constitutionally required in their respective countries have been complied with”, “until the fulfilment of all the procedures mentioned in paragraph 1 of this article” or “until its entry into force” (see A/CN.4/707, para. 90). | 大多数双边条约载明，条约在“生效前”、“批准前”、“生效所需的正式要求得到满足前”、“完成内部程序和本公约生效前”、“政府…互相书面通知对方已遵守本国宪法所要求的程序前”、“本条第一款提及的所有程序完成前”或“生效前”将暂时适用(见A/CN.4/707, 第90段)。 |
| That is also the case for multilateral treaties, such as the Madrid Agreement (Agreement on the Provisional Application of Certain Provisions of Protocol No. 14 [to the European Convention on Human Rights] Pending its Entry into Force), which provides in paragraph (d) that: “Such a declaration [of provisional application] will cease to be effective upon the entry into force of Protocol No. 14 bis to the Convention in respect of the High Contracting Party concerned.” | 多边条约也是如此，如《马德里协定》(《关于〈欧洲人权公约第14号议定书〉生效前暂时适用其某些规定的协定》)(d)款规定，“一旦《公约》第14号议定书之二对有关缔约方生效，这样的[暂时适用]声明将失效。 ” |
| See, e.g., the Agreement between the Federal Republic of Germany and the Government of the Republic of Slovenia concerning the Inclusion in the Reserves of the Slovenian Office for Minimum Reserves of Petroleum and Petroleum Products of Supplies of Petroleum and Petroleum Products Stored in Germany on its Behalf (United Nations, Treaty Series, vol. 2169, No. 38039, p. 287, at p. 302); | 例如见《德意志联邦共和国与斯洛文尼亚共和国政府关于将斯洛文尼亚石油和石油产品最低储备厅代存在德国的石油和石油产品计入该厅储备的协定》(联合国，《条约汇编》，第2169卷，第38039号，第287页起，见第302页)； |
| and the case in the Exchange of Notes Constituting an Agreement between the Government of Spain and the Government of Colombia on Free Visas (ibid., vol. 2253, No. 20662, p. 328, at pp. 333–334). | 以及《构成西班牙政府和哥伦比亚政府签证免费协定的换文》(同上，第2253卷，第20662号，第328页起，见第333-334页)。 |
| Such an approach accords with that taken with regard to the position of negotiating States in draft guideline 3. | 这种做法与准则草案3就谈判国采取的做法相一致。 |
| See paragraph (6) of the commentary to draft guideline 3, above. | 见上文准则草案3的评注第(6)段。 |
| A small number of bilateral treaties contain explicit clauses on termination of provisional application and in some cases provide also for its notification. | 少数双边条约载有终止暂时适用的明确条款，有些还规定了终止的通知问题。 |
| An example could be the Agreement between the Government of the United States of America and the Government of the Republic of the Marshall Islands concerning Cooperation to Suppress the Proliferation of Weapons of Mass Destruction, their Delivery Systems, and Related Materials by Sea (United Nations, Treaty Series, vol. 2962, No. 51490, p. 339), art. 17. | 其中一个例子为《美利坚合众国政府和马绍尔群岛共和国政府之间关于合作制止大规模毁灭性武器、其运载系统和相关材料通过海运扩散的协定》(联合国，《条约汇编》，第2962卷，第51490号，第339页)，第17条。 |
| Other examples include: Treaty between the Federal Republic of Germany and the Kingdom of the Netherlands concerning the Implementation of Air Traffic Controls by the Federal Republic of Germany above Dutch Territory and concerning the Impact of the Civil Operations of Niederrhein Airport on the Territory of the Kingdom of the Netherlands (ibid., vol. 2389, No. 43165, p. 117, at p. 173); | 其他例子包括：《德意志联邦共和国和荷兰王国之间关于德意志联邦共和国在荷兰领土上空执行空中交通管制以及关于下莱茵机场民用业务对荷兰王国领土的影响的条约》(同上，第2389卷，第43165号，第117页起，见第173页)； |
| Agreement between Spain and the International Oil Pollution Compensation Fund (ibid., vol. 2161, No. 37756, p. 45, at p. 50); | 《西班牙和国际油污赔偿基金之间的协定》(同上，第2161卷，第37756号，第45页起，见第50页)； |
| and Treaty between the Kingdom of Spain and the North Atlantic Treaty Organization Represented by the Supreme Headquarters Allied Powers Europe on the Special Conditions Applicable to the Establishment and Operation on Spanish Territory of International Military Headquarters (ibid., vol. 2156, No. 37662, p. 139, at p. 155). | 以及《西班牙王国与盟国欧洲最高总部所代表的北大西洋公约组织之间关于在西班牙境内设立和运作国际军事总部所适用的特别条件的协定》(同上，第2156卷，第37662号，第139页起，见第155页)。 |
| As for the termination of provisional application of multilateral treaties, the Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks (ibid., vol. 2167, No. 37924, p. 3, at p. 126), includes a clause (art. 41) allowing for termination by notification reflecting the wording of article 25, paragraph 2, of the 1969 Vienna Convention. | 关于多边条约暂时适用的终止，《执行1982年12月10日〈联合国海洋法公约〉有关养护和管理跨界鱼类种群和高度洄游鱼类种群的规定的协定》(同上，第2167卷，第37924号，第3页起，见第126页)包含一个允许以通知方式终止的条款(第41条)，该条体现了1969年《维也纳公约》第二十五条第二款的措辞。 |
| Furthermore, the practice with regard to commodity agreements illustrates that provisional application may be agreed to be terminated by withdrawal from the agreement, as is the case with the International Agreement on Olive Oil and Table Olives. | 此外，商品协定方面的实践表明，可约定通过撤出协定的方式终止暂时适用，《国际橄榄油和食用橄榄协定》就是如此。 |
| See S. Talmon and A. Quast Mertsch, “Germany’s position and practice on provisional application of treaties”, GPIL – German Practice in International Law, 2021. | 见S. Talmon and A. Quast Mertsch, “Germany’s position and practice on provisional application of treaties”, GPIL - German Practice in International Law, 2021。 |
| Article 27 of the 1969 Vienna Convention provides as follows: | 1969年《维也纳公约》第二十七条规定如下： |
| Internal law and observance of treaties | 国内法与条约之遵守 |
| A party may not invoke the provisions of its internal law as justification for its failure to perform a treaty. | 一当事国不得援引其国内法规定为理由而不履行条约。 |
| This rule is without prejudice to article 46. | 此项规则不妨碍第四十六条。 |
| Article 27 of the 1986 Vienna Convention provides as follows: | 1986年《维也纳公约》第27条规定如下： |
| Internal law of states, rules of international organizations and observance of treaties | 国家的国内法、国际组织的规则和条约的遵守 |
| 1. A State party to a treaty may not invoke the provisions of its internal law as justification for its failure to perform the treaty. | 1. 为一条约当事方的国家不得援引其国内法的规定作为不履行条约的理由。 |
| 2. An international organization party to a treaty may not invoke the rules of the organization as justification for its failure to perform the treaty. | 2. 为一条约当事方的国际组织不得援引该组织的规则作为不履行条约的理由。 |
| 3. The rules contained in the preceding paragraphs are without prejudice to article 46. | 3. 以上两款所载规则不妨碍第46条。 |
| See A. Schaus, “1969 Vienna Convention. | 见A. Schaus, “1969年《维也纳公约》。 |
| Article 27: internal law and observance of treaties”, in Corten and Klein The Vienna Conventions on the Law of Treaties. A Commentary, vol. I (see footnote 254 above), pp. 688–701, at p. 689. | 第二十七条：国内法与条约之遵守”，载于Corten和Klein所编《〈维也纳条约法公约〉评注》，第1卷(见上文脚注254)，第688-701页，见第689页。 |
| See article 7, “Obligatory character of treaties: the principle of the supremacy of international law over domestic law” in the fourth report by Sir Gerald Fitzmaurice, Special Rapporteur (Yearbook … 1959, vol. II, document A/CN.4/120, p. 43). | 见第7条，“条约的强制性：国际法高于国内法之原则”，载于特别报告员杰拉尔德·菲茨莫里斯爵士的第四次报告(《1959年…年鉴》，第二卷，A/CN.4/120号文件，第43页)。 |
| See Mertsch, Provisionally Applied Treaties … (see footnote 254 above), p. 64. | 见Mertsch, 《暂时适用的条约…》(见上文脚注254)，第64页。 |
| See Mathy, “Article 25” (see footnote 254 above), p. 646. | 见Mathy, “第二十五条”(见上文脚注254)，第646页。 |
| See article 3 of the articles on responsibility of States for internationally wrongful acts of 2001 (Yearbook … 2001, vol. II (Part Two) and corrigendum, para. 76, subsequently annexed to General Assembly resolution 56/83 of 12 December 2001); | 见2001年关于国家对国际不法行为的责任条款第3条(《2001年…年鉴》，第二卷(第二部分)和更正，第76段，随后附于大会2001年12月12日第56/83号决议)； |
| and article 5 of the articles on responsibility of international organizations of 2011 (Yearbook … 2011, vol. II (Part Two), para. 87, subsequently annexed to General Assembly resolution 66/100 of 9 December 2011). | 2011年关于国际组织责任的条款第5条(《2011年…年鉴》，第二卷(第二部分)，第87段，随后附于大会2011年12月9日第66/100号决议)。 |
| Article 46 of the 1969 Vienna Convention provides as follows: | 1969年《维也纳公约》第四十六条规定如下： |
| Provisions of internal law regarding competence to conclude treaties | 国内法关于缔约权限之规定 |
| 1. A State may not invoke the fact that its consent to be bound by a treaty has been expressed in violation of a provision of its internal law regarding competence to conclude treaties as invalidating its consent unless that violation was manifest and concerned a rule of its internal law of fundamental importance. | 一. 一国不得以其同意受条约拘束的表示违反该国国内法关于缔约权限的规定为理由而主张其同意无效，但违反情事明显且涉及其具有根本重要性的国内法规则时不在此限。 |
| 2. A violation is manifest if it would be objectively evident to any State conducting itself in the matter in accordance with normal practice and in good faith. | 二. 违反情事倘由对此事依通常惯例并秉善意处理之任何国家客观视之为显然可见者，即系显明违反。 |
| Article 46 of the 1986 Vienna Convention provides as follows: | 1986年《维也纳公约》第46条规定如下： |
| Provisions of internal law of a State and rules of an international organization regarding competence to conclude treaties | 一国国内法关于缔约权限的规定和一国际组织关于缔约权限的规则 |
| 1. A State may not invoke the fact that its consent to be bound by a treaty has been expressed in violation of a provision of its internal law regarding competence to conclude treaties as invalidating its consent unless that violation was manifest and concerned a rule of its internal law of fundamental importance. | 1. 一国不得以其同意受条约拘束的表示违反该国国内法关于缔约权限的规定为理由而主张其同意无效，但违反情事明显且涉及其具有根本重要性的国内法规则时不在此限。 |
| 2. An international organization may not invoke the fact that its consent to be bound by a treaty has been expressed in violation of the rules of the organization regarding competence to conclude treaties as invalidating its consent unless that violation was manifest and concerned a rule of fundamental importance. | 2. 一国际组织不得以其同意受条约拘束的表示违反该组织关于缔约权限的规则为理由而主张其同意无效，但违反情事明显且涉及其具有根本重要性的规则时不在此限。 |
| 3. A violation is manifest if it would be objectively evident to any State or any international organization conducting itself in the matter in accordance with the normal practice of States and, where appropriate, of international organizations and in good faith. | 3. 违反情事如对在此事情上按照各国和在适当情况下按照各国际组织的通常惯例诚意地行事的任何国家或任何国际组织客观明显时，即为明显。 |
| According to art. 46, para. 2, of the 1969 Vienna Convention and art. 46, para. 3, of the 1986 Vienna Convention. | 根据1969年《维也纳公约》第四十六条第二款和1986年《维也纳公约》第46条第3款。 |
| See, for example, article 45 of the Energy Charter Treaty. | 例如见《能源宪章条约》第45条。 |
| See the several examples of Free Trade Agreements between the EFTA States and other numerous States (i.e. Albania, Bosnia and Herzegovina, Canada, Chile, Egypt, Georgia, Lebanon, Mexico, Montenegro, Peru, Philippines, Republic of Korea, Serbia, Singapore, the former Yugoslav Republic of Macedonia, Tunisia and the Central American States, the Gulf Cooperation Council Member States and the Southern African Custom Union States), where different clauses are used in this regard, such as: “if its constitutional requirements permit”, “if its respective legal requirements permit” or “if their domestic requirements permit” (www.efta.int/free-trade/free-trade-agreements). | 见欧贸联国家与其他许多国家(即阿尔巴尼亚、波斯尼亚和黑塞哥维那、加拿大、智利、埃及、格鲁吉亚、黎巴嫩、墨西哥、黑山、秘鲁、菲律宾、大韩民国、塞尔维亚、新加坡、前南斯拉夫的马其顿共和国、突尼斯和中美洲国家、海湾合作委员会成员国和南部非洲关税同盟国家)之间自由贸易协定的一些例子，这些协定在这方面使用了不同的用语，例如：“如果其宪法规定允许”、“如果其各自的法律要求允许”或“如果其国内要求允许”(www.efta.int/free-trade/free-trade-agreements)。 |
| For instance, article 43, paragraph 2, of the Free Trade Agreement between the EFTA States and the Southern African Custom Union States, reads as follows: | 例如，欧贸联国家与南部非洲关税同盟国家之间的自由贸易协定第43条第2款规定如下： |
| Article 43 (Entry into force) | 第43条(生效) |
| 2. If its constitutional requirements permit, any EFTA State or SACU State may apply this Agreement provisionally. | 2. 如果其宪法规定允许，任何欧洲自由贸易联盟国家或南部非洲关税同盟国家均可暂时适用本协定。 |
| Provisional application of this Agreement under this paragraph shall be notified to the Depository. | 应将根据本款暂时适用本协定事宜通知保存人。 |
| See also article 22 of the General Agreement on Privileges and Immunities of the Council of Europe (Paris, 2 September 1949, European Treaty Series, No.2) and article 17 of the Convention on the Elaboration of a European Pharmacopeia (Strasbourg, 22 July 1964, ibid., No. 50). | 另见《欧洲委员会特权及和豁免总协定》(1949年9月2日，巴黎，《欧洲条约汇编》，第2号)第22条和《编纂欧洲药典公约》(1964年7月22日，斯特拉斯堡，同上，第50号)第17条。 |
| At its 2940th meeting, on 20 July 2007 (Official Records of the General Assembly, Sixty-second Session, Supplement No. 10 (A/62/10), para. 376). | 在2007年7月20日第2940次会议上(《大会正式记录，第六十二届会议，补编第10号》(A/62/10)，第376段)。 |
| The General Assembly, in paragraph 7 of its resolution 62/66 of 6 December 2007, took note of the decision of the Commission to include the topic in its programme of work. | 大会在2007年12月6日第62/66号决议第7段中注意到委员会决定将本专题列入其工作方案。 |
| The topic had been included in the long-term programme of work of the Commission during its fifty-eighth session (2006), on the basis of the proposal contained in annex A of the report of the Commission (Official Records of the General Assembly, Sixty-first Session, Supplement No. 10 (A/61/10), para. 257). | 在第五十八届会议(2006年)上，委员会已根据其报告附件A中所载建议，将本专题列入长期工作方案(《大会正式记录，第六十一届会议，补编第10号》(A/61/10)，第257段)。 |
| Official Records of the General Assembly, Sixty-second Session, Supplement No. 10 (A/62/10), para. 386. | 《大会正式记录，第六十二届会议，补编第10号》(A/62/10)，第386段。 |
| For the memorandum prepared by the Secretariat, see A/CN.4/596 and Corr.1. | 秘书处编写的备忘录见A/CN.4/596和Corr.1。 |
| A/CN.4/601, A/CN.4/631 and A/CN.4/646, respectively. | 分别为A/CN.4/601、A/CN.4/631和A/CN.4/646。 |
| See Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 10 (A/64/10), para. 207; | 见《大会正式记录，第六十四届会议，补编第10号》(A/64/10)，第207段； |
| and ibid., Sixty-fifth Session, Supplement No. 10 (A/65/10), para. 343. | 和同上，《第六十五届会议，补编第10号》(A/65/10)，第343段。 |
| Ibid., Sixty-seventh Session, Supplement No. 10 (A/67/10), para. 266. | 同上，《第六十七届会议，补编第10号》(A/67/10)，第266段。 |
| A/CN.4/654, A/CN.4/661, A/CN.4/673, A/CN.4/686, A/CN.4/701, A/CN.4/722, and A/CN.4/729, respectively. | 分别为A/CN.4/654、A/CN.4/661、A/CN.4/673、A/CN.4/686、A/CN.4/701、A/CN.4/722和A/CN.4/729。 |
| See Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 10 (A/68/10), paras. 48–49. | 见《大会正式记录，第六十八届会议，补编第10号》(A/68/10)，第48-49段。 |
| At its 3174th meeting, on 7 June 2013, the Commission received the report of the Drafting Committee and provisionally adopted draft articles 1, 3 and 4 and, at its 3193rd to 3196th meetings, on 6 and 7 August 2013, it adopted the commentaries thereto (ibid., Sixty-eighth Session, Supplement No. 10 (A/68/10), paras. 48–49). | 委员会在2013年6月7日第3174次会议上收到了起草委员会的报告并暂时通过了第1、第3和第4条草案，在2013年8月6日和7日第3193至第3196次会议上通过了其评注(同上，《第六十八届会议，补编第10号》(A/68/10)，第48-49段)。 |
| At its 3231st meeting, on 25 July 2014, the Commission received the report of the Drafting Committee and provisionally adopted draft articles 2 (e) and 5 and, at its 3240th to 3242nd meetings, on 6 and 7 August 2014, it adopted the commentaries thereto (ibid., Sixty-ninth Session, Supplement No. 10 (A/69/10), paras. 130–132). | 委员会在2014年7月25日第3231次会议上收到了起草委员会的报告并暂时通过了第2条草案(e)项和第5条草案，在2014年8月6日和7日的第3240至第3242次会议上通过了其评注(同上，《第六十九届会议，补编第10号》(A/69/10)，第130-132段)。 |
| At its 3329th meeting, on 27 July 2016, the Commission provisionally adopted draft articles 2, subparagraph (f), and 6, provisionally adopted by the Drafting Committee and taken note of by the Commission at its sixty-seventh session, and at its 3345th and 3346th meetings, on 11 August 2016, the Commission adopted the commentaries thereto (ibid., Seventy-first Session, Supplement No. 10 (A/71/10), paras. 194–195 and 250). | 委员会在2016年7月27日第3329次会议上暂时通过了经起草委员会暂时通过和委员会第六十七届会议注意到的第2条草案(f)项和第6条草案，在2016年8月11日第3345次和第3346次会议上通过了其评注(同上，《第七十一届会议，补编第10号》(A/71/10)，第194-195段和第250段)。 |
| At its 3378th meeting, on 20 July 2017, the Commission provisionally adopted draft article 7 by a recorded vote and at the 3387th to 3389th meetings on 3 and 4 August 2017, the commentaries thereto (ibid., Seventy-second Session, Supplement No. 10 (A/72/10), paras. 74, 76 and 140–141). | 委员会在2017年7月20日第3378次会议上经记录表决暂时通过了第7条草案，在2017年8月3日和4日第3387至第3389次会议上通过了其评注(同上，《第七十二届会议，补编第10号》(A/72/10)，第74、第76和第140-141段)。 |
| At its 3501st meeting, on 6 August 2019, the Chair of the Drafting Committee presented the interim report of the Drafting Committee on “Immunity of State officials from foreign criminal jurisdiction”, containing draft article 8 ante provisionally adopted by the Drafting Committee at the seventy-first session (A/CN.4/L.940). | 在2019年8月6日第3501次会议上，起草委员会主席介绍了起草委员会关于“国家官员的外国刑事管辖豁免”的临时报告，其中载有起草委员会在第七十一届会议上暂时通过的第8(前)条草案(A/CN.4/L.940)。 |
| The Commission took note of the interim report of the Drafting Committee on draft article 8 ante, which was presented to the Commission for information only (ibid., Seventy-fourth Session, Supplement No. 10 (A/74/10), para. 125 and footnote 1469). | 委员会注意到起草委员会关于第8(前)条草案的临时报告，该报告提交委员会仅供参考(同上，《第七十四届会议，补编第10号》(A/74/10)，第125段和脚注1469)。 |
| A/CN.4/722, para. 43. | A/CN.4/722, 第43段。 |
| Agenda item 89, entitled “Request for an advisory opinion from the International Court of Justice on the consequences of legal obligations of States under different sources of international law with respect to immunities of Heads of State and Government and other senior officials” (A/73/251 and Add.1). | 议程项目89，题为“请求国际法院就各国根据不同国际法渊源在国家元首、政府首脑和其他高级官员豁免方面承担的法律义务的后果提供咨询意见”(A/73/251和Add.1)。 |
| Situation in Darfur, Sudan, in the Case of the Prosecutor v. Omar Hassan Ahmad Al-Bashir, Judgment in the Jordan Referral re Al-Bashir Appeal, judgment of the Appeals Chamber of 6 May 2019 (ICC-02/05-01/09-397-Corr). | 《苏丹达尔富尔局势，检察官诉奥马尔·哈桑·艾哈迈德·巴希尔案，约旦移交巴希尔案上诉判决书》，上诉分庭2019年5月6日判决(ICC-02/05-01/09-397-Corr)。 |
| Rome, 17 July 1998, United Nations, Treaty Series, vol. 2187, No. 38544, p. 3. | 1998年7月17日，罗马，联合国，《条约汇编》，第2187卷，第38544号，第3页。 |
| See footnote 319 above. | 见上文脚注319。 |
| The draft article proposed by the Special Rapporteur reads as follows: | 特别报告员提出的条款草案如下： |
| “Draft article 18 | “第18条草案 |
| The present draft articles are without prejudice to the rules governing the functioning of international criminal tribunals.” | 本条款草案不妨碍国际刑事法庭运作所遵循的规则。 ” |
| The draft article proposed by the Special Rapporteur reads as follows: | 特别报告员提出的条款草案如下： |
| “Draft article 17 | “第17条草案 |
| Settlement of disputes | 争端的解决 |
| 1. If, following consultations between the forum State and the State of the official, there remain differences with regard to the determination and application of immunity, the two States shall endeavour to settle the dispute as soon as possible through negotiations. | 1. 如经法院地国和官员所属国协商之后，在确定和适用豁免方面仍存在分歧，则两国应尽力通过谈判尽快解决争端。 |
| 2. If no negotiated solution is reached within a reasonable period of time, which may not exceed [6] [12] months, either the forum State or the State of the official may suggest to the other party that the dispute be referred to arbitration or to the International Court of Justice. | 2. 如在不超过[6][12]个月的合理期间内未能通过谈判达成解决办法，法院地国或官员所属国均可向对方建议将争端提交仲裁或提交国际法院。 |
| 3. If the dispute is referred to arbitration or to the International Court of Justice, the forum State shall suspend the exercise of its jurisdiction until the competent organ issues a final ruling.” | 3. 如已将争端交付仲裁或提交国际法院，则法院地国应暂停行使管辖权，直至主管机关作出最终裁决。 ” |
| Official Records of the General Assembly, Seventy-fourth Session, Supplement No. 10 (A/74/10), para. 29. | 《大会正式记录，第七十四届会议，补编第10号》(A/74/10)，第29段。 |
| New York, 20 December 2006, United Nations, Treaty Series, vol. 2716, No. 48088, p. 3. | 2006年12月20日，纽约，联合国，《条约汇编》，第2716卷，第48088号，第3页。 |
| Vienna, 18 April 1961, ibid., vol. 500, No. 7310, p. 95, and Vienna, 24 April 1963, ibid., vol. 596, No. 8638, p. 261, respectively. | 分别为1961年4月18日，维也纳，同上，第500卷，第7310号，第95页，以及1963年4月24日，维也纳，同上，第596卷，第8638号，第261页。 |
| Official Records of the General Assembly, Seventy-fourth Session, Supplement No. 10 (A/74/10), para. 56. | 《大会正式记录，第七十四届会议，补编第10号》(A/74/10), 第56段。 |
| Ibid., para. 44. | 同上，第44段。 |
| Vienna, 23 May 1969, United Nations, Treaty Series, vol. 1155, No. 18232, p. 331. | 1969年5月23日，维也纳，联合国，《条约汇编》，第1155卷，第18232号，第331页。 |
| Montego Bay, 10 December 1982, ibid., vol. 1833, No. 31363, p. 3. | 1982年12月10日，蒙特哥湾，同上，第1833卷，第31363号，第3页。 |
| A/CN.4/739, para. 23. | A/CN.4/739, 第23段。 |
| * The Commission is considering the procedural provisions and safeguards applicable to the present draft articles in Part Four. | * 委员会正在审议第四部分中适用于本条款草案的程序性规定和保障措施。 |
| ** The Commission is considering the procedural provisions and safeguards applicable to the present draft articles in Part Four. | ** 委员会正在审议第四部分中适用于本条款草案的程序性规定和保障措施。 |
| *** The Commission has yet to adopt the title of this part. | *** 委员会尚未通过这一部分的标题。 |
| **** The number between square brackets indicates the original number of the draft article in the report of the Special Rapporteur. | **** 方括号内的数字是指特别报告员报告中条款草案的原来编号。 |
| The decision to include the footnote was taken at the Commission’s sixty-ninth session (2017), when draft article 7 was provisionally adopted. | 列入该脚注的决定是在委员会第六十九届会议(2017年)暂时通过第7条草案时作出的。 |
| See Official Records of the General Assembly, Seventy-second Session, Supplement No. 10 (A/72/10), paras. 140–141. | 见《大会正式记录，第七十二届会议，补编第10号》(A/72/10)，第140和第141段。 |
| See, in particular, paragraph (9) of the commentary to draft article 7, which states that “in order to reflect the great importance attached by the Commission to procedural issues in the context of the present topic, it was agreed that the current text of the draft articles should include the following footnote: ‘At its seventieth session, the Commission will consider the procedural provisions and safeguards applicable to the present draft articles.’” | 特别见第7条草案评注第(9)段，其中指出，“为了反映委员会在处理本专题时对程序性问题的高度重视，一致同意在条款草案目前的案文中添加如下脚注：‘委员会将在第七十届会议上审议适用于本条款草案的程序性规定和保障’”。 |
| Yearbook … 2014, vol. II (Part Two), p. 145, para. (12) of the commentary to draft article 2 (e). | 《2014年…年鉴》，第二卷(第二部分)，第145页，第2条草案(e)项评注第(12)段。 |
| Yearbook … 2013, vol. II (Part One), document A/CN.4/661, pp. 41–42, paras. 36–42. | 《2013年…年鉴》，第二卷(第一部分)，A/CN.4/661号文件，第41和42页，第36至42段。 |
| See Arrest Warrant of 11 April 2000 (Democratic Republic of the Congo v. Belgium), Judgment, I.C.J. Reports 2002, p. 3, at p. 22, paras. 54 and 55. | 见2000年4月11日逮捕令案(刚果民主共和国诉比利时)，判决，《2002年国际法院案例汇编》，第3页起，见第22页，第54和55段。 |
| See Certain Questions of Mutual Assistance in Criminal Matters (Djibouti v. France), Judgment, I.C.J. Reports 2008, p. 177, at pp. 236-237, paras. 170 and 171. | 见刑事事项互助的若干问题案(吉布提诉法国)，判决，《2008年国际法院案例汇编》，第177页起，见第236-237页，第170和171段。 |
| This question was addressed by the International Court of Justice in the proceedings concerning the Difference Relating to Immunity from Legal Process of a Special Rapporteur of the Commission on Human Rights, in which the Court elucidated the applicability of the privileges and immunities set out in the Convention on the Privileges and Immunities of the United Nations (New York, 13 February 1946, United Nations, Treaty Series, vol. 1, No. 4, p. 15, and vol. 90, p. 327) in connection with the prosecution in Malaysia of the Special Rapporteur on the independence of judges and lawyers, who had been prosecuted for statements made in an interview. | 国际法院在关于人权委员会一名特别报告员享有法律程序豁免的争议的案件中处理了这一问题，澄清了《联合国特权和豁免公约》(1946年2月13日，纽约，联合国，《条约汇编》，第1卷，第4号，第15页，第90卷，第327页)所载特权和豁免对法官和律师独立性特别报告员在马来西亚被起诉的案件中的适用性(该特别报告员因在一次访谈中的言论而被起诉)。 |
| In this context, the Court – at the request of the United Nations Economic and Social Council – issued an advisory opinion in which it stated that “questions of immunity are … preliminary issues which must be expeditiously decided in limine litis”, and that this affirmation “is a generally recognized principle of procedural law”, the purpose of which is to avoid “nullifying the essence of the immunity rule”. | 在这方面，国际法院应联合国经济及社会理事会的要求发表了一项咨询意见，其中指出，“豁免问题是初步问题，必须在诉讼开始前尽快解决”，这“是公认的程序法原则”，其目的并不是“剥夺豁免规则本身存在的理由”。 |
| Accordingly, the Court concluded by 14 votes to 1 “[t]hat the Malaysian courts had the obligation to deal with the question of immunity from legal process as a preliminary issue to be expeditiously decided in limine litis” (Difference Relating to Immunity from Legal Process of a Special Rapporteur of the Commission on Human Rights, Advisory Opinion, I.C.J. Reports 1999, p. 62, at p. 88, para. 63, and p. 90, para. 67 (2) (b)). | 法院以14票赞成、1票反对的表决结果认定，“马来西亚法院有义务将管辖豁免问题作为诉讼开始前的初步问题尽快解决”(关于人权委员会一名特别报告员享有法律程序豁免的争议，咨询意见，《1999年国际法院案例汇编》，第62页起，见第88页，第63段，以及第90页，第67(2)(b)段)。 |
| Article 6 of the resolution of the Institute of International Law states that “[t]he authorities of the State shall afford to a foreign Head of State the inviolability, immunity from jurisdiction and immunity from measures of execution to which he or she is entitled, as soon as that status is known to them” (Yearbook of the Institute of International Law, vol. 69 (Session of Vancouver, 2001), p. 747; | 国际法学会的决议第6条指出，“国家当局一旦意识到这种地位，应立即给予外国国家元首理应有权享有的不可侵犯性、管辖豁免权和执行豁免权”(《国际法学会年鉴》，第69卷(温哥华会议，2001年)，第747页； |
| available from the Institute’s website: www.idi-iil.org, under “Resolutions”). | 可查阅学会网站(www.idi-iil.org)的“决议”栏目)。 |
| Arrest Warrant of 11 April 2000 (see footnote 335 above), p. 22, para. 54; | 2000年4月11日逮捕令案(见上文脚注335)，第22页，第54段； |
| Certain Questions of Mutual Assistance in Criminal Matters (see footnote 336 above), pp. 236–237, para. 170. | 刑事事项互助的若干问题案(见上文脚注336)，第236-237页，第170段。 |
| Prosecutor v. Charles Ghankay Taylor, Special Court for Sierra Leone, Appeals Chamber, Case No. SCSL-2003-01-I, decision on immunity from jurisdiction, 31 May 2004, para. 30. | 检察官诉查尔斯·甘凯·泰勒，塞拉利昂特别法庭，上诉分庭，SCSL-2003-01-I案，关于管辖豁免的决定，2004年5月31日，第30段。 |
| For the text of the decision, see the website of the Special Court: www.scsldocs.org, under “Documents”, “Charles Taylor”. | 判决文本可查阅特别法庭网站(www.scsldocs.org)，“Documents”，“Charles Taylor”。 |
| Vienna Convention on Diplomatic Relations (Vienna, 18 April 1961), United Nations, Treaty Series, vol. 500, No. 7310, p. 95. | 《维也纳外交关系公约》(1961年4月18日，维也纳)，联合国，《条约汇编》，第500卷，第7310号，第95页。 |
| Similar provisions can be found in the Convention on Special Missions (New York, 8 December 1969), ibid., vol. 1400, No. 23431, p. 231, art. 29; | 同样的规定见《特别使团公约》(1969年12月8日，纽约)，同上，第1400卷，第23431号，第231页，第29条； |
| and the Vienna Convention on the Representation of States in Their Relations with International Organizations of a Universal Character (Vienna, 14 March 1975), United Nations, Juridical Yearbook 1975 (Sales No. E.77.V.3), p. 87, or Official Records of the United Nations Conference on the Representation of States in Their Relations with International Organizations, Vienna, 4 February–14 March 1975, vol. II, Documents of the Conference (United Nations publication, Sales No. E.75.V.12), p. 207, document A/CONF.67/16, arts. 28 and 58. | 《维也纳关于国家在其对普遍性国际组织关系上的代表权公约》(1975年3月14日，维也纳)，联合国，《1975年法律年鉴》(出售品编号：E.77.V.3)，第87页，或联合国关于国家在其对国际组织关系上的代表权问题会议正式记录，1975年2月4日至3月14日，维也纳，第二卷，会议文件(联合国出版物，出售品编号：E.75.V.12)，第207页，A/CONF.67/16号文件，第28条和58条。 |
| A more nuanced reference to this idea can be found in the Vienna Convention on Consular Relations, art. 41, paras. 1–2. | 这方面更微妙的措辞，见《维也纳领事关系公约》，第四十一条第一和第二款。 |
| Similar provisions can also be found in the Convention on Special Missions, art. 31, and the Vienna Convention on the Representation of States in Their Relations with International Organizations of a Universal Character, art. 30 and art. 60, para. 2. | 同样的规定见《特别使团公约》，第三十一条； 以及《维也纳关于国家在其对普遍性国际组织关系上的代表权公约》，第三十条和第六十条第二款。 |
| Yearbook of the Institute of International Law, vol. 69 (see footnote 338 above), pp. 745 and 747. | 《国际法学会年鉴》，第69卷(见上文脚注338)，第745和747页。 |
| Article 42 of the Convention reads as follows: “[i]n the event of the arrest or detention, pending trial, of a member of the consular staff, or of criminal proceedings being instituted against him, the receiving State shall promptly notify the head of the consular post. | 《公约》第四十二条如下：“遇领馆馆员受逮捕候审或羁押候审，或对其提起刑事诉讼时，接受国应迅即通知领馆馆长。 |
| Should the latter be himself the object of any such measure, the receiving State shall notify the sending State through the diplomatic channel. | 倘领馆馆长本人为该项措施之对象时，接受国应经由外交途径通知派遣国。 |
| ” The Vienna Convention on Diplomatic Relations, the Vienna Convention on the Representation of States in Their Relations with International Organizations of a Universal Character and the Convention on Special Missions do not contain any similar provisions. | ”《维也纳外交关系公约》、《维也纳关于国家在其对普遍性国际组织关系上的代表权公约》和《特别使团公约》没有类似的规定。 |
| United Nations Convention on Jurisdictional Immunities of States and Their Property (New York, 2 December 2004), Official Records of the General Assembly, Fifty-ninth Session, Supplement No. 49 (A/59/49), vol. I, resolution 59/38, annex. | 《联合国国家及其财产管辖豁免公约》(2004年12月2日，纽约)，《大会正式记录，第五十九届会议，补编第49号》(A/59/49)，第一卷，第59/38号决议，附件。 |
| See Yearbook … 2014, vol. II (Part Two), p. 145, para. (12) of the commentary to draft article 2 (e). | 《2014年…年鉴》，第二卷(第二部分)，第145页，第2条(e)项草案评注第(12)段。 |
| See draft article 4, paragraphs 1 and 3 (immunity ratione personae), and draft article 6, paragraphs 2 and 3 (immunity ratione materiae). | 见第4条草案第1款和第3款(属人豁免)和第6条草案第2款和第3款(属事豁免)。 |
| See the analysis of this issue in the Special Rapporteur’s seventh report on immunity of State officials from foreign criminal jurisdiction (A/CN.4/729), paras. 121–126. | 见特别报告员关于国家官员的外国刑事管辖豁免的第七次报告(A/CN.4/729)所载对这一问题的分析，第121-126段。 |
| Under that article, “[a]ll official business with the receiving State entrusted to the mission by the sending State shall be conducted with or through the Ministry for Foreign Affairs of the receiving State or such other ministry as may be agreed”. | 根据该条，“使馆承派遣国之命与接受国洽商公务，概应径与或经由接受国外交部或另经商定之其他部办理”。 |
| For the text of the draft articles adopted by the Commission and commentaries thereto, see Official Records of the General Assembly, Seventy-fourth Session, Supplement No. 10 (A/74/10), paras. 44–45. | 委员会通过的条款草案案文及其评注见《大会正式记录，第七十四届会议，补编第10号》(A/74/10)，第44和45段。 |
| European Convention on Mutual Assistance in Criminal Matters (Strasbourg, 20 April 1959), United Nations, Treaty Series, vol. 472, No. 6841, p. 185. | 《欧洲刑事事项互助公约》(1959年4月20日，斯特拉斯堡)，联合国，《条约汇编》，第472卷，第6841号，第185页。 |
| Additional Protocol to the European Convention on Mutual Assistance in Criminal Matters (Strasbourg, 17 March 1978), ibid., vol. 1496, No. 6841, p. 350; | 《欧洲刑事事项互助公约附加议定书》(1978年3月17日，斯特拉斯堡)，同上，第1496卷，第6841号，第350页； |
| and Second Additional Protocol to the European Convention on Mutual Assistance in Criminal Matters (Strasbourg, 8 November 2001), ibid., vol. 2297, No. 6841, p. 22. | 《欧洲刑事事项互助公约第二附加议定书》(2001年11月8日，斯特拉斯堡)，同上，第2297卷，第6841号，第22页。 |
| European Convention on the Transfer of Proceedings in Criminal Matters (Strasbourg, 15 May 1972), ibid., vol. 1137, No. 17825, p. 29. | 《刑事事项诉讼转移欧洲公约》(1972年5月15日，斯特拉斯堡)，同上，第1137卷，第17825号，第29页。 |
| European Convention on Extradition (Paris, 13 December 1957), ibid., vol. 359, No. 5146, p. 273. | 《欧洲引渡公约》(1957年12月13日，巴黎)，同上，第359卷，第5146号，第273页。 |
| Additional Protocol to the European Convention on Extradition (Strasbourg, 15 October 1975), ibid., vol. 1161, No. 5146, p. 450; | 《欧洲引渡公约附加议定书》(1975年10月15日，斯特拉斯堡)，同上，第1161卷，第5146号，第450页； |
| Second Additional Protocol to the European Convention on Extradition (Strasbourg, 17 March 1978), ibid., vol. 1496, No. 5146, p. 328; | 《欧洲引渡公约第二附加议定书》(1978年3月17日，斯特拉斯堡)，同上，第1496卷，第5146号，第328页； |
| Third Additional Protocol to the European Convention on Extradition (Strasbourg, 10 November 2010), ibid., vol. 2838, No. 5146, p. 181; | 《欧洲引渡公约第三附加议定书》(2010年11月10日，斯特拉斯堡)，同上，第2838卷，第5146号，第181页； |
| and Fourth Additional Protocol to the European Convention on Extradition (Vienna, 20 September 2012), Council of Europe, Council of Europe Treaty Series, No. 212. | 《欧洲引渡公约第四附加议定书》(2012年9月20日，维也纳)，欧洲委员会，《欧洲委员会条约汇编》，第212号。 |
| Inter-American Convention on Mutual Assistance in Criminal Matters (Nassau, 23 May 1992), Organization of American States, Treaty Series, No. 75. | 《美洲刑事事项互助公约》(1992年5月23日，拿骚)，美洲国家组织，《条约汇编》，第75号。 |
| Inter-American Convention on Extradition (Caracas, 25 February 1981), United Nations, Treaty Series, vol. 1752, No. 30597, p. 177. | 《美洲引渡公约》(1981年2月25日，加拉加斯)，联合国，《条约汇编》，第1752卷，第30597号，第177页。 |
| Convention on Mutual Assistance in Criminal Matters between the Member States of the European Union (Brussels, 29 May 2000), Official Journal of the European Communities, C 197, 12 July 2000, p. 3. | 《欧洲联盟成员国刑事事项互助公约》(2000年5月29日，布鲁塞尔)，《欧洲共同体公报》，C197, 2000年7月12日，第3页。 |
| Official Journal of the European Union, L 328, 15 December 2009, p. 42. | 《欧洲联盟公报》，L328, 2009年12月15日，第42页。 |
| Convention on Mutual Assistance in Criminal Matters between the Member States of the Community of Portuguese-speaking Countries (Praia, 23 November 2005), Diário da República I, No. 177, 12 September 2008, p. 6635. | 《葡萄牙语国家共同体成员国刑事事项互助公约》(2005年11月23日，普拉亚)，《共和国公报》，第一卷，第177号，2008年9月12日，第6635页。 |
| Convention on Extradition among the States Members of the Community of Portuguese-speaking Countries (Praia, 23 November 2005), ibid., No. 178, 15 September 2008, p. 6664. | 《葡萄牙语国家共同体成员国引渡公约》(2005年11月23日，普拉亚)，同上，第178号，2008年9月15日，第6664页。 |
| Convention on Legal Assistance and Legal Relations in Civil, Family and Criminal Matters (Minsk, 22 January 1993), The Informational Reporter of the CIS Council of Heads of State and Council of Heads of Government “Sodruzhestvo”, No. 1 (1993); | 《民事、家庭、刑事案件法律援助和法律关系公约》(1993年1月22日，明斯克)，载于独立国家联合体(独联体)国家元首理事会和政府首脑理事会信息报告“Sodruzhestvo”，第1 (1993)号； |
| Convention on Legal Assistance and Legal Relations in Civil, Family and Criminal Matters (Chisinau, 7 October 2002), ibid., No. 2 (41) (2002). | 《民事、家庭、刑事案件法律援助和法律关系公约》(2002年10月7日，基希讷乌)，同上，第2 (41) (2002)号。 |
| Model Treaty on Mutual Assistance in Criminal Matters, General Assembly resolution 45/117 of 14 December 1990, annex (subsequently amended by General Assembly resolution 53/112 of 9 December 1998, annex I). | 《刑事事项互助示范条约》，大会1990年12月14日第45/117号决议，附件(后来经大会1998年12月9日第53/112号决议修订，附件一)。 |
| Model Treaty on the Transfer of Proceedings in Criminal Matters, General Assembly resolution 45/118 of 14 December 1990, annex. | 《刑事事件转移诉讼示范条约》，大会1990年12月14日第45/118号决议，附件。 |
| Model Treaty on Extradition, General Assembly resolution 45/116 of 14 December 1990, annex (subsequently amended by General Assembly resolution 52/88 of 12 December 1997, annex). | 《引渡示范条约》，大会1990年12月14日第45/116号决议，附件(后来经大会1997年12月12日第52/88号决议修订，附件)。 |
| Paragraph 6 of the draft article as originally proposed by the Special Rapporteur in her seventh report read as follows: “[i]n any event, the organs that are competent to determine immunity shall decide proprio motu on its application in respect of State officials who enjoy immunity ratione personae, whether the State of the official invokes immunity or not” (A/CN.4/729, para. 69). | 特别报告员在其第七次报告中最初提议的条款草案第6款案文如下：“无论如何，有权确定豁免的机关应自行决定是否对享有属人豁免的国家官员适用豁免，而不论官员所属国是否援引豁免”(A/CN.4/729, 第69段)。 |
| This is an uncontroversial matter that has even been reflected in various treaties, including, by way of example, the Vienna Convention on Diplomatic Relations, the preamble of which states that “the purpose of such privileges and immunities is not to benefit individuals but to ensure the efficient performance of the functions of diplomatic missions as representing States” (fourth paragraph). | 这是一个无可争辩的问题，也反映在一些条约中，例如《维也纳外交关系公约》在序言中指出，“此等特权与豁免之目的不在于给与个人以利益而在于确保代表国家之使馆能有效执行职务”(第四段)。 |
| Virtually identical wording can be found in the preambles of the Vienna Convention on Consular Relations (fifth paragraph), the Convention on Special Missions (seventh paragraph) and the Vienna Convention on the Representation of States in Their Relations with International Organizations of a Universal Character (sixth paragraph). | 下列文书的序言里也有几乎相同的措辞：《维也纳领事关系公约》(第五段)、《特别使团公约》(第七段)和《维也纳关于国家在其对普遍性国际组织关系上的代表权公约》(第六段)。 |
| The Institute of International Law expressed the same view in the preamble of its resolution on immunities from jurisdiction and execution of Heads of State and of Government in international law, in which it states that special treatment is to be given to a Head of State or a Head of Government as a representative of that State, “not in his or her personal interest, because this is necessary for the exercise of his or her functions and the fulfilment of his or her responsibilities in an independent and effective manner, in the well-conceived interest of both the State or the Government of which he or she is the Head and the international community as a whole” (Yearbook of the Institute of International Law, vol. 69 (see footnote 338 above), p. 743, third paragraph). | 同样，国际法学会在其关于国家元首和政府首脑根据国际法享有管辖豁免和执行豁免的决议序言中指出，国家元首和政府首脑作为国家的代表，应得到特殊待遇，“不是为了他们的个人利益，而是因为有必要让他们为了有关国家和整个国际社会的利益，独立、有效地履行职责”(《国际法学会年鉴》，第69卷(见上文脚注338)，第743页，第三段)。 |
| The two Special Rapporteurs who have dealt with this topic in the Commission have also expressed this view (see Yearbook … 2010, vol. II (Part One), document A/CN.4/631, p. 395, at p. 402, para. 19; | 委员会处理这一专题的两位特别报告员也表示了相同的看法(见《2010年…年鉴》，第二卷(第一部分)，A/CN.4/631号文件，第395页起，见第402页，第19段； |
| Yearbook … 2011, vol. II (Part One), document A/CN.4/646, p. 223, at p. 228, para. 15; | 《2011年…年鉴》，第二卷(第一部分)，A/CN.4/646号文件，第223页起，见第228页，第15段； |
| and Yearbook … 2013, vol. II (Part One), document A/CN.4/661, p. 35, at p. 44, para. 49). | 《2013年…年鉴》，第二卷(第一部分)，A/CN.4/661号文件，第35页起，见第44页，第49段)。 |
| Yearbook … 2014, vol. II (Part Two), p. 145, para. (14) of the commentary to draft article 2 (e). | 《2014年…年鉴》，第二卷(第二部分)，第145页，第2条草案(e)项评注第(14)段。 |
| The Commission addressed the waiver of immunity of certain State officials in the course of its work on diplomatic relations, consular relations, special missions and the representation of States in their relations with international organizations. | 委员会在其关于外交关系、领事关系、特别使团和国家在与国际组织关系中的代表权的工作过程中讨论了放弃某些国家官员豁免权的问题。 |
| Article 30 of the draft articles on diplomatic intercourse and immunities is worded as follows: “Waiver of immunity. 1. | 关于外交关系和豁免的条款草案第30条措辞如下：“豁免之抛弃。 |
| The immunity of its diplomatic agents from jurisdiction may be waived by the sending State. 2. | 一. 外交代表对管辖之豁免得由派遣国抛弃之。 |
| In criminal proceedings, waiver must always be express” (Yearbook … 1958, vol. II, document A/3859, p. 99). | 二. 刑事诉讼中，豁免之抛弃概须明示为之”(《1958年…年鉴》，第二卷，A/3859号文件，第99页)。 |
| Article 45 of the draft articles on consular relations provides as follows: “Waiver of immunities. | 关于领事关系的条款草案第45条规定：“豁免之抛弃。 |
| 1. The sending State may waive, with regard to a member of the consulate, the immunities provided for in articles 41, 43 and 44. | 一. 派遣国得就个别领馆人员，抛弃第四十一条、第四十三条及第四十四条所规定之豁免。 |
| 2. The waiver shall in all cases be express” (Yearbook … 1961, vol. II, document A/4843, p. 118). | 二. 豁免之抛弃概须明示”(《1961年…年鉴》，第二卷，A/4843号文件，第118页)。 |
| Article 41 of the draft articles on special missions is worded as follows: “Waiver of immunity. 1. | 关于特别任务的条款草案第41条措辞如下：“豁免之抛弃。 |
| The sending State may waive the immunity from jurisdiction of its representatives in the special mission, of the members of its diplomatic staff, and of other persons enjoying immunity under articles 36 to 40. | 一. 派遣国得抛弃其特种使节团内之代表、外交职员及依第三十六条至第四十条享有豁免之其他人员所享管辖之豁免。 |
| 2. Waiver must always be express” (Yearbook … 1967, vol. II, document A/6709/Rev.1 and Rev.1/Corr.1, p. 365). | 二. 豁免之抛弃概须明示”(《1967年…年鉴》，第二卷，A/6709/Rev.1和Rev.1/Corr.2号文件，第365页)。 |
| Lastly, article 31 of the draft articles on the representation of States in their relations with international organizations reads as follows: “Waiver of immunity. | 最后，关于国家代表与国际组织的关系的条款草案第31条指出：“豁免的放弃。 |
| 1. The immunity from jurisdiction of the head of mission and members of the diplomatic staff of the mission and of persons enjoying immunity under article 36 may be waived by the sending State. 2. | 1. 派遣国得放弃代表团团长、代表团外交职员和依第三十六条享有豁免的人员所享管辖的豁免。 |
| Waiver must always be express” (Yearbook … 1971, vol. II (Part One), document A/8410/Rev.1, p. 304). | 2. 豁免的放弃概须明示”(《1971年…年鉴》，第二卷(第一部分)，A/8410/Rev.1号文件，第304页)。 |
| Article 7 of the Institute of International Law resolution on immunities from jurisdiction and execution of Heads of State and of Government in international law is worded as follows: “1. The Head of State may no longer benefit from the inviolability, immunity from jurisdiction or immunity from measures of execution conferred by international law, where the benefit thereof is waived by his or her State. | 国际法学会关于国家元首和政府首脑根据国际法享有管辖豁免和执行豁免的决议第7条措辞如下：“1. 如果国家放弃国际法赋予的不可侵犯性、管辖豁免或执行豁免，国家元首将不享有此类豁免。 |
| Such waiver may be explicit or implied, provided it is certain. | 放弃豁免可明示，也可默示，前提是放弃是肯定的。 |
| The domestic law of the State concerned determines which organ is competent to effect such a waiver. | 有权决定放弃豁免的机构是有关国家的国内法确定的。 |
| 2. Such a waiver should be made when the Head of State is suspected of having committed crimes of a particularly serious nature, or when the exercise of his or her functions is not likely to be impeded by the measures that the authorities of the forum may be called upon to take” (Yearbook of the Institute of International Law, vol. 69 (see footnote 338 above), p. 749). Article 8 of the resolution states: “1. | 2. 当国家元首被怀疑犯有特别严重的罪行时，或者其职能的行使似乎没有受到法院地国当局应该作出的决定的影响时，才应决定是否放弃豁免”(《国际法学会年鉴》，第69卷(见上文脚注338)，第749页)。 |
| States may, by agreement, derogate to the extent they see fit, from the inviolability, immunity from jurisdiction and immunity from measures of execution accorded to their own Heads of State. 2. | 决议第8条内容如下：“1. 各国可通过协议，就其国家元首的管辖豁免和执行豁免商定它们认为适当的克减。 |
| In the absence of an express derogation, there is a presumption that no derogation has been made to the inviolability and immunities referred to in the preceding paragraph; | 2. 未明示克减的，前款提及的不可侵犯性和豁免即推定为未被撤销； |
| the existence and extent of such a derogation shall be unambiguously established by any legal means” (ibid.). | 这种克减的存在和范围必须通过法律手段明确确定”(同上)。 |
| This approach remained the same in the Institute’s 2009 resolution on the immunity from jurisdiction of the State and of persons who act on behalf of the State in case of international crimes, although the resolution incorporates a new element by stipulating, in article II, paragraph 3, that “States should consider waiving immunity where international crimes are allegedly committed by their agents”. | 这一做法并没有因2009年通过关于国家及其代理人在国际犯罪案件中的管辖豁免的决议而改变，但该决议纳入了新的内容，在第二条第3款中规定，“如果代理人被怀疑或被指控犯下国际罪行，各国应考虑放弃其豁免”。 |
| This recommendation mirrors the provisions of paragraph 2 of the same article II, according to which, “[p]ursuant to treaties and customary international law, States have an obligation to prevent and suppress international crimes. | 这项建议与第二条第2款类似，该款指出，“各国有义务根据公约和习惯国际法预防和制止国际犯罪。 |
| Immunities should not constitute an obstacle to the appropriate reparation to which victims of crimes addressed by this Resolution are entitled” (Yearbook of the Institute of International Law, vol. 73-I-II (Session of Naples, 2009), p. 227; | 豁免不应成为本决议所涵盖罪行受害者有权获得适当赔偿的障碍”(《国际法学会年鉴》，第73-I-II卷(那不勒斯会议，2009年)，第227页； |
| available from the Institute’s website: www.idi-iil.org, under “Resolutions”). | 可查阅学会网站(www.idi-iil.org)的“决议”栏目。 |
| Nonetheless, it should be borne in mind that the 2004 Convention addresses the waiver of immunity only indirectly, through the enumeration of a number of cases in which the foreign State is automatically deemed to have consented to the exercise of jurisdiction by the courts of the forum State. | 但是，应当记住，就2004年《公约》而言，放弃豁免只是通过列举一些案件间接提及，在这些案件中，可以自动理解为外国已同意法院地国法院行使管辖权。 |
| See, for example, articles 7 and 8 of the Convention. | 关于这一点，见《公约》第七条和第八条。 |
| See United States of America, Foreign Sovereign Immunities Act 1976, sects. 1605 (a) (1), 1610 (a) (1), (b) (1) and (d) (1), and 1611 (b) (1); | 见美利坚合众国，1976年《外国主权豁免法》，第1605(a) (1)、第1610 (a) (1)、(b) (1)和(d) (1)及第1611 (b) (1)节； |
| United Kingdom of Great Britain and Northern Ireland, State Immunity Act 1978, sect. 2; | 大不列颠及北爱尔兰联合王国，1978年《国家豁免法》，第2节； |
| Singapore, State Immunity Act 1979, sect. 4; | 新加坡，1979年《国家豁免法》，第4节； |
| Pakistan, State Immunity Ordinance 1981, sect. 4; | 巴基斯坦，1981年《国家豁免令》，第4节； |
| South Africa, Foreign States Immunities Act 1981, sect. 3; | 南非，1981年《外国豁免法》，第3节； |
| Australia, Foreign States Immunities Act 1985, sects. | 澳大利亚，1985年《外国豁免法》，第10、3和6节； |
| 10, 3 and 6; Canada, State Immunity Act 1985, sect. 4.2; | 加拿大，1985年《国家豁免法》，第4.2节； |
| Israel, Foreign States Immunity Law 2008, sects. 9 and 10; | 以色列，2008年《外国豁免法》，第9和10节； |
| Japan, Act on the Civil Jurisdiction of Japan with respect to a Foreign State 2009, art. 6; | 日本，2009年《日本对外国民事管辖权法》，第6条； |
| and Spain, Organic Act No. 16/2015 of 27 October on privileges and immunities of foreign States, international organizations with headquarters or offices in Spain and international conferences and meetings held in Spain, arts. 5, 6 and 8. | 西班牙，10月27日第16/2015号关于外国、总部或办事处设在西班牙的国际组织以及在西班牙举行的各种国际会议的特权和豁免的组织法，第5、6和8条。 |
| Arrest Warrant of 11 April 2000 (see footnote 335 above), p. 25, para. 61. | 2000年4月11日逮捕令案(见上文脚注335)，第25页，第61段。 |
| Exceptionally, some national laws refer to waivers communicated by a head of mission. | 一些国内法律例外地提及由使团团长传递放弃的决定。 |
| See United Kingdom, State Immunity Act 1978, sect. 2.7; | 见联合王国，1978年《国家豁免法》，第2.7节； |
| Singapore, State Immunity Act 1979, sect. 4.7; | 新加坡，1979年《国家豁免法》，第4.7节； |
| Pakistan, State Immunity Ordinance 1981, sect. 4.6; | 巴基斯坦，1981年《国家豁免令》，第4.6节； |
| South Africa, Foreign States Immunities Act 1981, sect. 3.6; | 南非，1981年《外国豁免法》，第3.6节； |
| and Israel, Foreign States Immunity Law 2008, sect. 9 (c). | 以色列，2008年《外国豁免法》，第9(c)节。 |
| In the draft articles on diplomatic intercourse and immunities, the Commission already considered it preferable to leave open the question of the organs competent to waive the immunity of diplomatic agents. | 在关于外交关系和豁免的条款草案中，委员会认为最好不说明哪个主管机构有权放弃外交代表的豁免。 |
| Thus, in the text of draft article 30 adopted on second reading, it decided to amend the wording of paragraph 2 by deleting the last phrase of the paragraph adopted on first reading, which read “by the Government of the sending State”. | 因此，在二读通过的第30条草案案文中，委员会决定修改第2款的措辞，删除一读通过的该款中“概需”后面的几个字：“由派遣国政府”。 |
| The Commission explains this decision as follows: “The Commission decided to delete the phrase ‘by the Government of the sending State’, because it was open to the misinterpretation that the communication of the waiver should actually emanate from the Government of the sending State. | 委员会对这一决定的解释如下：“委员会决定删去“由派遣国政府”一语，因该语可能误解为抛弃豁免之通知非确实由派遣国政府发出不可。 |
| As was pointed out, however, the head of the mission is the representative of his Government, and when he communicates a waiver of immunity the courts of the receiving State must accept it as a declaration of the Government of the sending State. | 其实，使馆馆长既如上文所述为本国政府之代表，则遇馆长通知抛弃豁免时，接受国之法院即应承认其为派遣国政府之声明。 |
| In the new text, the question of the authority of the head of the mission to make the declaration is not dealt with, for this is an internal question of concern only to the sending State and to the head of the mission” (Yearbook … 1958, vol. II, document A/3859, p. 99, paragraph (2) of the commentary to article 30). | 至于使馆馆长作此声明之权力问题，新条文未予论及，盖此乃一国内部问题，仅与派遣国及使馆馆长有关”(《1958年…年鉴》，第二卷，A/3859号文件，第99页，第30条评注第(2)段)。 |
| In a similar vein, the Commission stated the following in relation to draft article 45 of the draft articles on consular relations: “The text of the article does not state through what channel the waiver of immunity should be communicated. | 同样，委员会在谈到领事关系条款草案第45条草案时指出：“本条条文并未叙明抛弃豁免应经由何种途径通知。 |
| If the head of the consular post is the object of the measure in question, the waiver should presumably be made in a statement communicated through the diplomatic channel. | 如领馆馆长为受有关处分者，豁免之抛弃谅系经由外交途径以声明通知。 |
| If the waiver relates to another member of the consulate, the statement may be made by the head of the consular post concerned” (Yearbook … 1961, vol. II, document A/4843, p. 118, paragraph (2) of the commentary to article 45). | 如豁免之抛弃关涉其他领馆人员，则通知得由主管领馆馆长提出”(《1961年…年鉴》，第二卷，A/4843号文件，第118页，第45条评注第(2)段)。 |
| For example, in the United States, the waiver was formulated by the Minister of Justice of Haiti in Paul v. Avril (United States District Court for the Southern District of Florida, Judgment of 14 January 1993, 812 F. Supp. 207), and, in Belgium, by the Minister of Justice of Chad in the Hissène Habré case. | 例如，在美国，海地司法部长在Paul诉Avril(佛罗里达州南区地区法院，1993年1月14日判决，812 F. Supp. 207)一案中表示海地放弃此官员的豁免； 在比利时，乍得司法部在侯赛因·哈布雷案中表示放弃豁免。 |
| In Switzerland, in the case of Ferdinand et Imelda Marcos c. Office fédéral de la police (Federal Court, Judgment of 2 November 1989, ATF 115 Ib 496), the courts did not analyse which ministries were competent, but merely noted that it was sufficient that they were government bodies and therefore accepted a communication sent by the diplomatic mission of the Philippines. | 在瑞士，在费迪南德和伊梅尔达·马科斯诉联邦警察局(联邦法院，1989年11月2日判决，ATF 115 Ib 496)一案中，法院没有分析哪些政府机构有此权限，而只认为只要是政府机构即可，并接受了菲律宾外交使团发出的来函。 |
| See footnote 370 above. See Vienna Convention on Diplomatic Relations, art. 32, para. 2; | 见上文脚注370。 |
| Vienna Convention on Consular Relations, art. 45, para. 2; Convention on Special Missions, art. 41, para. 2; and Vienna Convention on the Representation of States in Their Relations with International Organizations of a Universal Character, art. 31, para. 2. | 见《维也纳外交关系公约》第三十二条第二款、《维也纳领事关系公约》第四十五条第二款、《特别使团公约》第四十一条第二款和《维也纳关于国家在其对普遍性国际组织关系上的代表权公约》第三十一条第二款。 |
| For example, Organic Act No. 16/2015 of 27 October on privileges and immunities of foreign States, international organizations with headquarters or offices in Spain and international conferences and meetings held in Spain provides for such express waiver of immunity in article 27 in relation to the immunity of Heads of State, Heads of Government and Ministers for Foreign Affairs. | 10月27日关于外国、在西班牙设有总部或办事处的国际组织以及在西班牙举行的国际会议的特权和豁免的第16/2015号组织法在关于国家元首、政府首脑和外交部长豁免权的第27条中规定放弃豁免必须明示。 |
| A/CN.4/729, para. 103. | A/CN.4/729, 第103段。 |
| The Institute of International Law expressed a similar view in its 2001 resolution on immunities from jurisdiction and execution of Heads of State and of Government in international law, stating, in article 8, paragraph 1, that “States may, by agreement, derogate to the extent they see fit, from the inviolability, immunity from jurisdiction and immunity from measures of execution accorded to their own Heads of State” (Yearbook of the Institute of International Law, vol. 69 (see footnote 338 above), p. 749). | 在这方面，国际法学会在其2001年关于国家元首和政府首脑的管辖豁免和执行豁免的决议第8条第1款中指出，“各国可以通过协议，就其国家元首的管辖豁免和执行豁免商定它们认为适当的克减”(《国际法学会年鉴》，第69卷(见上文脚注338)，第749页)。 |
| Regina v. Bow Street Metropolitan Stipendiary Magistrate, ex parte Pinochet Ugarte (No. 3), United Kingdom, House of Lords, decision of 24 March 1999, [1999] UKHL 17, [2000] 1 AC 147; | 女王诉Bow街大都会法院法官，皮诺切特－乌加特缺席案(第3号)，联合王国，上议院，1999年3月24日决定，[1999] UKHL 17, [2000] 1 AC 147； |
| see also International Law Reports, vol. 119 (2002), p. 135. | 另见《国际法报告》，第119卷(2002年)，第135页。 |
| Rome Statute of the International Criminal Court (Rome, 17 July 1998), United Nations, Treaty Series, vol. 2187, No. 38544, p. 3. | 《国际刑事法院罗马规约》(1998年7月17日，罗马)，联合国，《条约汇编》，第2187卷，第38544号，第3页。 |
| Arrest Warrant of 11 April 2000 (see footnote 335 above), pp. 24–25, para. 59. | 2000年4月11日逮捕令案(见上文脚注335)，第24和25页，第59段。 |
| Three examples of clear statements of waiver, which appear in the memorandum by the Secretariat on immunity of State officials from foreign criminal jurisdiction (A/CN.4/596 and Corr.1 (available from the Commission’s website, documents of the sixtieth session), paras. 252 and 253), are reproduced below. | 明确声明的三个例子载于秘书处关于国家官员外国刑事管辖豁免的备忘录(A/CN.4/596和Corr.1(见委员会网站，第六十届会议文件)，第252和253段)。 |
| In Paul v. Avril, the Minister of Justice of Haiti stated that “Prosper Avril, ex-Lieutenant-General of the Armed Forces of Haiti and former President of the Military Government of the Republic of Haiti, enjoys absolutely no form of immunity, whether it be of a sovereign, a chief of state, a former chief of state; whether it be diplomatic, consular, or testimonial immunity, or all other immunity, including immunity against judgment, or process, immunity against enforcement of judgments and immunity against appearing before court before and after judgment” (Paul v. Avril (see footnote 377 above), p. 211). | 在Paul诉Avril案中，海地司法部长指出，“前海地武装部队中将、海地共和国军政府前总统Prosper Avril绝对不享有任何形式的豁免权，无论是君主、国家元首还是前国家元首的豁免权，无论是外交、领事还是作证豁免权，或任何其他类型的豁免权，包括判决或起诉豁免权、判决执行豁免权和判决前后出庭豁免权”(Paul诉Avril案(见上文脚注377)，第211页)。 |
| In the Ferdinand et Imelda Marcos case, the waiver submitted by the Philippines was worded as follows: “The Government of the Philippines hereby waives all (1) State, (2) head of State or (3) diplomatic immunity that the former President of the Philippines, Ferdinand Marcos, and his wife, Imelda Marcos, might enjoy or might have enjoyed on the basis of American law or international law. … | 在费迪南德和伊梅尔达·马科斯案中，菲律宾提交的放弃书措辞如下：“菲律宾政府特此放弃菲律宾前总统费迪南德·马科斯和他的妻子伊梅尔达·马科斯根据美国法律或国际法可以享有或本可以享有的任何豁免，包括(1) 国家豁免权、(2) 国家元首豁免权或(3) 外交豁免权。 |
| This waiver extends to the prosecution of Ferdinand and Imelda Marcos in the above-mentioned case (the investigation conducted in the southern district of New York) and to any criminal acts or any other related matters in connection with which these persons might attempt to refer to their immunity” (Ferdinand et Imelda Marcos c. Office fédéral de la police (see footnote 377 above), pp. 501–502). | […]豁免的放弃适用于在上述案件(在纽约州南区进行的调查)中对费迪南德和伊梅尔达·马科斯的起诉，以及他们试图援引其豁免权所涉的任何犯罪行为或其他相关事项”(费迪南德和伊梅尔达·马科斯诉警察局案(见上文脚注377)，第501和502页)。 |
| In the proceedings conducted in Brussels against Hissène Habré, the Ministry of Justice of Chad expressly waived immunity in the following terms: “The National Sovereign Conference, held in N’djaména from 15 January to 7 April 1993, officially waived any immunity from jurisdiction with respect to Mr. Hissène Habré. | 在布鲁塞尔针对侯赛因·哈布雷的案件中，乍得司法部明确放弃豁免：“1993年1月15日至4月7日在恩贾梅纳举行的主权全国会议正式取消了侯赛因·哈布雷先生的所有管辖豁免权。 |
| This position was confirmed by Act No. 010/PR/95 of 9 June 1995, which granted amnesty to political prisoners and exiles and to persons in armed opposition, with the exception of ‘the former President of the Republic, Hissène Habré, his accomplices and/or accessories’. | 这一立场得到了1995年6月9日第010/PR/95号法的认可，该法赦免了政治犯和流亡者以及武装反对派人士，但不包括“共和国前总统侯赛因·哈布雷、他的同伙和(或)他的同谋”。 |
| It is therefore clear that Mr. Hissène Habré cannot claim any immunity whatsoever from the Chadian authorities since the end of the National Sovereign Conference” (letter from the Minister of Justice of Chad to the examining magistrate of the Brussels district, 7 October 2002). | 因此，很明显，侯赛因·哈布雷先生无法要求乍得当局赋予他任何豁免权，自从主权全国会议结束以来就是如此”(2002年10月7日乍得司法部长给布鲁塞尔地区预审法官的信)。 |
| On waiver of immunity and submission of the foreign State to the jurisdiction of the forum State, see: United States, Foreign Sovereign Immunities Act 1976, sects. 1605 (a) (1), 1610 (a) (1), (b) (1) and (d) (1), and 1611 (b) (1); | 关于放弃豁免和外国接受法院地国管辖的问题，见：美国，1976年《外国主权豁免法》，第1605 (a) (1)、第1610 (a) (1)、(b) (1)和(d) (1)及第1611 (b) (1)节； |
| United Kingdom, State Immunity Act 1978, sect. 2; | 联合王国，1978年《国家豁免法》，第2节； |
| Singapore, State Immunity Act 1979, sect. 4; | 新加坡，1979年《国家豁免法》，第4节； |
| Pakistan, State Immunity Ordinance 1981, sect. 4; | 巴基斯坦，1981年《国家豁免令》，第4节； |
| South Africa, Foreign States Immunities Act 1981, sect. 3; | 南非，1981年《外国豁免法》，第3节； |
| Australia, Foreign States Immunities Act 1985, sect. 10; | 澳大利亚，1985年《外国豁免法》，第10节； |
| Canada, State Immunity Act 1985, sect. 4; | 加拿大，1985年《国家豁免法》，第4节； |
| Israel, Foreign States Immunity Law 2008, sects. 9 and 10; | 以色列，2008年《外国豁免法》，第9和10节； |
| Japan, Act on the Civil Jurisdiction of Japan with respect to a Foreign State 2009, arts. 5 and 6; | 日本，2009年《日本对外国民事管辖权法》，第5和第6条； |
| and Spain, Organic Act No. 16/2015 of 27 October on privileges and immunities of foreign States, international organizations with headquarters or offices in Spain and international conferences and meetings held in Spain, arts. 5, 6, 7 and 8. | 西班牙，10月27日第16/2015号关于外国、总部或办事处设在西班牙的国际组织以及在西班牙举行的各种国际会议的特权和豁免的组织法，第5、6、7和8条。 |
| Only the laws of Australia and Spain provide for the irrevocability of the waiver of immunity. | 只有澳大利亚和西班牙的法律规定了放弃豁免的不可撤销性。 |
| Under the Foreign States Immunities Act 1985, “[a]n agreement by a foreign State to waive its immunity under this Part has effect to waive that immunity and the waiver may not be withdrawn except in accordance with the terms of the agreement” (sect. 10, 5). | 根据1985年《外国豁免法》，“外国放弃本部分规定的豁免的协议具有放弃该豁免的效力，除非依据该协议的条款，否则该放弃不得撤回”(第10.5节)。 |
| For its part, Organic Law 16/2015 establishes that “[t]he consent of the foreign State referred to in Articles 5 and 6 may not be revoked once the proceedings have been initiated before a Spanish court” (Article 8. | 第16/2015号《组织法》则规定，“一旦在西班牙法院启动诉讼程序，第5条和第6条所述的外国同意不得撤销”(第8条，同意的撤销)。 |
| Revocation of consent). Yearbook … 1958, vol. II, document A/3859, p. 99, paragraph (5) of the commentary to article 30. | 《1958年…年鉴》，第二卷，A/3859号文件，第99页，第30条评注第(5)段。 |
| Principle 10 reads as follows: “A unilateral declaration that has created legal obligations for the State making the declaration cannot be revoked arbitrarily. | 原则10如下：“不能任意撤销一项已经对声明国创立了法律义务的单方面声明。 |
| In assessing whether a revocation would be arbitrary, consideration should be given to: (a) any specific terms of the declaration relating to revocation; | 在考虑一项撤销是否属于任意时，应考虑下述因素：(a) 声明中与撤销有关的任何具体条件； |
| (b) the extent to which those to whom the obligations are owed have relied on such obligations; | (b) 义务的对象对这类义务的信赖程度； |
| (c) the extent to which there has been a fundamental change in the circumstances” (Yearbook … | (c) 情况发生根本变化的程度。 |
| 2006, vol. II (Part Two), p. 161, para. 176). | ”(《2006年…年鉴》，第二卷(第二部分)，第161页，第176段)。 |
| * The number between square brackets indicates the original number of the draft article in the report of the Special Rapporteur. | * 方括号内的数字是指特别报告员报告中条款草案的原来编号。 |
| See, for example, the European Convention on Mutual Assistance in Criminal Matters (Strasbourg, 20 April 1959), United Nations, Treaty Series, vol. 472, No. 6841, p. 185, art. 3; | 例如，见《欧洲刑事事项互助公约》(1959年4月20日，斯特拉斯堡)，联合国，《条约汇编》，第472卷，第6841号，第185页，第3条； |
| the Inter-American Convention on Mutual Assistance in Criminal Matters (Nassau, 23 May 1992), Organization of American States, Treaty Series, No. 75, art. 7; | 《美洲刑事事项互助公约》(1992年5月23日，拿骚)，美洲国家组织，《条约汇编》，第75号，第7条； |
| the Convention on Mutual Assistance in Criminal Matters between the Member States of the Community of Portuguese-speaking Countries (Praia, 23 November 2005), Diário da República I, No. 177, 12 September 2008, p. 6635, art. 1, paras. 1 and 2; | 《葡萄牙语国家共同体成员国间刑事事项法律援助公约》(2005年11月23日，普拉亚)，《第一共和国公报》，2008年9月12日第177号，第6635页，第1条第1和2款； |
| and the Model Treaty on Mutual Assistance in Criminal Matters, General Assembly resolution 45/117 of 14 December 1990, annex (subsequently amended by General Assembly resolution 53/112 of 9 December 1998, annex I), art. 1, para. 2. | 《刑事事项互助示范条约》，大会1990年12月14日第45/117号决议，附件(后经大会1998年12月9日第53/112号决议附件一修订)，第1条第2款。 |
| See the seventh report of the Special Rapporteur (A/CN.4/729), annex II. | 见特别报告员第七次报告(A/CN.4/729)，附件二。 |
| At its 3354th meeting, on 9 May 2017. | 在2017年5月9日第3354次会议上。 |
| The topic had been included in the long-term programme of work of the Commission during its sixty-eighth session (2016), on the basis of the proposal contained in annex B to the report of the Commission (Official Records of the General Assembly, Seventy-first Session, Supplement No. 10 (A/71/10)). | 根据委员会报告(《大会正式记录，第七十一届会议，补编第10号》(A/71/10))附件B所载建议，委员会第六十八届会议(2016年)已将该专题列入长期工作方案。 |
| The interim report of the Chair of the Drafting Committee is available in the analytical guide to the work of the International Law Commission: http://legal.un.org/ilc/guide/3_5.shtml. | 起草委员会主席的临时报告可查阅《国际法委员会工作分析指南》： http://legal.un.org/ilc/guide/3_5.shtml。 |
| Ibid. | 同上。 |
| See A/CN.4/L.939 and interim report of the Chair of the Drafting Committee, available in the analytical guide to the work of the International Law Commission (see footnote 393 above). | 见A/CN.4/L.939和起草委员会主席的临时报告，载于《国际法委员会工作分析指南》(见上文脚注393)。 |
| See Official Records of the General Assembly, Seventy-fourth Session, Supplement No. 10 (A/74/10). | 见《大会正式记录，第七十四届会议，补编第10号》(A/74/10)。 |
| The interim report of the Chair of the Drafting Committee is available in the analytical guide to the work of the International Law Commission (see footnote 393 above). | 起草委员会主席的临时报告可查阅《国际法委员会工作分析指南》(见上文脚注393)。 |
| The text of draft articles 7 bis, 16, 17, 18 and 19, as proposed by the Special Rapporteur in his fourth report, reads as follows: | 特别报告员在其第四次报告中提出的第7条之二、第16条、第17条、第18条和第19条草案案文如下： |
| Draft article 7 bis | 第7条之二草案 |
| Composite acts | 复合行为 |
| 1. When an internationally wrongful act is of a composite character, the international responsibility of a predecessor State and/or that of a successor State is engaged if a series of actions or omissions defined in aggregate as wrongful occurs. | 1. 当国际不法行为具有复合性时，若发生一系列整体定义为不法的作为或不作为，则涉及被继承国和(或)继承国的国际责任。 |
| If the action or omission, taken with the other action or omission, is sufficient to constitute the wrongful act of either the predecessor State or the successor State, such State is responsible only for the consequences of its own act. | 若与另一作为或不作为一并采取的该作为或不作为足以构成被继承国或继承国的不法行为，则该国仅对其自身行为的后果负责。 |
| 2. However, if an internationally wrongful act occurs only after the last action or omission by the successor State, the international responsibility of this State extends over the entire period starting with the first of the actions or omissions and lasts for as long as these actions or omissions are repeated and remain not in conformity with the international obligation. | 2. 但是，若一国际不法行为在继承国的上一次作为或不作为之后才发生，则该国的国际责任将延及自第一次作为或不作为起的整个期间并且只要这些作为或不作为重复且继续不符合国际义务，这一国际责任即一直持续。 |
| 3. Provisions of paragraphs 1 and 2 are without prejudice for any responsibility incurred by the predecessor State or the successor State on the basis of a single act if and to the extent that it constitutes a breach of any international obligation in force for that State. | 3. 第1款和第2款的规定不妨碍被继承国或继承国在以构成对该国有效的任何国际义务的违反为条件和范围、因一单一行为而招致的任何责任。 |
| Draft article 16 | 第16条草案 |
| Restitution | 恢复原状 |
| 1. In cases of succession of States where a predecessor State continues to exist, that State is under an obligation to make restitution, provided and to the extent that restitution is not materially impossible or does not involve a burden out of all proportion. | 1. 在被继承国继续存在的国家继承情况下，该国有义务恢复原状，前提及限制范围是恢复原状并非实际无法做到，或者不涉及完全不成比例的负担。 |
| 2. If, due to the nature of restitution, only a successor State or one of the successor States is in a position to make such restitution or if a restitution is not possible without participation of a successor State, a State injured by an internationally wrongful act of the predecessor State may request such restitution or participation from that successor State. | 2. 若因恢复原状的性质而仅一继承国或其中某一继承国能够恢复原状，或者若无一继承国的参与即无法实现恢复原状，则被继承国国际不法行为的受害国可要求该继承国恢复原状或参与。 |
| 3. Paragraphs 1 and 2 are without prejudice to any apportionment or other agreement between the successor State and the predecessor State or another successor State, as the case may be. | 3. 第1款和第2款不影响该继承国与被继承国或与另一继承国(视实际情况而定)之间的任何分摊或其他协定。 |
| 4. A successor State may request restitution from a State which committed an internationally wrongful act against the predecessor State if the injury caused by this act continues to affect the territory or persons which, after the date of succession of States, are under the jurisdiction of the successor State. | 4. 若一国对被继承国实施了国际不法行为，而该行为所造成的损害继续影响到在国家继承日期后属继承国管辖的领土或个人，则继承国可要求该一国恢复原状。 |
| Draft article 17 | 第17条草案 |
| Compensation | 补偿 |
| 1. In cases of succession of States where a predecessor State continues to exist, that State is under an obligation to make compensation for the damage caused by its internationally wrongful act, insofar as such damage is not made good by restitution. | 1. 在被继承国继续存在的国家继承的情况下，该国有义务为其国际不法行为造成的损害作出补偿，前提是该损害未通过恢复原状而获弥补。 |
| 2. In particular circumstances, a State injured by such internationally wrongful act may request compensation from a successor State or one of the successor States, provided that the predecessor State ceased to exist or, after the date of succession of States, that successor State continued to benefit from such act. | 2. 在特定情形下，受该国际不法行为损害的国家可要求继承国或其中某一继承国补偿，条件是被继承国不复存在或者该继承国在国家继承之日后继续从该行为中受益。 |
| 3. Paragraphs 1 and 2 are without prejudice to any apportionment or other agreement between the successor State and the predecessor State or another successor State, as the case may be. | 3. 第1款和第2款不影响继承国与被继承国或与另一继承国(视实际情况而定)之间的任何分摊或其他协定。 |
| 4. A successor State may request compensation from a State which committed an internationally wrongful act against the predecessor State, provided that the predecessor State ceased to exist or, after the date of succession of States, the successor State continued to bear injurious consequences of such internationally wrongful act. | 4. 继承国可要求对被继承国实施国际不法行为的国家作出补偿，条件是被继承国不复存在，或者在国家继承之日后，该继承国继续承受该国际不法行为的损害性后果。 |
| Draft article 18 | 第18条草案 |
| Satisfaction | 抵偿 |
| 1. In cases of succession of States where a predecessor State continues to exist, that State is under an obligation to give satisfaction for the injury caused by its internationally wrongful act, insofar as such injury is not made good by restitution or compensation. | 1. 在被继承国继续存在的国家继承情况下，该国有义务为其国际不法行为造成的损害给予抵偿，前提是该损害未通过恢复原状或补偿而获弥补。 |
| 2. Paragraph 1 is without prejudice to an appropriate satisfaction, in particular prosecution of crimes under international law, that any successor State may claim or may provide. | 2. 第1款不妨碍任何继承国可要求或可提供的适当抵偿，特别是对国际法上的罪行进行起诉。 |
| Draft article 19 | 第19条草案 |
| Assurances and guarantees of non-repetition | 不重复的承诺和保证 |
| 1. In cases of succession of States where a predecessor State continues to exist, that State is under an obligation to offer appropriate assurances and guarantees of non-repetition, if circumstances so require, even after the date of succession of States. | 1. 在被继承国继续存在的国家继承情况下，若是在必要的情形下，则即使在国家继承之日后，该国也有义务作出适当的不重复的承诺和保证。 |
| 2. Provided that the obligation breached by an internationally wrongful act remained in force after the date of succession of States between a successor State and another State concerned, and if circumstances so require: | 2. 若国际不法行为所违反的义务在国家继承之日后，在继承国与另一有关国家之间继续有效，且若是在必要的情形下： |
| (a) a State injured by an internationally wrongful act of the predecessor State may request appropriate assurances and guarantees of non-repetition from a successor State; | (a) 则被继承国国际不法行为的受害国可要求一继承国作出适当的不重复的承诺和保证； |
| and (b) a successor State of a State injured by an internationally wrongful act of another State may request appropriate assurances and guarantees of non-repetition from this State. | (b) 则另一国国际不法行为的受害国的继承国可要求该另一国作出适当的不重复的承诺和保证。 |
| As contained in the report of the Drafting Committee (A/CN.4/L.939/Add.1). | 载于起草委员会的报告(A/CN.4/L.939/Add.1)。 |
| Available in the analytical guide to the work of the Commission (see footnote 393 above). | 可查阅《国际法委员会工作分析指南》(见上文脚注393)。 |
| General Assembly resolution 56/83 of 12 December 2001, annex. | 大会2001年12月12日第56/83号决议，附件。 |
| The draft articles adopted by the Commission and the commentaries thereto are reproduced in Yearbook … 2001, vol. II (Part Two) and corrigendum, paras. 76–77. | 委员会通过的条款草案及其评注载于《2001年…年鉴》，第二卷(第二部分)及更正，第76-77段。 |
| Vienna Convention on Succession of States in respect of State Property, Archives and Debts (Vienna, 8 April 1983), United Nations, Juridical Yearbook 1983 (Sales No. E.90.V.1), p. 139. | 《关于国家对国家财产、档案和债务的继承的维也纳公约》(1983年4月8日，维也纳)，联合国，《1983年法律年鉴》(出售品编号E.90.V.1)，第139页。 |
| Vienna Convention on Succession of States in respect of Treaties (Vienna, 23 August 1978), United Nations, Treaty Series, vol. 1946, No. 33356, p. 3. | 《关于国家在条约方面的继承的维也纳公约》(1978年8月23日，维也纳)，联合国，《条约汇编》，第1946卷，第33356号，第3页。 |
| Jurisdictional Immunities of the State (Germany v. Italy: Greece intervening), Judgment, I.C.J. Reports 2012, p. 99. | 国家的管辖豁免案(德国诉意大利：希腊参加诉讼)，判决，《2012年国际法院案例汇编》，第99页。 |
| Armed Activities on the Territory of the Congo (Democratic Republic of the Congo v. Uganda), Judgment, I.C.J. Reports 2005, p. 168. | 刚果境内的武装活动(刚果民主共和国诉乌干达)，判决，《2005年国际法院案例汇编》，第168页。 |
| General Assembly resolution 56/83 of 12 December 2001, annex. | 大会2001年12月12日第56/83号决议，附件。 |
| The draft articles adopted by the Commission and the commentaries thereto are reproduced in Yearbook of the International Law Commission 2001, vol. II (Part Two) and corrigendum, paras. 76–77. | 委员会通过的条款草案及其评注载录于《2001年国际法委员会年鉴》，第二卷(第二部分)和更正，第76-77段。 |
| Article 14, ibid., at p. 59; | 第14条，同上，见第59页； |
| see also para. (5) of the commentary to article 14 of the articles on State responsibility, ibid., at p. 60. | 另见《国家责任条款》第14条评注第(5)段，同上，见第60页。 |
| Affaire des biens britanniques au Maroc espagnol (Espagne contre Royaume-Uni) [Spanish Zone in Morocco Claims] (1925), UNRIAA, vol. II, pp. 615–742, at pp. 648–649 (available in French only). | 摩洛哥西班牙区的英国财产案(西班牙诉联合王国)[摩洛哥西班牙区求偿案](1925年)，《国际仲裁裁决汇编》，第二卷，第615–742页，见第648–649页(仅有法文)。 |
| See para. (1) of the commentary to article 11 of the articles on State responsibility, Yearbook … 2001, vol. II (Part Two) and corrigendum, para. 77, at p. 52. | 见《国家责任条款》第11条评注第(1)段，《2001年…年鉴》，第二卷(第二部分)和更正，第77段，见第52页。 |
| Affaire relative à la concession des phares de l’Empire ottoman, UNRIAA, vol. XII (1956), p. 155, at pp. 197–198; | 奥斯曼帝国灯塔特许权案，《国际仲裁裁决汇编》，第十二卷(1956年)，第155页起，见第197-198页； |
| see also para. (3) of the commentary to article 11 of the articles on State responsibility, Yearbook … 2001, vol. II (Part Two) and corrigendum, para. 77, at p. 52. | 另见《国家责任条款》第11条评注第(3)段，《2001年…年鉴》，第二卷(第二部分)和更正，第77段，见第52页。 |
| Ibid., at pp. 50–51; | 同上，见第50-51页； |
| A/CN.4/719 (second report of the Special Rapporteur), paras. 107–121. | A/CN.4/719(特别报告员的第二次报告)，第107-121段。 |
| See para. (1) of the commentary to chapter II of the articles on State responsibility, Yearbook … 2001, vol. II (Part Two) and corrigendum, para. 77, at p. 38. | 见《国家责任条款》第二章评注第(1)段，《2001年…年鉴》，第二卷(第二部分)和更正，第77段，见第38页。 |
| See W. Czapliński, “La continuité, l’identité et la succession d’États – évaluation de cas récents”, Revue belge de droit international, vol. 26 (1993), pp. 375–392, at p. 388; | 见W. Czapliński, “La continuité, l’identité et la succession d’États — évaluation de cas récents”, Revue belge de droit international, vol. 26 (1993), pp. 375–392, at p. 388 ; |
| P. Pazartzis, La succession d’États aux traités multilatéraux : à la lumière des mutations territoriales récentes (Paris, Pedone, 2002), pp. 55–56. | P. Pazartzis, La succession d’États aux traités multilatéraux : à la lumière des mutations territoriales récentes (Paris, Pedone, 2002), pp. 55–56。 |
| See articles 20 to 27 of the articles on State responsibility and commentaries thereto, Yearbook … 2001, vol. II (Part Two) and corrigendum, para. 77, at pp. 72–86. | 见《国家责任条款》第20至第27条及其评注，《2001年…年鉴》，第二卷(第二部分)和更正，第77段，见第72-86页。 |
| Cf. also Institute of International Law, Yearbook, vol. 76, Session of Tallinn (2015), “State succession in matters of international responsibility”, Fourteenth Commission, Rapporteur: Marcelo Kohen, resolution, p. 711, at p. 714. | 另参见国际法学会，《年鉴》，第76卷，塔林会议(2015年)，“国际责任事项中的国家继承”，第十四委员会，报告员：马塞洛·科恩，第711页起，见第714页。 |
| A/CN.4/719 (second report of the Special Rapporteur), paras. 98–103. | A/CN.4/719 (特别报告员的第二次报告)，第98-103段。 |
| P. Dumberry, “Is a new State responsible for obligations arising from internationally wrongful acts before its independence in the context of secession? ”, Canadian Yearbook of International Law, vol. 43 (2005), pp. 419–454, at pp. 429–430. | P. Dumberry, “Is a new State responsible for obligations arising from internationally wrongful acts before its independence in the context of sécession ?”, Canadian Yearbook of International Law, vol. 43 (2005), pp. 419–454, at pp. 429–430. |
| The interim report of the Chair of the Drafting Committee is available under the analytical guide to the work of the International Law Commission: http://legal.un.org/ilc/guide/1_15.shtml. | 起草委员会主席的临时报告可查阅《国际法委员会工作分析指南》 http://legal.un.org/ilc/guide/1_15.shtml。 |
| The draft conclusions proposed by the Special Rapporteur in his second report read as follows: | 特别报告员在第二次报告中提出的结论草案如下： |
| Draft conclusion 4 | 结论草案4 |
| Identification of general principles of law derived from national legal systems | 识别源自国家法律体系的一般法律原则 |
| To determine the existence and content of a general principle of law derived from national legal systems, it is necessary to ascertain: | 为确定源自国家法律体系的一般法律原则的存在和内容，有必要核实： |
| (a) the existence of a principle common to the principal legal systems of the world; | (a) 存在一项世界主要法律体系共有的原则； |
| and | 和 |
| (b) its transposition to the international legal system. | (b) 其移置于国际法体系。 |
| Draft conclusion 5 | 结论草案5 |
| Determination of the existence of a principle common to the principal legal systems of the world | 确定一项世界主要法律体系共有的原则的存在 |
| 1. To determine the existence of a principle common to the principal legal systems of the world, a comparative analysis of national legal systems is required. | 1. 要确定一项世界主要法律体系共有的原则的存在，需要对各国法律体系进行比较分析。 |
| 2. The comparative analysis must be wide and representative, including different legal families and regions of the world. | 2. 比较分析必须广泛且有代表性，包括世界不同法律族系和区域。 |
| 3. The comparative analysis includes an assessment of national legislations and decisions of national courts. | 3. 该比较分析包括对国家立法和国家法院所作裁判的评估。 |
| Draft conclusion 6 | 结论草案6 |
| Ascertainment of transposition to the international legal system | 核实其移置于国际法体系 |
| A principle common to the principal legal systems of the world is transposed to the international legal system if: | 在下列条件下，世界主要法律体系共有的一项原则移置于国际法体系： |
| (a) it is compatible with fundamental principles of international law; | (a) 该原则符合国际法基本原则； |
| and | 和 |
| (b) the conditions exist for its adequate application in the international legal system. | (b) 该原则在国际法体系中适足适用的条件具备。 |
| Draft conclusion 7 | 结论草案7 |
| Identification of general principles of law formed within the international legal system | 识别在国际法体系内形成的一般法律原则 |
| To determine the existence and content of a general principle of law formed within the international legal system, it is necessary to ascertain that: | 为确定在国际法体系内形成的一般法律原则的存在和内容，有必要核实： |
| (a) a principle is widely recognized in treaties and other international instruments; | (a) 一项原则在条约和其他国际文书中得到广泛承认； |
| (b) a principle underlies general rules of conventional or customary international law; | (b) 一项原则是条约所定国际法或习惯国际法的一般规则的基础； |
| or | 或 |
| (c) a principle is inherent in the basic features and fundamental requirements of the international legal system. | (c) 一项原则为国际法体系基本特征和基本要求所固有。 |
| Draft conclusion 8 | 结论草案8 |
| Decisions of courts and tribunals | 法院和法庭所作裁判 |
| 1. Decisions of international courts and tribunals, in particular of the International Court of Justice, concerning the existence and content of general principles of law are a subsidiary means for the determination of such principles. | 1. 国际性法院和法庭特别是国际法院涉及一般法律原则的存在及内容的裁判是确定此类原则的辅助资料。 |
| 2. Regard may be had, as appropriate, to decisions of national courts concerning the existence and content of general principles of law, as a subsidiary means for the determination of such principles. | 2. 可酌情考虑国家法院涉及一般法律原则的存在及内容的裁判，作为确定此类原则的辅助资料。 |
| Draft conclusion 9 | 结论草案9 |
| Teachings | 学说 |
| Teachings of the most highly qualified publicists of the various nations may serve as a subsidiary means for the determination of general principles of law. | 各国最高水平的国际法学家的学说可以作为确定一般法律原则的辅助资料。 |
| The corresponding statement of the Chair of the Drafting Committee is available under the analytical guide to the work of the International Law Commission: http://legal.un.org/ilc/guide/1_15.shtml. | 起草委员会主席的相应声明可查阅《国际法委员会工作分析指南》： http://legal.un.org/ilc/guide/1_15.shtml。 |
| New York, 16 December 1966, United Nations, Treaty Series, vol. 999, No. 14668, p. 171. | 1966年12月16日，纽约，联合国，《条约汇编》，第999卷，第14668号，第171页。 |
| General Assembly resolution 73/203 of 20 December 2018, annex. | 大会2018年12月20日第73/203号决议，附件。 |
| The draft conclusions adopted by the Commission and the commentaries thereto are reproduced in Official Records of the General Assembly, Seventy-third Session, Supplement No. 10 (A/73/10), paras. 65–66. | 委员会通过的结论草案及其评注载录于《大会正式记录，第七十三届会议，补编第10号》(A/73/10)，第65-66段。 |
| Geneva, 16 December 1920, League of Nations, Treaty Series, vol. 6, No. 170, p. 379. | 1920年12月16日，日内瓦，国际联盟，《条约汇编》，第6卷，第170号，第379页。 |
| Geneva, 12 August 1949, United Nations, Treaty Series, vol. 75, No. 973, p. 287, art. 67. | 1949年8月12日，日内瓦，联合国，《条约汇编》，第75卷，第973号，第287页，第67条。 |
| Rome, 17 July 1998, United Nations, Treaty Series, vol. 2187, No. 38544, p. 3, art. 21, para. 1 (c). | 1998年7月17日，罗马，联合国，《条约汇编》，第2187卷，第38544号，第3页，第21条，第1(c)段。 |
| General Assembly resolution 2625 (XXV) of 24 October 1970, annex. | 大会1970年10月24日第2625 (XXV)号决议，附件。 |
| Taking into consideration recent practice of States and jurisprudence, the French and Spanish texts of draft conclusion 1 refer, respectively, to “principes généraux du droit” and “principios generales del derecho”. | 考虑到近来的国家实践和判例，结论草案1的法文和西班牙文本分别用“principes généraux du droit”和“principios generales del derecho”。 |
| It was understood that the use of “du droit” and “del derecho” did not change, nor imply a change to, the substance of Article 38, paragraph 1 (c), of the Statute of the International Court of Justice. | 可以这样理解，使用“du droit”和“del derecho”既不改变，也不暗示改变《国际法院规约》第三十八条第一款(寅)项的实质。 |
| See, for example, A/CN.4/732 (first report) and A/CN.4/742 (memorandum by the Secretariat). | 例如，见A/CN.4/732(第一次报告)和A/CN.4/742(秘书处的备忘录)。 |
| Other terms considered included “States”, “community of States”, “the international community”, “nations”, “nation States” and “nations as a whole”. | 考虑的其他说法包括“States”(各个国家)、“community of States”(国家共同体)、“the international community”(国际社会)、“nations”(不同国家)，“nation States”(国家)和“nations as a whole”(全体国家)。 |
| The provision reads: “Nothing in this article shall prejudice the trial and punishment of any person for any act or omission which, at the time when it was committed, was criminal according to the general principles of law recognized by the community of nations. | 该款规定：“任何人之行为或不行为，于发生当时依各国公认之一般法律原则为有罪者，其审判与刑罚不受本条规定之影响。 |
| ” International Covenant on Civil and Political Rights (New York, 16 December 1966), United Nations, Treaty Series, vol. 999, No. 14668, p. 171. | ”《公民及政治权利国际公约》(1966年12月16日，纽约)，联合国，《条约汇编》，第999卷，第14668号，第171页。 |
| See United Nations, Status of Multilateral Treaties, chap. IV.4. | 见联合国，《多边条约现况》，第四章第4节。 |
| Vienna Convention on the Law of Treaties (Vienna, 23 May 1969) United Nations, Treaty Series, vol. 1155, No. 18232, p. 331. | 《维也纳条约法公约》(1969年5月23日，维也纳)，联合国，《条约汇编》，第1155卷，第18232号，第331页。 |
| Official Records of the General Assembly, Seventy-third Session, Supplement No. 10 (A/73/10), | 《大会正式记录，第七十三届会议，补编第10号》(A/73/10)，第369段。 |
| para. 369. Official Records of the General Assembly, Seventy-fourth Session, Supplement No. 10 (A/74/10), paras. 265–273. | 《大会正式记录，第七十四届会议，补编第10号》(A/74/10)，第265-273段。 |
| Ibid., para. 269. | 同上，第269段。 |
| Official Records of the General Assembly, Seventy-third Session, Supplement No. 10 (A/73/10), Annex B. | 《大会正式记录，第七十三届会议，补编第10号》(A/73/10)，附件B。 |
| Croatia, Maldives, the Federated States of Micronesia, the Netherlands, Romania, Singapore, the United Kingdom of Great Britain and Northern Ireland, and the United States of America. | 克罗地亚、马尔代夫、密克罗尼西亚联邦、荷兰、罗马尼亚、新加坡、大不列颠及北爱尔兰联合王国和美利坚合众国。 |
| Information was also received from the Pacific Islands Forum. | 太平洋岛屿论坛也提供了资料。 |
| The information submitted is available from: https://legal.un.org/ilc/guide/8_9.shtml. | 收到的资料可查阅：https://legal.un.org/ilc/guide/8_9.shtml。 |
| Official Records of the General Assembly, Seventy-fourth Session, Supplement No. 10 (A/74/10), paras. 31–33. | 《大会正式记录，第七十四届会议，补编第10号》(A/74/10)，第31-33段。 |
| See chapter I, above, for the membership of the Study Group. | 研究组成员名单见上文第一章。 |
| See A/CN.4/SR.3550. | 见A/CN.4/SR.3550。 |
| Official Records of the General Assembly, Seventy-third Session, Supplement No. 10 (A/73/10), Annex B, para. 5. | 《大会正式记录，第七十三届会议，补编第10号》(A/73/10)，附件B, 第5段。 |
| Paragraph 14 of the 2018 syllabus provides, in part: “This topic deals only with the legal implications of sea-level rise. It does not deal with protection of environment, climate change per se, causation, responsibility and liability. | 2018年的提纲第14段主要规定：“本专题仅涉及海平面上升的法律影响，不涉及环境保护、气候变化本身、因果关系、责任和义务。 |
| It does not intend to provide a comprehensive and exhaustive scoping of the application of international law to the questions raised by sea-level rise, but to outline some key issues. | 本专题无意就海平面上升引起的问题全面而详尽地划定国际法的适用范围，只想概述一些关键的问题。 |
| The three areas to be examined should be analysed only within the context of sea-level rise notwithstanding other causal factors that may lead to similar consequences. | 虽然还有其他诱因可能造成类似后果，但是对于要探讨的三个方面，应该仅在海平面上升的背景下加以分析。 |
| Due attention should be paid, where possible, to distinguish between consequences related to sea-level rise and those from other factors. | 如有可能，应注意区分与海平面上升有关的后果和其他因素造成的后果。 |
| This topic will not propose modifications to existing international law, such as the 1982 United Nations Convention on the Law of the Sea. | 本专题不会对1982年《联合国海洋法公约》等现行国际法提出修正建议。 |
| Other questions may arise in the future requiring analysis.” | 今后可能会出现其他需要分析的问题。 |
| Eleven delegations, out of the 25 that made statements on the Commission’s work, expressed appreciation for the first issues paper: Belize, on behalf of the Alliance of Small Island States; Fiji, on behalf of the Pacific small island developing States; Maldives; | ” 在25个就委员会的工作发言的代表团中，有11个代表团对第一份问题文件表示赞赏：伯利兹代表小岛屿国家联盟、斐济代表太平洋小岛屿发展中国家、马尔代夫、密克罗尼西亚联邦、新西兰、巴布亚新几内亚、葡萄牙、所罗门群岛、汤加、土耳其、图瓦卢代表太平洋岛屿论坛国家。 |
| the Federated States of Micronesia; New Zealand; Papua New Guinea; | 有三个代表团提到了第一份问题文件：大韩民国、塞拉利昂和美利坚合众国。 |
| Portugal; Solomon Islands; Tonga; Turkey; | |
| and Tuvalu, on behalf of the Pacific Islands Forum States. Three delegations made reference to the first issues paper: the Republic of Korea, Sierra Leone and the United States of America. | 《维也纳条约法公约》(1969年5月23日，维也纳)，联合国，《条约汇编》，第1155卷，第18232号，第331页。 |
| Vienna Convention on the Law of Treaties (Vienna, 23 May 1969), United Nations, Treaty Series, vol. 1155, No. 18232, p. 331. | 《联合国海洋法公约》(1982年12月10日，蒙特哥湾)，同上，第1833卷，第31363号，第3页。 |
| United Nations Convention on the Law of the Sea (Montego Bay, 10 December 1982), ibid., vol. 1833, No. 31363, p. 3. | 大陆架案(突尼斯/阿拉伯利比亚民众国)，判决，《1982年国际法院案例汇编》，第18页； |
| Continental Shelf (Tunisia/Libyan Arab Jamahiriya), Judgment, I.C.J. Reports 1982, p. 18; Continental Shelf (Libyan Arab Jamahiriya/Malta), Judgment, I.C.J. Reports 1985, p. 13; | 大陆架案(阿拉伯利比亚民众国/马耳他)，判决，《1985年国际法院案例汇编》，第13页； |
| Case concerning the delimitation of the maritime boundary between Guinea and Guinea-Bissau, Award of 14 February 1985, United Nations, Reports of International Arbitral Awards, vol. XIX, part IV, pp. 149–196 (in French; | 几内亚和几内亚比绍海洋疆界划界案，1985年2月14日的裁决，联合国，《国际仲裁裁决汇编》，第十九卷，第四部分，第149-196页(法文版； |
| English version available in International Law Materials, vol. 25 (1986), pp. 251–306); | 英文版载于《国际法材料》，第25卷(1986年)，第251-306页)； |
| Case concerning the delimitation of the maritime boundary between Guinea-Bissau and Senegal, Decision of 31 July 1989, United Nations, Reports of International Arbitral Awards, vol. XX, part II, pp. 119–213; | 几内亚比绍和塞内加尔海洋疆界划界案，1989年7月31日的决定，联合国，《国际仲裁裁决汇编》，第二十卷，第二部分，第119-213页； |
| Land and Maritime Boundary between Cameroon and Nigeria (Cameroon v. Nigeria: Equatorial Guinea intervening), Judgment, I.C.J. Reports 2002, p. 303; | 喀麦隆和尼日利亚陆地和海洋疆界案(喀麦隆诉尼日利亚：赤道几内亚参加诉讼)，判决，《2002年国际法院案例汇编》，第303页； |
| Delimitation of the Maritime Boundary in the Atlantic Ocean (Ghana/Côte d’Ivoire), Judgment, ITLOS Reports 2017, p. 4; | 大西洋海洋划界案(加纳/科特迪瓦)，判决，《2017年海洋法法庭案例汇编》，第4页； |
| and Maritime Delimitation in the Indian Ocean (Somalia v. Kenya), Preliminary Objections, Judgment, I.C.J. Reports 2017, p. 3. | 印度洋海洋划界案(索马里诉肯尼亚)，初步反对意见，判决，《2017年国际法院案例汇编》，第3页。 |
| Official Records of the General Assembly, Seventy-third Session, Supplement No. 10 (A/73/10), chapter V, section E, conclusion 9. | 《大会正式记录，第七十三届会议，补编第10号》(A/73/10)，第五章，E节，结论9。 |
| International Law and Sea Level Rise: Report of the International Law Association Committee on International Law and Sea Level Rise, D. Vidas, et al. (eds.), Brill, Leiden, 2019, pp. 66–67. | International Law and Sea Level Rise: Report of the International Law Association Committee on International Law and Sea Level Rise, D. Vidas, et al. (eds.), Brill, Leiden, 2019, pp. 66–67. |
| Maritime Delimitation in the Caribbean Sea and the Pacific Ocean (Costa Rica v. Nicaragua) and Land Boundary in the Northern Part of Isla Portillos (Costa Rica v. Nicaragua), Judgment, I.C.J. Reports 2018, p. 139. | 加勒比海和太平洋海洋划界案(哥斯达黎加诉尼加拉瓜)和波蒂略岛北部的陆地边界案(哥斯达黎加诉尼加拉瓜)，判决，《2018年国际法院案例汇编》，第139页。 |
| Convention on the Territorial Sea and the Contiguous Zone (Geneva, 29 April 1958), United Nations, Treaty Series, vol. 516, No. 7477, p. 205; | 《领海及毗连区公约》(1958年4月29日，日内瓦)，联合国，《条约汇编》，第516卷，第7477号，第205页； |
| Convention on the High Seas (Geneva, 29 April 1958), ibid., vol. 450, No. 6465, p. 11; | 《公海公约》(1958年4月29日，日内瓦)，同上，第450卷，第6465号，第11页； |
| Convention on the Continental Shelf (Geneva, 29 April 1958), ibid., vol. 499, No. 7302, p. 311; | 《大陆架公约》(1958年4月29日，日内瓦)，同上，第499卷，第7302号，第311页； |
| and Convention on Fishing and Conservation of the Living Resources of the High Seas (Geneva, 29 April 1958), ibid., vol. 559, No. 8164, p. 285. | 以及《捕鱼及养护公海生物资源公约》(1958年4月29日，日内瓦)，同上，第559卷，第8164号，第285页。 |
| The South China Sea Arbitration between the Republic of the Philippines and the People’s Republic of China, Award of 12 July 2016, Arbitral Tribunal, Permanent Court of Arbitration, United Nations, Reports of International Arbitral Awards, vol. XXXIII, p. 166. | 菲律宾共和国和中华人民共和国之间的南海仲裁案，2016年7月12日的裁决，仲裁庭，常设仲裁法院，联合国，《国际仲裁裁决报告》，第三十三卷，第166页。 |
| These suggestions included a proposal to amend the title of the topic to read: “Sea-level rise and international law”. | 这些建议包括将专题标题修改为：“海平面上升与国际法”。 |
| Official Records of the General Assembly, Seventy-fourth Session, Supplement No. 10 (A/74/10), paras. 265–273. | 《大会正式记录，第七十四届会议，补编第10号》(A/74/10)，第265-273段。 |
| See also paragraphs 245 and 246 above. | 另见上文第245和第246段。 |
| See also paragraph 0296 below. | 另见下文第296段。 |
| The guiding questions proposed by the Co-Chairs were as follows: (1) What other sources of law should the Study Group examine in relation to the topic? | 共同主席提出的指导性问题如下：(1) 研究组应就该专题审查其他哪些法律渊源？ |
| For example, it was suggested that, in addition to the United Nations Convention on the Law of the Sea, there are other “treaties to be considered, multilateral and bilateral, concerning a whole range of aspects of the law of the sea, involving different zones that could be affected by sea-level rise. | 例如，有人建议，除《联合国海洋法公约》外，还有其他“需要审议的多边和双边条约，涉及海洋法的各个方面，涉及可能受海平面上升影响的不同地区。 |
| These treaties need to be interpreted, including in the light of subsequent practice. | 这些条约需要予以解释，包括需要参照嗣后实践予以解释。 |
| ” Beyond the 1958 Geneva Conventions, such treaties need to be identified. | ”除了1958年的日内瓦各项公约之外，还需要查明这些条约。 |
| It was also suggested that the Study Group look to other rules of general international law that can be relevant in the new context. | 还有人建议研究组研究在新的背景下可能相关的其他一般国际法规则。 |
| Indeed, this would be an important issue to examine. | 的确，这将是一个需要研究的重要问题。 |
| From this perspective, the Co-Chairs would appreciate an indication on which such other rules could be. | 从这一角度来看，共同主席希望大家能说明哪些其他规则可予以研究。 |
| It was further suggested that the Study Group examine norms of international customary law not included in the United Nations Convention on the Law of the Sea, so it would be very useful to point out which such norms should be taken into account; | 另有人建议研究组审查《联合国海洋法公约》没有列入的习惯国际法规范，因此最好能说明应考虑哪些此类规范； |
| (2) What specific aspects of the question of charts and navigation maps should be examined and how? | (2) 海图和导航图问题的哪些具体方面应该审查以及如何审查？ |
| (3) Is there a need for additional scientific input into the work of the Study Group? | (3) 研究组的工作是否需要更多的科学投入？ |
| Which aspects and how to reconcile examining different causes of sea-level rise and effects with the limitation of the mandate that the Study Group cannot examine “causation”?; | 审查海平面上升及其影响的不同原因与研究组不能审查“因果关系”的任务限制有哪些方面，两者如何调和？ |
| (4) Is there a need for more technical studies of the impacts of sea-level rise on baselines, outer limits of maritime zones measured therefrom, and offshore features? | (4) 是否需要对海平面上升对基线的影响、由此测量的海域的外部界限和近海地貌进行更多的技术研究？ |
| If so, how should this be done? | 如果是的话，应该如何做？ |
| Should the Study Group examine different scenarios from a purely technical perspective?; | 研究组是否应纯粹从技术角度研究不同的情形？ |
| (5) Should the Study Group engage in an analysis of sea-level rise as suggested by a member who expressed an interest for a “discussion of the interests of those States that stand to gain from sea-level rise due to the loss by other States of their existing rights and the increase of the surface area of the high seas”?; | (5) 一位成员表示有兴趣“讨论因其他国家丧失现有权利并因公海表面积增加而将从海平面上升中获益的国家的利益”，研究组应否按此建议对海平面上升问题进行分析？ |
| (6) On the issue of legal stability and predictability, the question was raised as to whether it deserves more thorough discussion. | (6) 关于法律稳定性和可预见性问题，有人问此问题是否值得更深入的讨论。 |
| The question is which aspects should this be studied and how?; | 问题是，应该研究哪些方面，如何研究？ |
| (7) Several members invoked the principle of equity, an issue also raised by many States. | (7) 几位成员援引公平原则，这也是许多国家提出的问题。 |
| Should equity be an important factor for the Study Group to take into account in its analysis of the consequences of sea-level rise and finding solutions? | 公平应否是研究组在分析海平面上升的后果和寻找解决办法时要考虑的一个重要因素？ |
| What is understood by “equity” by the Study Group? | 研究组对“公平”如何理解？ |
| What other policy considerations could be considered in favour of the preservation of baselines over ambulatory or vice versa (points raised by two members)?; | 更倾向于保持基线而非移动基线，或反之，有哪些其他政策因素可予以考虑(两位成员提出的一点)？ |
| (8) It was suggested that there may be “a continuum of possibilities” between the options (ambulatory/permanency approaches) and all of them should be explored. | (8) 有人认为，各种选项(移动基线/永久基线方法)之间可能存在“一系列可能性”，所有可能性都应加以探讨。 |
| The Co-Chairs would appreciate an indication on what such possibilities could be; | 共同主席希望大家能说明可能有哪些此类可能性； |
| (9) As suggested by a member, should the Study Group engage in examining ways in which “to distinguish the construction of artificial islands for preservation from that to create artificial entitlement”?; | (9) 研究组应否如一位成员所建议，研究如何“区分为保护目的建造人工岛屿和为人为创造权利而建造人工岛屿的情况”？ |
| (10) Several members indicated the need to study further article 62 of Vienna Convention on the Law of Treaties (rebus sic stantibus) and whether it would apply to maritime boundaries agreed to by treaties. | (10) 几位成员表示，需要进一步研究《维也纳条约法公约》第六十二条(情势变迁原则)以及该条是否适用于条约商定的海洋边界。 |
| In addition to the impacts of sea-level rise on valid maritime boundary agreements, another issue for the consideration of the Study Group could be the impact of sea-level rise in an ambulatory baseline scenario to maritime delimitation cases that have been adjudicated by the International Court of Justice, the International Tribunal for the Law of the Sea or arbitral tribunals. | 除了海平面上升对有效的海洋边界协定的影响外，研究组可审议的另一个问题是移动基线情形中的海平面上升对国际法院、国际海洋法法庭或仲裁庭已判定的海洋划界案件的影响。 |
| Would the principle of res judicata apply? | 既判力原则是否适用？ |
| What other principles might apply? | 还有什么其他原则可能适用？ |
| Or would there be an obligation to re-open settled cases? | 或者是否有义务重新审理已结案的案件？ |
| What impact would this have on “stability, security and predictability”?; | 这对“稳定性、安全性和可预测性”有何影响？ |
| (11) How to approach the issue of the effects of sea-level rise on existing claims to the entitlement to maritime spaces in the case of future maritime delimitations (see paragraph 141 (f) of the first issues paper)?; | (11) 未来海洋划界时，如何处理海平面上升对现有海域权利主张的影响问题(见第一份问题文件第141(f)段)？ |
| (12) What would be the benefits of conducting a study on the law of river delimitations as proposed by a member?; | (12) 一位成员建议对河流划界法进行研究，这样做有何好处？ |
| (13) Should the Study Group develop a list of priority issues to be examined?; | (13) 研究组应否制订一份须优先审议的事项清单？ |
| (14) Questions to the Co-Chair who reviewed the practice and laws of African States for further study; | (14) 供已审查了非洲国家的实践和法律的共同主席进一步研究的问题； |
| and (15) Study of practice of other regions (Asia, Europe, Latin America) needed. | (15) 需要研究其他区域(亚洲、欧洲、拉丁美洲)的实践。 |
| The Co-Chairs would appreciate members assuming such tasks (as already performed by two members). | 共同主席希望各位成员承担此类任务(已由两位成员承担)。 |
| United Nations, Treaty Series, vol. 1833, No. 31363, p. 3. | 联合国，《条约汇编》，第1833卷，第31363号，第3页。 |
| Convention on the Territorial Sea and the Contiguous Zone (Geneva, 29 April 1958), United Nations, Treaty Series, vol. 516, No. 7477, p. 205; | 《领海及毗连区公约》(1958年4月29日，日内瓦)，联合国，《条约汇编》，第516卷，第7477号，第205页； |
| Convention on the High Seas (Geneva, 29 April 1958), ibid., vol. 450, No. 6465, p. 11; | 《公海公约》(1958年4月29日，日内瓦)，同上，第450卷，第6465号，第11页； |
| Convention on the Continental Shelf (Geneva, 29 April 1958), ibid., vol. 499, No. 7302, p. 311; | 《大陆架公约》(1958年4月29日，日内瓦)，同上，第499卷，第7302号，第311页； |
| and Convention on Fishing and Conservation of the Living Resources of the High Seas (Geneva, 29 April 1958), ibid., vol. 559, No. 8164, p. 285. | 《捕鱼及养护公海生物资源公约》(1958年4月29日，日内瓦)，同上，第559卷，第8164号，第285页。 |
| The Antarctic Treaty (Washington D.C., 1 December 1959), United Nations, Treaty Series, vol. 402, No. 5778, p. 71. | 《南极条约》(1959年12月1日，华盛顿特区)，联合国，《条约汇编》，第402卷，第5778号，第71页。 |
| Protocol on Environmental Protection to the Antarctic Treaty (Madrid, 4 October 1991), ibid., | 《南极条约环境保护议定书》(1991年10月4日，马德里)，同上，第2941卷，第3页。 |
| vol. 2941, p. 3. Convention on the Protection of the Underwater Cultural Heritage (Paris, 12 November 2001), ibid., vol. 2562, part I, No. 45694, p. 3. | 《保护水下文化遗产公约》(2001年11月12日，巴黎)，同上，第2562卷，第一部分，第45694号，第3页。 |
| Yearbook … 1998, vol. II (Part Two), para. 553. | 《1998年…年鉴》，第二卷(第二部分)，第553段。 |
| Official Records of the General Assembly, Sixty-third Session, Supplement No. 10 (A/63/10). | 《大会正式记录，第六十三届会议，补编第10号》(A/63/10)。 |
| Ibid., Sixty-fourth Session, Supplement No. 10 (A/64/10), para. 231; | 同上，《第六十四届会议，补编第10号》(A/64/10)，第231段； |
| ibid., Sixty-fifth Session, Supplement No. 10 (A/65/10), paras. 390–393; | 同上，《第六十五届会议，补编第10号》(A/65/10)，第390-393段； |
| ibid., Sixty-sixth Session, Supplement No. 10 (A/66/10), paras. 392–398; | 同上，《第六十六届会议，补编第10号》(A/66/10)，第392-398段； |
| ibid., Sixty-seventh Session, Supplement No. 10 (A/67/10), paras. 274–279; | 同上，《第六十七届会议，补编第10号》(A/67/10)，第274-279段； |
| ibid., Sixty-eighth Session, Supplement No. 10 (A/68/10), paras. 171–179; | 同上，《第六十八届会议，补编第10号》(A/68/10)，第171-179段； |
| ibid., Sixty-ninth Session, Supplement No. 10 (A/69/10), paras. 273–280; | 同上，《第六十九届会议，补编第10号》(A/69/10)，第273-280段； |
| ibid., Seventieth Session, Supplement No. 10 (A/70/10), paras. 288–295; | 同上，《第七十届会议，补编第10号》(A/70/10)，第288-295段； |
| ibid., Seventy-first Session, Supplement No.10 (A/71/10), paras. 314–322; | 同上，《第七十一届会议，补编第10号》(A/71/10)，第314-322段； |
| ibid., Seventy-second Session, Supplement No. 10 (A/72/10), paras. 269–278; | 同上，《第七十二届会议，补编第10号》(A/72/10)，第269-278段； |
| ibid., Seventy-third Session, Supplement No. 10 (A/73/10), paras. 372–380; | 同上，《第七十三届会议，补编第10号》(A/73/10)，第372-380段； |
| ibid., Seventy-fourth Session, Supplement No. 10 (A/74/10), paras. 293–301. | 同上，《第七十四届会议，补编第10号》(A/74/10)，第293-301段。 |
| General Assembly resolution 67/1 of 30 November 2012 on the Declaration of the high-level meeting of the General Assembly on the rule of law at the national and international levels, para. 41. | 联大关于《国内和国际的法治问题大会高级别会议宣言》的2012年11月30日第67/1号决议，第41段。 |
| Report of the Secretary-General on measuring the effectiveness of the support provided by the United Nations system for the promotion of the rule of law in conflict and post-conflict situations, S/2013/341, 11 June 2013, para. 70. | 秘书长关于衡量联合国系统在冲突中和冲突后支持促进法治的效力的报告，S/2013/341, 2013年6月11日，第70段。 |
| General Assembly resolution 70/1 of 21 October 2015, para. 35. | 联大2015年10月21日第70/1号决议，第35段。 |
| General Assembly resolution 75/141 of 15 December 2020 on the rule of law at the national and international levels, paras. 2 and 19. | 联大2020年12月15日关于国内和国际的法治的第75/141号决议，第2段和第19段。 |
| Ibid., para. 8. | 同上，第8段。 |
| See more specifically Official Records of the General Assembly, Seventieth Session, Supplement No. 10 (A/70/10), para. 294. | 具体见《大会正式记录，第七十届会议，补编第10号》(A/70/10), 第294段。 |
| See ibid., Fifty-seventh Session, Supplement No. 10 (A/57/10), paras. 525–531; | 见同上，《第五十七届会议，补编第10号》(A/57/10)，第525-531段； |
| ibid., Fifty-eighth Session, Supplement No. 10 (A/58/10), para. 447; | 同上，《第五十八届会议，补编第10号》(A/58/10)，第447段； |
| ibid., Fifty-ninth Session, Supplement No. 10 (A/59/10), para. 369; | 同上，《第五十九届会议，补编第10号》(A/59/10)，第369段； |
| ibid., Sixtieth Session, Supplement No. 10 (A/60/10), para. 501; | 同上，《第六十届会议，补编第10号》(A/60/10)，第501段； |
| ibid., Sixty-first Session, Supplement No. 10 (A/61/10), para. 269; | 同上，《第六十一届会议，补编第10号》(A/61/10)，第269段； |
| ibid., Sixty-second Session, Supplement No. 10 (A/62/10), para. 379; | 同上，《第六十二届会议，补编第10号》(A/62/10)，第379段； |
| ibid., Sixty-third Session, Supplement No. 10 (A/63/10), para. 358; | 同上，《第六十三届会议，补编第10号》(A/63/10)，第358段； |
| ibid., Sixty-fourth Session, Supplement No. 10 (A/64/10), para. 240; | 同上，《第六十四届会议，补编第10号》(A/64/10)，第240段； |
| ibid., Sixty-fifth Session, Supplement No. 10 (A/65/10), para. 396; | 同上，《第六十五届会议，补编第10号》(A/65/10)，第396段； |
| ibid., Sixty-sixth Session, Supplement No. 10 (A/66/10), para. 399; | 同上，《第六十六届会议，补编第10号》(A/66/10)，第399段； |
| ibid., Sixty-seventh Session, Supplement No. 10 (A/67/10), para. 280; | 同上，《第六十七届会议，补编第10号》(A/67/10)，第280段； |
| ibid., Sixty-eighth Session, Supplement No. 10 (A/68/10), para. 181; | 同上，《第六十八届会议，补编第10号》(A/68/10)，第181段； |
| ibid., Sixty-ninth Session, Supplement No. 10 (A/69/10), para. 281; | 同上，《第六十九届会议，补编第10号》(A/69/10)，第281段； |
| ibid., Seventieth Session, Supplement No. 10 (A/70/10), para. 299; | 同上，《第七十届会议，补编第10号》(A/70/10)，第299段； |
| ibid., Seventy-first Session, Supplement No. 10 (A/71/10), para. 333; | 同上，《第七十一届会议，补编第10号》(A/71/10)，第333段； |
| ibid., Seventy-second Session, Supplement No. 10 (A/72/10), para. 282; | 同上，《第七十二届会议，补编第10号》(A/72/10)，第282段； |
| ibid., Seventy-third Session, Supplement No. 10 (A/73/10), para. 382; | 同上，《第七十三届会议，补编第10号》(A/73/10)，第382段； |
| and ibid., Seventy-fourth Session, Supplement No. 10 (A/74/10), para. 302. | 同上，《第七十四届会议，补编第10号》(A/74/10)，第302段。 |
| For considerations relating to page limits on the reports of Special Rapporteurs, see, for example, Yearbook … 1977, vol. II (Part Two), p. 132, and Yearbook … 1982, vol. II (Part Two), pp. 123–124. | 关于对特别报告员报告页数限制的考虑因素，例见《1977年…年鉴》，第二卷(第二部分)，第132页，和《1982年…年鉴》，第二卷(第二部分)，第123-124页。 |
| See also General Assembly resolution 32/151 of 9 December 1977, para. 10, and General Assembly resolution 37/111 of 16 December 1982, para. 5, as well as subsequent resolutions on the annual reports of the Commission to the General Assembly. | 另见联大1977年12月9日第32/151号决议第10段和联大1982年12月16日第37/111号决议第5段，以及之后关于委员会向联大提交年度报告的决议。 |
| http://legal.un.org//ilc. | http://legal.un.org//ilc. |
| In general, available from: http://legal.un.org/cod/. | 一般可查阅：http://legal.un.org/cod/。 |
| http://legal.un.org/avl/intro/welcome_avl.html. | http://legal.un.org/avl/intro/welcome_avl.html. |
| The statement is recorded in the summary record of that meeting. | 发言载于该次会议简要记录。 |
| Statute of the International Court of Justice art. 38 ¶ 1, U.N. Charter, Annex I, at 21-30 (1945). | 《国际法院规约》第三十八条第一款，《联合国宪章》，附件一，第21-30页(1945年)。 |
| Vienna Convention on the Law of Treaties, May 23, 1969, 1155 U.N.T.S. 331; | 《维也纳条约法公约》，1969年5月23日，联合国，《条约汇编》，第1155卷，第331页。 |
| Vienna Convention on the Succession of States in Respect of Treaties, Aug. 23, 1978, 1946 U.N.T.S. 3; | 《关于国家在条约方面的继承的维也纳公约》，1978年8月23日，联合国，《条约汇编》，第1946卷，第3页； |
| and Vienna Convention on the Law of Treaties Concluded Between States and International Organizations, or between International Organization, Mar. 21, 1986, 1155 U.N.T.S 331. | 以及《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》，1986年3月21日，联合国，《条约汇编》，第1155卷，第331页。 |
| See generally Int’l Law Comm’n, About the Commission, available at https://legal.un.org/ilc/ (last accessed July 27, 2021)(The Commission’s related works include: the law of treaties (1949–1966); | 一般见国际法委员会，“关于委员会”，可查阅https://legal.un.org/ilc/(最后一次查阅，2021年7月27日)(委员会的相关工作包括：条约法(1949-1966年)； |
| reservations to multilateral conventions (1951); | 对多边公约的保留(1951年)； |
| succession of States in respect of treaties (1968–1974); | 条约方面的国家继承(1968-1974年)； |
| treaties concluded between States and international organizations (1970–1982); | 国家与国际组织之间缔结的条约(1970-1982年)； |
| reservations to treaties (1993–2011); | 对条约的保留(1993-2011年)； |
| effects of armed conflicts on treaties (2004–2011); | 武装冲突对条约的影响(2004-2011年)； |
| unilateral acts of States (1996–2006); | 国家的单方面行为(1996-2006年)； |
| subsequent agreements and subsequent practice in relation to the interpretation of treaties, previously treaties over time (2008–2018); | 与条约解释相关的嗣后协定和嗣后实践(前身为“条约随时间演变”)(2008-2018年)； |
| provisional application of treaties (2012–2021); | 条约的暂时适用(2012-2021年)； |
| Jus cogens, now Peremptory Norms of General International Law (Jus Cogens)(2015–present)). | 强行法，现为一般国际法强制性规范(强行法)(2015年至今)。 |
| Int’l Law Comm’n, Rep. on the Work of its Thirty-fourth Session, U.N. Doc. A/37/10 at 12–63 (1982). | 国际法委员会第三十四届会议工作报告，联合国文件A/37/10, 第12-63页(1982年)。 |
| Int’l Law Comm’n, Rep. on the Work of its Sixty-third Session, U.N. Doc. | 国际法委员会第六十三届会议工作报告，联合国文件A/66/10, 第23页(2011年)。 |
| A/66/10 at 23 (2011). | 同上。 |
| Id. at 106. | 见第106页。 |
| Int’l Law Comm’n, Rep. on the Work of its Fifty-eighth Session, U.N. Doc. A/61/10 at 159–167 (2006). | 国际法委员会第五十八届会议工作代表，联合国文件A/61/10, 第159-167页(2006年)。 |
| Int’l Law Comm’n, Rep. on the Work of its Seventieth Session, U.N. Doc. | 国际法委员会第七十届会议工作报告，联合国文件A/73/10, 第11页(2018年)。 |
| A/73/10 at 11 (2018). | 同上。 |
| Id. at 201. | 见第201页。 |
| Int’l Law Comm’n, Rep. on the Work of its Seventy-first Session, U.N. Doc. A/74/10 at 141 (2019). | 国际法委员会第七十一届会议工作报告，联合国文件A/74/10, 第141页(2019年)。 |
| Int’l Law Comm’n, Provisional summary record of the 3132nd meeting, U.N. Doc. A/CN.4/SR.3132 at 22 (May 22, 2012). | 国际法委员会，第3132次会议临时简要记录，联合国文件A/CN.4/SR.3132, 第22页(2012年5月22日)。 |
| Int’l Law Comm’n, Rep. on the Work of its Seventieth Session, U.N. Doc. A/73/10 at 119 (2018). | 国际法委员会第七十届会议工作报告，联合国文件A/73/10, 第119页(2018年)。 |
| See G.A. Res. 73/203 1, ¶ ¶ 4 (Dec. 20, 2018). | 见联大第73/203号决议，第1和第4段(2018年12月20日)。 |
| Int’l Law Comm’n, Provisional summary record of the 3433rd meeting, U.N. Doc. A/CN.4/SR.3433 at 3 (July 19, 2018). | 国际法委员会，第3433次会议临时简要记录，联合国文件A/CN.4/SR.3433, 第3页(2018年7月19日)。 |
| Statute of the International Court of Justice art. 38 ¶ 1(c), U.N. Charter, Annex I, at 21-30 (1945). | 《国际法院规约》第三十八届第一款(寅)项，《联合国宪章》，附件一，第21-30页(1945年)。 |
| Marcelo Vázquez-Bermúdez (Special Rapporteur for general principles of law), First report on general principles of law, U.N. Doc. A/CN.4/732 (Apr. 5, 2019); | 马塞洛·巴斯克斯－贝穆德斯(一般法律原则特别报告员)，关于一般法律原则的第一次报告，联合国文件A/CN.4/732(2019年4月5日)； |
| Marcelo Vázquez-Bermúdez (Special Rapporteur for general principles of law), Second report on general principles of law, U.N. Doc. A/CN.4/741 (Apr. 9, 2020); | 马塞洛·巴斯克斯－贝穆德斯(一般法律原则特别报告员)，关于一般法律原则的第二次报告，联合国文件A/CN.4/741(2020年4月9日)； |
| See also U.N. Secretariat, General principles of law, Memorandum by the Secretariat, Int’l Law Comm’n, U.N. Doc. A/CN.4/742, (May 12, 2020). | 另见联合国秘书处，关于一般法律原则的秘书处备忘录，国际法委员会，联合国文件A/CN.4/742 (2020年5月12日)。 |
| See Int’l Law Comm’n, Daily Bulletin Seventy-second Session (2021), available at https://legal.un.org/ilc/sessions/72/bulletin.shtml (last accessed July 30, 2021) (The plenary debate on the topic general principles of law began with the special rapporteur’s introduction on July 12, 2021 during the Commission’s 3,536th meeting, and concluded with a referral to the drafting committee on July 21, 2021 during the Commission’s 3,546th meeting.) | 见国际法委员会，《第七十二届会议每日简讯》(2021年)，可从以下网址查阅：https://legal.un.org/ilc/sessions/72/bulletin.shtml(最后一次查阅，2021年7月30日)(关于一般法律原则专题的全体辩论始于特别报告员2021年7月12日在委员会第3536次会议上的介绍，结束于2021年7月21日委员会第3546次会议将案文转交起草委员会。) |
| See Int’l Law Comm’n, Rep. on the Work of its Seventieth Session, U.N. Doc. A/73/10 at 119-122 (2018). | 见国际法委员会第七十届会议工作报告，联合国文件A/73/10, 第119-122页(2018年)。 |
| See Int’l Law Comm’n, Rep. on the Work of its Seventy-first Session, U.N. Doc. A/74/10 at 329 (2019). | 见国际法委员会第七十一届会议工作报告，联合国文件A/74/10, 第329页(2019年)。 |
| [1997] 2 Y.B. Int’l L. Comm’n 1, at 71–71 ¶ 238, U.N. Doc. A/CN.4/SER.A/1997/Add.1; | 《1997年国际法委员会年鉴》第二卷第二部分，见第71-72页，第238段，联合国文件A/CN.4/SER.A/1997/Add.1； |
| [1998] 2 Y.B. Int’l L. Comm’n 1, at 110 553, U.N. Doc. A/CN.4/SER.A/1998/Add.1 (1998). | 《1998年国际法委员会年鉴》第二卷第二部分，见第110页，第553段，联合国文件A/CN.4/SER.A/1998/Add.1(1998年)。 |
| Id.; | 同上； |
| See also Int’l Law Comm’n, Rep. on the work of its Fifty-second Session, U.N. Doc. A/55/10 at 131 ¶ 728 (2000). | 另见国际法委员会第五十二届会议工作报告，联合国文件A/55/10, 第131页，第728段(2000年)。 |
| [1998] 2 Y.B. Int’l L. Comm’n 1, at 110 ¶ 553, U.N. Doc. A/CN.4/SER.A/1998/Add.1 (1998)(“The Commission further agreed that it should not restrict itself to traditional topics, but could also consider those that reflect new developments in international law and pressing concerns of the international community as a whole.”). | 《1998年国际法委员会年鉴》第二卷第二部分，见第110页，第553段，联合国文件A/CN.4/SER.A/1998/Add.1(1998年)。 (“委员会不应局限于传统专题，也可考虑反映国际法新动态和整个国际社会紧迫关切事项的专题。 ”) |
| See Sandesh Sivakumaran, The Influence of Teachings of Publicists on the Development of International Law, 66 Int’l & Comp. L. Q.1 (2017); | 见Sandesh Sivakumaran, The Influence of Teachings of Publicists on the Development of International Law, 66 Int’l & Comp. L. Q.1 (2017)； |
| See also Sondre T. Helmersen, Scholarly Judicial Dialogue in International Law, 16 L. & Pract. of Int’l Cts. & Trib. 464 (2017). | 另见Sondre T. Helmersen, Scholarly Judicial Dialogue in International Law, 16 L. & Pract. of Int’l Cts. & Trib. 464 (2017)。 |
| For a thoughtful new monograph on teachings, see Sondre T. Helmersen, The Application of Teachings by the International Court of Justice (Cambridge Univ. Press, 2021). | 欲参考学说方面有思想的新专著，见Sondre T. Helmersen, The Application of Teachings by the International Court of Justice (Cambridge Univ. Press, 2021)。 |
| Robert Y. Jennings, International Lawyers and the Progressive Development of International Law, in Theory of International Law at the Threshold of the 21st Century, 413-24 (J. Makarczyk ed., 1996). | Robert Y. Jennings, International Lawyers and the Progressive Development of International Law, in Theory of International Law at the Threshold of the 21st Century, 413-24 (J. Makarczyk ed., 1996). |
| Aldo Z. Borda, A Formal Approach to Article 38(1)(d) of the ICJ Statute from the Perspective of the International Criminal Courts and Tribunals, 24 Eur. J. Int’l L. 649, 652 (2013); | Aldo Z. Borda, A Formal Approach to Article 38(1)(d) of the ICJ Statute from the Perspective of the International Criminal Courts and Tribunals, 24 Eur. J. Int’l L. 649, 652 (2013); |
| O. J. Lissitzyn, Reviewed Work: International Law. Vol. 1 (3rd ed.): International Law as Applied by International Courts and Tribunals by Georg Schwarzenberger, 53 Am. J. Int’l. | O. J. Lissitzyn, Reviewed Work: International Law. Vol. 1 (3rd ed.): International Law as Applied by International Courts and Tribunals by Georg Schwarzenberger, 53 Am. J. Int’l. L. 197 (1959). |
| L. 197 (1959). Id. at 653 (citing Schwarzenberger). | 同上，第653页(引述施瓦岑贝格尔)。 |
| See Sienho Yee, Article 37 of the ICJ Statute and Applicable Law: Selected Issues in Recent Cases, 7 J. Int. Disp. Settlement 472 (2016). | 见Sienho Yee, Article 37 of the ICJ Statute and Applicable Law: Selected Issues in Recent Cases, 7 J. Int. Disp. Settlement 472 (2016)。 |
| See Int’l Ct. of Justice, Handbook of the International Court of Justice, at 98-100, U.N. Sales No. 1055 (2016), available at https://www.icj-cij.org/files/publications/handbook-of-the-court-en.pdf (last accessed July 27, 2021)(Indeed, as far back as 1949, the ICJ recognized such a “new situation” in relation to the UN Charter in its Advisory Opinion on Reparation for Injuries Suffered in the Service of the United Nations, Advisory Opinion, ICJ Reports 1949)(“The Court is here faced with a new situation. | 见国际法院，《国际法院手册》，第98-100页，联合国出售品编号1055(2016)，可查阅https://www.icj-cij.org/files/publications/handbook-of-the-court-en.pdf(2021年7月27日最后一次访问)(事实上，早在1949年，国际法院就在其“关于执行联合国职务时所受损害的赔偿问题的咨询意见”中承认了与《联合国宪章》有关的这种“新情况”，咨询意见，《1949年国际法院案例汇编》)(“法院在这里面临着一种新情况。 |
| The questions to which it gives rise can only be solved by realizing that the situation is dominated by the provisions of the Charter considered in the light of the principles of international law. | 只有认识到这种情况受制于结合国际法原则考虑的《宪章》条款，才能解决它引起的问题。 |
| ”)(Since then, in many decisions, the ICJ has expressly recognized the evolution of international law. It has stressed the importance of such evolution to the determination of the law applicable to the case in question.). | ”)(此后，国际法院在许多判例中明确承认国际法的演变，并强调了这种演变对确定适用于有关案件的法律的重要性。 )。 |
| See Int’l Ct. of Justice, Handbook of the International Court of Justice, at 77, U.N. Sales No. 1055 (2016), available at https://www.icj-cij.org/files/publications/handbook-of-the-court-en.pdf (last accessed July 27, 2021)(Concluding that “A judgment of the Court does not simply decide a particular dispute, but inevitably also contributes to the development of international law. | 见国际法院，《国际法院手册》，第77页，联合国出售品编号1055(2016)，可查阅https://www.icj-cij.org/files/publications/handbook-of-the-court-en.pdf(2021年7月27日最后一次访问)(其结论是，“法院的判决不仅决定某一特定争端，而且必然有助于国际法的发展。 |
| Fully aware of this, the Court takes account of these two objectives in preparing and drafting its judgments.”). | 法院充分认识到这一点，在编写和起草判决时考虑到这两个目标。”)。 |
| U.N. Secretariat, Identification of customary international law: 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, Memorandum by the Secretariat, Int’l Law Comm’n, U.N. Doc. A/CN.4/691 (Feb. 9, 2016). | 联合国秘书处，习惯法的识别：就确定习惯国际法而言国家法院的判决在普遍性国际法院和法庭的案例法方面发挥的作用，秘书处的备忘录，国际法委员会，联合国文件A/CN.4/691 (2016年2月9日)。 |
| See, for instance, Int’l Law Comm’n, Rep. on the Work of its Seventieth session, U.N. Doc. A/73/10 at 120-21 (2018)(Conclusions 6, 10, 13 and 14)(Encompassing, in some of these instances, both judicial decisions of national courts and the teachings of publicists). | 例如，见国际法委员会，第七十届会议工作报告，联合国文件A/73/10, 第120-121页(2018年) (结论6、10、13、14)(有一些情况下，同时涉及国家法院的司法裁决和公法学家的学说)。 |
| Aldo Z. Borda, A Formal Approach to Article 38(1)(d) of the ICJ Statute from the Perspective of the International Criminal Courts and Tribunals, 24 Eur. J. Int’l L. 649, 659 (2013); | Aldo Z. Borda, A Formal Approach to Article 38(1)(d) of the ICJ Statute from the Perspective of the International Criminal Courts and Tribunals, 24 Eur. J. Int’l L. 649, 659 (2013); |
| See also L F. L. Oppenheim, The Science of International Law: Its Task and Method, 2 Am. J. Int’l L. 313 (1908). | 另见 L F. L. Oppenheim, The Science of International Law: Its Task and Method, 2 Am. J. Int’l L. 313 (1908). |
| Id. at 651. | 同上，第651页。 |
| Id. at 652. | 同上，第652页。 |
| Aldo Z. Borda, A Formal Approach to Article 38(1)(d) of the ICJ Statute from the Perspective of the International Criminal Courts and Tribunals, 24 Eur. J. Int’l L. 649, 652 (2013). | Aldo Z. Borda, A Formal Approach to Article 38(1)(d) of the ICJ Statute from the Perspective of the International Criminal Courts and Tribunals, 24 Eur. J. Int’l L. 649, 652 (2013). |
| Id. | 同上。 |
| Id. | 同上。 |
| Statute of the International Court of Justice art. 38 ¶ 1(d), U.N. Charter, Annex I, at 21–30 (1945). | 《国际法院规约》，第三十八条第一款(卯)项，《联合国宪章》，附件一，第21-30页(1945年)。 |
| Rudolf Bernhardt, Custom and Treaty in the Law of the Sea, in Recueil Des Cours: Collected Courses of the Hague Acad. of Int’l L. (Vol. 205), 247–330 (1987). | Rudolf Bernhardt, Custom and Treaty in the Law of the Sea, in Recueil Des Cours: Collected Courses of the Hague Acad. of Int’l L. (Vol. 205), 247-330 (1987). |
| Statute of the International Court of Justice art. 59, U.N. Charter, Annex I, at 21–30 (1945). | 《国际法院规约》，第五十九条，《联合国宪章》，附件一，第21-30页(1945年)。 |
| See Territorial and Maritime Dispute (Nicar. v. Col.), Judgment, 2012 I.C.J. Rep. 624, 666 ¶ 114 (Nov. 19). | 见领土和海洋争端(尼加拉瓜诉哥伦比亚)，判决，《2012年国际法院案例汇编》，第624页起，见第666页第114段(11月19日)。 |
| See Land, Island and Maritime Frontier Dispute (El Sal. v. Hond.: Nicar. intervening), Judgment, 1992 I.C.J. Rep. 351, 599 ¶ 401 (Sept. 11)(Referring to the judgment in El Sal. v. Nicar. AJIL 674 (CACJ 1917)). | 见陆地、岛屿和海上边界争端案(萨尔瓦多诉洪都拉斯：尼加拉瓜参加诉讼)，判决，《1992年国际法院案例汇编》，351页起，见第599页第401段(9月11日)(提到萨尔瓦多诉尼加拉瓜案中的判决，AJIL 674 (CACJ 1917))。 |
| See Application of the Interim Accord of 13 September 1995 (The former Yugoslav Rep. of Maced. v. Greece), Judgment, 2011 I.C.J. Rep. 644, 678-79 ¶ 109 (Dec. 5). | 见1995年9月13日《临时协议》的适用(前南斯拉夫的马其顿共和国诉希腊)，判决，《2011年国际法院案例汇编》，第644页起，见第678-79页，第109段(12月5日)。 |
| See Territorial and Maritime Dispute between Nicaragua and Honduras in the Caribbean Sea (Nicar. v. Hond.), Judgment, 2007 I.C.J. Rep. 659, 701 ¶ 133 (Oct. 8)(Referring to the award rendered on Mar. 24, 1922 by the Swiss Federal Council in Frontier Dispute between Colombia and Venezuela, I R.I.A.A. 223 (1922))(In the same case and just one paragraph later, the Court also referred to the award rendered on Jan. 23, 1933 by the Special Boundary Tribunal in Honduras Borders (Guat. v. Hond.), II RIAA 1325 (1949)). | 见尼加拉瓜和洪都拉斯在加勒比海的领土和海洋争端案(尼加拉瓜诉洪都拉斯)，判决，《2007年国际法院案例汇编》，第659页起，见第701页第133段(10月8日)(提及1922年3月24日瑞士联邦委员会就哥伦比亚和委内瑞拉之间边界争端作出的裁决，I R.I.A.A. 223 (1922))(在同一案件中，仅一段之后，国际法院还提及1933年1月23日洪都拉斯边界特别法庭的裁决(危地马拉诉洪都拉斯)II RIAA 1325 (1949))。 |
| See Case Concerning Ahmadou Sadio Diallo (Rep. of Guinea v. Dem. Rep. Congo), Compensation, 2012 ICJ Rep. 324, 331 ¶ 13 (June 19). | 见艾哈迈杜·萨迪奥·迪亚洛案(几内亚共和国诉刚果民主共和国)，补偿，《2012年国际法院案例汇编》，第324页起，见第331页，第13段(6月19日)。 |
| See Application of the Convention on the Prevention and Punishment of the Crime of Genocide (Bosn. & Herz. v. Serb. and Montenegro), Judgment, 2007 I.C.J. Rep. 43, 92 ¶ 119 (Feb. 26); | 见《防止及惩治灭绝种族罪公约》的适用案(波斯尼亚和黑塞哥维那诉塞尔维亚和黑山)，判决，《2007年国际法院案例汇编》，第43页起，见第92页第119段(2月26日)； |
| Case Concerning Ahmadou Sadio Diallo (Rep. of Guinea v. Dem. Rep. Congo), Compensation, 2012 I.C.J. Rep. 324, 331 ¶ 13 (June 19); | 艾哈迈杜·萨迪奥·迪亚洛案(几内亚共和国诉刚果民主共和国)，补偿，《2012年国际法院案例汇编》，第324页起，见第331页，第13段(6月19日)； |
| Jurisdictional Immunities of the State (Ger. v. It.: Greece intervening), Judgment, 2012 I.C.J. Rep. 99, 132 ¶ 72 (Feb. 3). | 国家的管辖豁免案(德国诉意大利：希腊参加诉讼)，判决，《2012年国际法院案例汇编》，第99页起，见第132页第72段(2月3日)。 |
| See Ahmadou Sadio Diallo (Rep. of Guinea v. Dem. Rep. Congo), Merits, Judgment, 2010 I.C.J. Rep. 639, 663-64 ¶ 66-67 (Nov. 30). | 见艾哈迈杜·萨迪奥·迪亚洛案(几内亚共和国诉刚果民主共和国)，案情实质，判决，《2010年国际法院案例汇编》，第639页起，见第663-64页第66-67段(11月30日)。 |
| Id. at 664 ¶ 67. | 同上，见第664页第67段。 |
| Id.; | 同上； |
| See also Mads Andenas and Johann R. Leiss, The Systemic Relevance of “Judicial Decisions” in Article 38 of the ICJ Statute, 77 Max-Planck-Institut für ausländisches öffentliches Recht und Völkerrecht 907–972 (2017) for a thorough discussion of article 38 and the ICJ approach to judicial decisions. | 关于第三十八条以及国际法院对司法裁决之态度的详细讨论另见Mads Andenas and Johann R. Leiss, The Systemic Relevance of “Judicial Decisions” in Article 38 of the ICJ Statute, 77 Max-Planck-Institut für ausländisches öffentliches Recht und Völkerrecht 907-972 (2017)。 |
| See Application of the Convention on the Prevention and Punishment of the Crime of Genocide (Bosn. & Herz. v. Serb. and Montenegro), Judgment, 2007 I.C.J. Rep. 43, 130 ¶ 212 (Feb. 26). | 见《防止及惩治灭绝种族罪公约》的适用案(波斯尼亚和黑塞哥维那诉塞尔维亚和黑山)，判决，《2007年国际法院案例汇编》，第43页起，见第130页第212段(2月26日)。 |
| Id. at 126 ¶ 198. | 同上，见第126页第198段。 |
| See, for example, scholarly analysis of judicial dialogue in the field of human rights law in Special Issue: Judicial Dialogue in Human Rights, edited by Elżbieta Karska and Karol Karski, 21 Int’l Com. L. Rev. 5 (2019). | 例如，关于人权法领域司法对话的学术分析见Special Issue: Judicial Dialogue in Human Rights, edited by Elżbieta Karska and Karol Karski, 21 INT’L COM. L. REV. 5 (2019)。 |
| See also L. F. L. Oppenheim, The Science of International Law: Its Task and Method, 2 Am. J. Int’l L. 313 (1908). | 另见 L. F. L. Oppenheim, The Science of International Law: Its Task and Method, 2 Am. J. Int’l L. 313 (1908)。 |
| Id. | 同上。 |
| Aldo Z. Borda, A Formal Approach to Article 38(1)(d) of the ICJ Statute from the Perspective of the International Criminal Courts and Tribunals, 24 Eur. J. Int’l L. 649, 653 (2013). | Aldo Z. Borda, A Formal Approach to Article 38(1)(d) of the ICJ Statute from the Perspective of the International Criminal Courts and Tribunals, 24 Eur. J. Int’l L. 649, 653 (2013). |
| Statute of the Special Court for Sierra Leone art. 20 ¶ 3, Jan. 16, 2002, 2178 U.N.T.S. 145. | 《塞拉利昂问题特别法庭规约》，第20条第3款，2002年1月16日，2178 U.N.T.S. 145。 |
| See Prosecutor v. Issa Hassan Sesay et. al., Case No. SCSL-04-15-T, Trial Court Judgment, at 295 (Mar. 2, 2009); | 见Prosecutor v. Issa Hassan Sesay et. al., Case No. SCSL-04-15-T, Trial Court Judgment, at 295 (Mar. 2, 2009)； |
| For commentary on the jurisprudential contributions to international criminal law by the Special Court for Sierra Leone, see Charles C. Jalloh, The Legal Legacy of the Special Court for Sierra Leone (Cambridge Univ. Press, 2020); | 关于塞拉利昂问题特别法庭对国际刑法判例之贡献的评论，见Charles C. Jalloh, The Legal Legacy of the Special Court for Sierra Leone (Cambridge Univ. Press, 2020); |
| Charles C. Jalloh, Closing Reflections on the Contributions on the SCSL’s Legal Legacy, 15 FIU L. Rev. 1, 91-95 (2021). | Charles C. Jalloh, Closing Reflections on the Contributions on the SCSL’s Legal Legacy, 15 FIU L. Rev. 1, 91-95 (2021)。 |
| For excellent commentary, see Margaret M. deGuzman, “Article 21”, in O. Triffterer and K. Ambos, eds., Rome Statute of the International Criminal Court: A Commentary (3rd ed., Munich and Oxford, C. H. Beck, Hart, Nomos, 2016) 932–948. | 精辟评论见Margaret M. deGuzman, “Article 21”, in O. Triffterer and K. Ambos, eds., Rome Statute of the International Criminal Court: A Commentary (3rd ed., Munich and Oxford, C. H. Beck, Hart, Nomos, 2016) 932–948。 |
| Concerns about fragmentation and regime conflicts have also led to debates about the unity, coherence and legitimacy of international law. | 对不成体系和制度冲突问题的关切也引发了关于国际法统一性、连贯性和合法性的辩论。 |
| See, in this regard, [2006] 2 Y.B. Int’l L. Comm’n 1, at 177-84, U.N. Doc. A/CN.4/SER.A/2006/Add.1; | 在这方面，见《2006年国际法委员会年鉴》第二卷第二部分，见第177-84页，联合国文件A/CN.4/SER.A/2006/Add.1； |
| Rep. of the Study Group of the Int’l Law Comm’n, Fragmentation of International Law: Difficulties Arising From The Diversification And Expansion Of International Law, U.N. Doc. A/CN.4.L.682 at 13–14 ¶ 13 (Apr. 13, 2006). | 国际法委员会研究组的报告，“国际法不成体系问题：国际法多样化和扩展引起的困难”，联合国文件A/CN.4.L.682, 第13-14页，第13段(2006年4月13日)。 |
| See Sandesh Sivakumaran, The Influence of Teachings of Publicists on the Development of International Law, 66 Int’l & Comp. L. Q.1 (2017); | 见Sandesh Sivakumaran, The Influence of Teachings of Publicists on the Development of International Law, 66 Int’l & Comp. L. Q.1 (2017)； |
| See also Sondre T. Helmersen, Scholarly Judicial Dialogue in International Law, 16 L. & Pract. of Int’l Cts. & Trib. 464 (2017). | 另见Sondre T. Helmersen, Scholarly Judicial Dialogue in International Law, 16 L. & Pract. of Int’l Cts. & Trib. 464 (2017)。 |
| Int’l Law Comm’n, Rep. on the Work of its Seventieth Session, U.N. Doc. A/73/10 at 113 ¶ 18 (2018)(“An agreement of all the parties to a treaty, or even only a large part of them, regarding the interpretation that is articulated in a pronouncement is often only conceivable if the absence of objections could be taken as agreement by State parties that have remained silent. | 《国际法委员会第七十届会议工作报告》，联合国A/73/10号文件，第113页，第(18)段(2018年)(“通常，如果有的缔约国保持沉默，则只将无异议视为同意，才能认为条约的所有缔约方(甚至只是大部分缔约方)对声明中表述的解释达成协定。 |
| Draft conclusion 10, paragraph 2, provides, as a general rule: ‘Silence on the part of one or more parties can constitute acceptance of the subsequent practice when the circumstances call for some reaction. | 结论草案10第2段作为一般规则规定：‘在有关情况要求作出某种反应时，一个或多个缔约方的沉默可构成对嗣后实践的接受。 |
| ’ Paragraph 3, second sentence, does not purport to recognize an exception to this general rule, but rather intends to specify and apply this rule to the typical cases of pronouncements of expert bodies.”); | ’第3段第二句不是要确认上述一般规则的例外情况，而是旨在作出说明并将这一规则适用于专家机构声明的典型情况。”)； |
| See also Georg Nolte (Special Rapporteur for subsequent practice in relation to treaty interpretation), Fourth report on subsequent agreements and subsequent practice in relation to treaty interpretation, U.N. Doc. A/CN.4/694 (Mar. 7, 2016). | 另见格奥尔格·诺尔特(与条约解释相关的嗣后实践问题特别报告员)，《关于与条约解释相关的嗣后协定和嗣后惯例的第四次报告》，联合国A/CN.4/694号文件(2016年3月7日)。 |
| The Paquete Habana, 175 U.S. 677, 20 S. Ct. 290 (1900), 686–700. | Paquete Habana号渔船案，175 U.S. 677、20 S. Ct. 290(1900年)，686-700。 |
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